John Bauer Email & Phone Number

New York, Ny, Us

Prioritize change and development request from business and coach business of change life cycle process. Collaborate with business and technical partner to transform business request into technical requirements. Partner across internal and external business partners to define conversion requirements and scope. Identify and implement efficiency and control opportunities for data conversions execution. Review/track and act as first line of contact for data discrepancies between organizations. Analyze and review change control request for data conversion. Design and implement conversion experience for technical teams. Data querying and analysis to identify trends, exceptions to support process and decisions.

Minneapolis Mn

Manage the migration of mutual fund accounts between vendor platforms. Act as liaison between client and technical staff to collect, interpret business needs into technical requirements. Facilitate calls between clients and vendors providing project management and oversight. Engage business lines from project planning to execution to ensure smooth transition into production. Partner with fund companies and dealer firms to develop and establish: operational procedures, post conversion compliance and oversight. Gather and summarize conversion requirements, conduct gap analysis, identify and implement post conversion procedures. Responsible for managing multiple conversion projects simultaneously while maintaining highest level of customer satisfaction. Participated in 500+ implementation project in various capacities providing: data mapping, data analysis, event execution, event reconciliation and post conversion support. Identified opportunities in conversion process and job stream for efficiencies resulting in a reduction of staff by 75%.

Richmond, Virginia Area

Responsible for the daily oversight of mutual fund trade process. Projects include: Migration of firm accounts to an omnibus environment, the consolidation of mutual fund vendors, and establishing and provide oversight of the mutual fund operations call center. Contributed to the delivery of new front office tool to ensure appropriate customer pricing on mutual fund orders. Identify and mitigate risk associated with mutual fund processing. Recruit, train, evaluate, develop and promote personnel.

Greater Minneapolis-St. Paul Area

Review and analyze operational process. Educate and train incoming staff on account migration and procedures. Oversee firm security master profile for new mainframe fund additions. Write company policy and procedures for account migrations.

Greater Minneapolis-St. Paul Area

Managed the day to day and long-term initiatives for the organization as it relates to the mutual fund product and its operations. Compile and monitor department performance measures. Analyze and implement industry and department automation as needed to comply with rapidly changing industry rules and regulations. Monitor and review major processing systems. Build and manage business relationships with marketing department and fund complexes. Review contracts and qualifications for adding mutual fund company profiles to firms marketing offerings. Educate personnel on mutual fund policies and procedures. Act as a resource regarding mutual fund policies and regulation. Generate monthly performance measures. Balance and monitor control accounts. Analyze exposure and risk to organization and take appropriate actions. Recruit, train, evaluate, develop and promote personnel. Represent organization and participated on Investment Company Institute Broker Dealer Advisory Committee. Guide firm through several industry and operating system conversions. Project lead for industry mandated customer pricing review