• Working on SFTP (File Centralization Project) to establish a means for data file delivery via folders within a structured directory and SSH protocol for seamless transfer of data files. • Perform UAT testing to eventual transition to Production environment. PowerBI dashboard publishing on website with relevant KPI’s for new accounts dept. Utilized MS Visio for flowcharts creation and maintenance of existing data flow structures.• Work heavily with IT to initiate tickets to grant access and enable directory components/routing rules for clients. Also utilized Excel Pivot Tables to manage MFX mapping/routing rules and ticket requests.

• Utilize SQL Server to review existing queries to further improve and rework them to be compatible with new DB via migration project. Intimate review of database structures (tables,views, relationships) to add value and rectify data gaps. Daily use of JIRA to keep track of multiple EUDA Projects. Publish literature relevant to business acumen and technical improvements/solutions in Confluence.• Work closely with Risk Managers to understand their business requirements for the EUDA’s (Excel VBA spreadsheets) metrics they rely on their day to day business functions.• Based on the interaction with Risk Managers I improve/amend technical structure of their EUDA so they work seamlessly and covey accurate data points for the visualizations and metrics they rely for their business analyses. These EUDA’s heavily use Excel VBA coding to perform numerous tasks and data pulls from data warehouse (eg. SQL server Database).• Currently working on API interface to consume data from data warehouse and produce custom results for the Risk Managers EUDA’s. Which will eventually use multidimensional data to produce metrics and visualizations for robust business needs.

• Created BRD (Business Requirement Document) for TRACE Reporting Project which contains the framework for transitioning from Current BPS model to Broadridge’s BRMA/BRx model.• Engage with Technology and Project Managers on a multitude of topics pertaining to Trade Lifecycle and FINRA rules• Formulate Trade Mapping from existing model to new model and diligence on proper trade meta-data to ensure compliance with FINRA requirements.• Author meetings with multiple departments to coordinate knowledge gathering and information enrichment relevant to FINRA reporting project. Update senior team members via meeting minutes documentation on milestones achieved and proper traction on forthcoming matters relevant to our project.

• Timely and accurate allocation of block trades executed by our trading desk through established protocols via Emails from Clients, CTM matching platform, Oasys Omgeo, Fidessa, Espear, Instinet, and manual methods. Process Client bid lists by uploading into our systems with proper trade details.• Participation and setup of IPO/Deals in conjunction with our Syndicate desk.• Reconcile trade breaks and send out Start/End of day breaks and trade metrics via Excel.• Heavy involvement in new acct creation, acct re-activations, and settlement instruction updates.• Ensure proper trade flow by stepping into the trade life cycle to mitigate various trade breaks by working with the settlements team to resolve any money, broker, and other trade economics so we are in line with our client’s expectations.• Created an Excel automation via VBA scripting to send out emails to our clients to affirm trade details.

• Manage and deliver regulatory reports and metrics utilizing Access/Excel/Tableau to numerous business stakeholders. FINRA TRACE reporting metrics for North America Credit Trading Desk and Emerging markets. Remediation of trade life cycle anomalies (eg: bad security setup, account settings, trade matching, and trade flow issues).• Automate daily processes when possible via Excel/VBA and review daily tasks for continued improvement. Provide commentary on trade activities and exceptions in conjunction with middle office.• Maintenance of Access Database for proper setup and functionality. Monitor Instrument authority rules for trading desk. Attend meetings with stakeholders on our monthly statistics for FINRA. Creation of weekly department metrics by utilizing Excel and Powerpoint..

• Work with Vice President on numerous business reporting projects within the department. Mainly on complex Excel spreadsheets for the Board of Directors Deferred Compensation Plan. Re-engineered the spreadsheet to reduce memory usage and incorporate efficient formulas / Excel’s built in library of technical solutions. • Manipulation and ETL of large data volumes (Power Pivot and Power Query). Utilization of creative critical thinking and analysis skills and create strong partnerships with respective business groups to properly assess and document problem solving concerns. Built metrics dashboards for Call Center using Excel from scratch. Used Tableau as an alternative to creating dashboards.• Reviewed data spreadsheets for accuracy and completeness and addressed day to day typical business requests in regards to Excel prudence related questions.• Attend daily meetings on any given project to provide progress and value added measures.

Assist in Mortgage business startup. Ensure all testing elements are coordinated and functioning as per FICC CCP4 industry wide requirements. Create procedures and MBS business literature. Work with multiple business units to ensure business compliance and reporting aspects are sound. Work with Trading desk on business needs as requested and keep high level interaction to promote viable goals.

• Successfully completed key business projects (FICC CCP4 compliance). Assisted TD’s initiation of the MBS Business by providing sound knowledge in all the business systems involved. • Work vigorously with technology to setup MBS processes and provide business knowledge and advice. Test numerous business functions that are essential to the MBS business.• Create procedures and MBS business literature. Work with multiple business units to ensure business compliance and reporting aspects are sound. Work with Trading desk on business needs as requested and keep high level of interaction to promote viable goals. Participate in Treasury Auctions via TAAPS system.• Work with all MBS functions (NOVATION, RTTM, Trade Assignments, Allocations). FOBO reconciliation. Use Excel VBA to automate business day to day tasks.• Resolve business issues in a timely manner, proactively mitigate trade breaks, and customer concerns. Provide reports and business metrics as needed. Created Trader Inventory dashboard with VBA and Pivot Tables utilizing Excel formulas/functions.

