David Lee, Cfa Email & Phone Number

Greater Los Angeles Area And New York City

Serve as key PMO for large global banks implementing advanced tax technology platforms to enable tax teams to more efficiently work from a centralized web based portal. Also leading FACTA reporting efforts for various clients.

Greater New York City Area

As part of FSO (Financial Services Office) • Performed initial current-state assessment to assess FATCA readiness and presented a roadmap with recommendations for the future-state model and ensure FATCA complianceGlobal, Tier One Financial Institution:• As project manager, led several workstreams across four key different business lines to ensure compliance with FATCA, including developing new customer onboarding procedures, identifying Prima Facie FFIs for remediation of Form W-8s, and leading the training and communications efforts• Managed and tracked $5MM US PMO budget and streamlined the actuals vs. forecast budget reporting process• Assisted in development of business requirement documents and creating test case scenarios across the retail banking, commercial banking, global banking and markets, and private banking businesses• Represented US program at global and regional executive meetings and liaised with senior management providing regular status updates

Projects include:Corporate Investment Banking Division at a Global Tier-1 Bank: Dodd-Frank Act• Managed Fund Investments and Securitization workstreams and worked with lawyers and other Client Service teams to ensure compliance with upcoming regulations with respect to hedge funds and private equity investments and appropriate filing for asset-backed securitiesFinance Project Office at a Global Tier-1 Bank: US Tax Withholding Project• Reduced tax withholding exposure from $10M (Jan 2011) to $350K (Feb 2012) across the Fixed Income and Loan Syndication groups• Wrote business requirements for users to improve their payment processing and settlement systems by creating a client account to process withholding on overnight and long-dated paymentsLeading Canadian Bank Cash & Securities Reconciliation Automation Project• Assisted in the modeling and building of the future state reconciliation model for automated check processing using IntelliMatch

Boosted profits and generated trading strategies by analyzing the effect of company news and industry trends on option valuation; researched company events and advised clients to justify a position in the context of individual and firm risk.• Recommended trading tactics to clients based on research of company fundamentals and trends across all sectors, with a special focus in Biotech / Healthcare.• Analyzed market data and discerned trends in trading activity by leveraging quantitative pricing and database models to develop business strategies, e.g. created new electronic tools, improved allocation of resources, and lowered transaction costs.• Created profitable trading opportunities through analysis of volatility trends, skew, and other quantitative measures.•Presented research findings to senior management on a regular basis, also communicated market results of company research to sales team, traders, and other clients.

Managed 3000+ individual positions (60+ traders) and firm-wide risk through constant stress testing and analysis of risk limits.• Reduced costs and haircut by 20% by utilizing expertise to ensure positions maintained a favorable risk/reward profile.• Improved speed of information flow to all traders by managing a 4 person team to develop and maintain a proprietary centralized database to analyze option skew and volatility. This program is now implemented firm-wide with automated daily updates sent to traders.• Created new exception reports to improve overall risk management processes and spot firm risk, such as identifying vega and stock position risk on a real time basis.

Traded over 100 stocks and managed a portfolio with complex options positions, involving quantitative analysis of risk, volatility, and greeks. • Identified and executed robust strategies through arbitrage opportunities to maximize profit and edge with minimal capital outlay.• Provided liquidity and two-sided markets in a wide array of stocks.• Organized and assisted in rollout of new infrastructure systems; served as ‘go to’ expert for the firm.

Assisted in new client development efforts and marketing campaign for individual brokers.

Performed financial analysis using asset allocation models to provide strategic recommendations to brokers.