IT Project Manager

Alternative InvestmentsStructured ProductsPortfolio Management

Selected to join a specialized team created with the goal of transforming Broadridge’s Wealth Management technology known as Wealth Management Americas Platform (WMAP).Lead the Open Order Conversion process to ensure all orders in the client’s legacy system are successfully migrated via file transmission into Broadridge WMAP as well as re-routed to their previous destination. This encompasses multiple asset types such as Equities, Options, Preferred, Fixed Income, Annuities, Alternative Investments, Mutual Funds, Unit Investment Trusts, Structured Products, Syndicate Equity and Security Backed Loans.Work in an Agile environment as lead SME to document requirements from clients for business workflows for the new WMAP Rules Engine framework as well as the Commission Calculation Engine. Create user stories and test cases relating to Rules and Commission Engine functionality while interacting with Development and QA Teams to groom and eventually test once deployed. Run SQL queries to enable rule settings, research test data, analyze DRL and test results by utilizing the Postman API Platform to emulate orders sent from external sources. Provide product demonstrations to ensure functional requirements have been met and document any gaps or requested enhancements. Participate in daily scrum calls to track Rules Engine progress as well as address Trading Platform open items. Execute daily QA testing of end-to-end workflows on the trading platform for Equities, Options, Mutual Funds, and Foreign Exchange, identifying API payload/response issues and engaging with Development Team to resolve them.

Responsible for overseeing the full daily operation of the CitiBLOC ATS, including monitoring status of client FIX sessions into the ATS as well as ensuring the matching engines are connected and functioning. Review of all client TCA reports from previous day’s activity to identify any potential performance issues that may impact ATS clients. Responsible for the coordination and execution of new client onboarding, including creation of the New Client Onboarding Procedure (gathering of all pertinent KYC Documentation, Electronic Trading Agreements, Focus Reports, Audited Financial Statements, FINRA Broker Check Reports, and MAR Approval Documentation). Hosted the CitiBLOC New Client Onboarding Committee where documentation was presented to upper management for approval and client MAR limits determined. Live monitoring of client orders into the ATS to ensure client orders were handled properly with special attention to the cause of rejected FIX messages. Proactively communicate issues and solutions to clients. Assist in the creation and ongoing update of client-facing marketing materials such as the CitiBLOC Client Brochure, FIX Spec, and regulatory filings such as the Form ATS. Create standard operating procedures for the ATS as well as supervisory control procedures. Worked with the CitiBLOC Business Owner and Technology to address questions pertaining to Citi’s Low Spearheaded the creation of a monthly invoicing and document delivery process so subscribers could view their statistical performance from a secure portal, which improved current processes and allowed for the maintenance of tight controls of client data. Coordinated and ran the CitiBLOC Monthly Governance Committee meetings, including the creation of statistical reports for presentation to management on ATS and participants’ performance, the discussion and review of regulatory and compliance-related items, and the review of access to client confidential trading information.

Led a team of 12 to spearhead the migration of clients from organization’s legacy Brass platform to Next Generation OMS. Interfaced with developers, coordinated daily scrum meetings, and supported personnel to ensure project completion while mitigating potential risks to target dates. Connected with upper management and other stakeholders, weekly, to report progress of each client migration and overall project progress. Highlights of my accomplishments include:Successfully organized and hosted client kick-off calls for new and existing clients to discuss product benefits, analyze connectivity and hardware needs, and confer steps to rollout. Facilitated training and daily production support of all clients migrated to the new system.Set-up, configured, and managed end-to-end workflow testing with external interfaces to ensure functionality.

Led diverse teams as well as managed, planned, and executed complex sales strategies to facilitate revenue growth. Selected to serve as sole Sales Engineer, responsible for all phases of the sales cycle including product demonstration, sales collateral - directing system implementation, creating and conducting training modules, and troubleshooting. Managed large option client implementation, created specific front, middle, and back office workflows to Knight Direct EMS, and created and implemented new allocation module to interface with client’s internal systems. Responsible for Alternative Trading System compliance reviews and filing quarterly reports with FINRA. Highlights of my accomplishments include:Chosen to create and oversee a process that provided algorithmic performance reports, trade files, and trade cost reports to organization’s clients. Spearheaded the implementation of a project, which successfully converted 75+ internal users from legacy market data platforms to Knight Direct. Performed extensive gap analysis and spec writing to ensure all functional requirements were met. Provided training to international and domestic sales teams to support internal sales and account profitability systems.

Project Manager / Buy-Side Implementation Manager 2006 – 2007 Ensured client satisfaction and completion of on-time projects by overseeing trading system client implementations, including strategizing with trader and IT professionals within client companies. Responsible for go-live testing and preparation for new clients on the trading system by collaborating with the Citigroup Electronic Sales Team.Determined connectivity solutions, submitted applications to NYSE/AMEX for market data services, obtained legal document approval, developed solution pricing, presented to close sales.

Delivered $10 million in annual revenue by managing 14 large accounts for Pershing by implementing new technology, strategic growth planning of each account, and serving client needs throughout various business segments. Represented BNY's Sonic trading platform throughout the Account Management Group.Participated in support of new client go-lives and post go-live support.

Provided unparalleled Brass OMS and UMA support and service to large broker-dealers such as TD Ameritrade, Piper Jaffrey, and Cantor Fitzgerald. This included installing, maintaining, and performing advanced training for large user groups of 75 terminals or more, leveraging 10 years of application expertise.

Performed market-making activity in firm's research universe, collaborated with institutional sales traders, retail brokers and proprietary trading desks, and promoted growth of firm's agency business.Assisted Head of Trading with researching and responding to regulatory audits and inquiries.