Marie Pfeffer Email & Phone Number

Hoboken, NJ

• Manage the mentor applications process including arranging and conducting interviews, facilitating match meetings and overseeing the interviewing process for the mentees
• Member of the strategy team that works on creating a stronger program to better meet the organizational mission

New York, NY

• Collaborated with global counterparts to identify and remediate control gaps in order to create a holistic senior management reporting tool as well as researched historic control breaks in order to recover misapplied.
• Participated in multiple cross-departmental projects including submitting system enhancement requests and completing testing, assisting in the creation of exposure management reporting, testing potential changes of.
• Performed daily oversight for offshore middle office team to ensure compliance with legal requirements including reviewing, reporting and appropriately escalating any department key risk indicators
• Analyzed monthly regulatory FOCUS reporting figures to determine if any capital charges could be reduced and communicated final commentary to Financial Controllers
• Investigated the root cause of high volumes of counterparty contract discrepancies with the Trading Desk to minimize current and future contract inconsistencies and provided solutions to the Business Unit
• Gathered documentation, supporting evidence and created stock loan process flows to comply with external audit and ad hoc regulatory requests

• Managed investment bank remediation plans resulting from vendor assessments to address vendor gaps including researching plans and tracking plan resolutions to minimize third party risk exposure
• Collaborated with various firm stakeholders and facilitated meetings with vendor relationship managers to discuss findings from IT risk assessments and explain significance of associated risks to support management.
• Created PivotTable reports identifying system deficiencies enabling senior management to track and follow up on control gaps and improving resolution time and metric accuracy

Short Hills, NJ

• Formulated, monitored, researched and reported on compliance tests to ensure trades comply with client or internal contract specifications
• Analyzed, streamlined and implemented system broker limit controls to minimize business risk due to internal credit fluctuations or client contract amendments
• Researched and reconciled triparty repurchase agreements to ensure account balancing
• Investigated transfer processes, verified records, determined classification, and managed logistics of migration of historical records to approved vendor in compliance with corporate standards
• Interpreted client contracts in order to create and maintain triparty investment schedules to minimize operational purchase risk
• Prepared monthly certification reports to comply with client requests and governmental regulations

Minneapolis, MN

• Prepared incoming and outgoing cash and securities transfers for new and returning government loans and income payments to balance business and client accounts
• Initiated mark-to-market cash collateral transfers to comply with customer and business mandated margin requirements
• Balanced third party trades between client accounts to ensure accurate security inventory
• Provided backup support of equity operations including contract compare, mark-to-market of equity loans, recall of loans due to trade executions and completion of buy-ins
• Provided backup support of reconciliation processes by coordinating cash transfers between client accounts and balancing securities lending house account
• Cross-trained on securities lending functions such as client reporting services, compliance activities, and executing cash management trades to expand business knowledge and assist team members with client or business.

Various Branch Locations

• Demonstrated consistent accuracy in daily cash drawer balancing
• Managed semiannual balancing of Travelers checks for internal and external audits
• Promoted new products and services and consistently achieved quarterly sales targets and top ratings on customer satisfaction surveys

Bs, Finance, Accounting, Economics

Education record