• Manage all aspects of MBS allocations and MBS RTTM business aspects.• Also comfortably handle CMU RTTM and GOVT RTTM business aspects.• Streamline and Automate business functionalities when possible. Work with other groups to find solutions to outdated business practices and promote day to day efficiencies. Automate trade comparison via Excel VBA coding.• Suggested upgrades to business applications and provided positive input to improve current apps. UAT testing of numerous apps. Documented business procedures.• Generate numerous reports via Showcase by creating SQL scripts to manipulate data and then use VBA (Excel) to finalize reports.• Timely and efficient resolution of FOBO trade breaks whilst working well under pressure/deadlines. Aptly multitask on the diverse requests posed by Traders/Product Control/Settlements/Compliance. Ensure trades are reconciled in all systems.• Keep up to date on current regulations, FICC processes, and routinely participate in Compliance/Business guidelines courses.

Build reconciliations for the global middle officePull data from a variety of sources – working within Macros and Excel/VBAWork on data manipulation and SQL databases/queryingWork with a project team day to day

Generated and improved MBS fails reports (eg: MBS Pool and TBA fails) in Excel.Provided and suggested improvements to daily MBS KPI. Used VBA Excel.Generated reports for the Federal Reserve Bank on all activity with them.Monitored and executed Pool and TBA round robins as well as pool subs.Created fails projections and Pool netting vs. FICC. Wrote procedures for our dept.Assembled reports on MBS Fails/Open TBAs, Stip reports, FRB fails for Management, and risk reports (KRI and MBS risk assessment commentary).

Engaged in all aspects of Government Settlements via BONY(GSCX) systemHandled TMPG charges, MBSCC fees, and fails charges spreadsheet. Maintained GSCC and MBSCC metrics in Excel. Processed and reconciled principal, interest, and redemptions.Government cash/securities management (e.g. deficit borrow processing – work with treasury dept.), P&I, and management reporting. MBSCC margin processing. FINRA compliance.Worked on numerous conversion projects as well as client training with our systems. Monitoring of all error ques for various applications (ICI, LET,BPS, and FIFE (front end trade entry system). Initiate Customer new accounts in accordance with KYC/AML. Well rounded in IMPACT/ICI system, BPS system, MBS EXPERT (LET) allocations, RTTM (MBSCC, GSCC, and NSCC). Handled and managed all aspects of MBSCC processes (AOT’s, RTTM, pool changes, etc…)processed GIANTS, MEGAS, and PLATINUMSAllocation of MBS products (EG: TBA’s and POOLS) via LET(MBS Expert) applicationImplemented extensive automation of various business processes via Visual Basic programming/Macros. I worked with management on streamlining day to day work.Data mining via SQL – EG: generation of reports for analysis – open fails, pool factors.High amount of customer and client interaction (worked under pressure and deadline oriented environment) - Trained fellow associates and supervised associates from India.Involved in IT /application related upgrading and testing procedures for quality assurance. Balancing of all systems that are involved in our MBSCC, GSCC, and NSCC. Made sure our customer accounts were in balance, transaction accuracy, and trade entry. TRACE compliance.Used Bloomberg’s extensive features (Excel functionality) to assist in our fixed income products. This project was later adapted in production to be used by our department.Assisted customers in issues relevant to MBS processing (P&I, trade input, monitor customer activity, and generation of reports, etc…).

• Allocation of TBA’s via MBS Expert (allocation software)• Performed duties related to MBSCC (eg: RTTM, trade assignments, netting, pool changes)• Heavy use of Impact application for security/trade management and bookkeeping aspects• Wrote VBA scripts to automate certain management reports and trade break reports in Excel• Research and verify P&I, money wires, trade breaks vs. the street brokers and customers.

Allocation (Manually) of all TBA’s via Easy Pool (EPN).Monitor RTTM Web daily for comparison of TBA’s and Specified Pool trades.Reconciliation of PHASE 3 vs. OCR (MBS compared securities). Process Trade Assignments and Input Trades. Trade support related functions.Pair-offs and Round Robins, process MBSCC related chores (etc. margin) , and pool changes. Also setup wires.Process Month-end and daily reports and confirm trades with our contrasGenerated P&L statements via Excel and sent them out to clientsWorked on numerous projects with senior management and automated processes via VBAWork on trade fails and position breaks, work with street on issues, and P&I verification.

• Ensured all facets of MBS Division’s Risk Assessment/Management Policies are addressed within prescribed timeframes. Ensured participant’s market exposure are based on current Market conditions, pricing of Securities, managing the participant Fund (consists of cash,Letter of Credit, and securities), and completing margin calls for risk management.• Ensured participants are aware of membership responsibilities and monitor compliance of those responsibilities (as well as internal reporting to management). Ensured Corporate business/operations contingency site is periodically updated and operational at all times.• Security Master-file maintenance, participant password maintenance, maintenance of critical MBS industry contacts, provided all aspects of day to day customer service (includes support of newly activated participants and ad hoc requests/questions), and updated/maintained internal operations procedures. Also researched and corrected any P&I issues. • Preparation, analysis and distribution of internal daily/weekly/monthly/quarterly reports, participant recaps, mbs industry trends, and benchmarks as well as corporate volume recaps and projections. Maintain data integrity. Published reports on the web for participants.• Automated processes via VBA Excel programming. Intensive use of Excel and Access.• Balancing vs. the Custodian banks and our books (I automated this process via Excel VBA).• Instrumental in automating Participant margin summary and calculation via VBA in Excel.• Executed all facets of participant billing via Microsoft Access. As needed, provided business and operational support to other segments of the Corporation including Marketing and Sales, Member Services, Internal Technology, Planning and Development, Internal Audit (As well as external Auditors), and Legal.