Robert Phillip Email & Phone Number

New York, Ny, Us

Charlotte, Nc, Us

Global Compliance Regulatory Reporting

New York, Ny, Us

Senior Business Analyst Change Manager GSS (Contract)• Delivery of small to large projects through all aspects of the lifecycle• Provide business knowledge to the project environment, at different levels and to differing degrees of specificity and breath• Provide conceptual solutions to often complicated business problems / needs• Provide recommendations for preferred solutions, with consideration of associated risks, cost and timescale• Development of the documentation of business operating models, business requirements, organizational designs and solution / functional designs• Assist business areas in understanding problems and subsequent requirements and solutions• Work closely with other Business Analysts and IT groups to define the functional design documents• Facilitate the sign off / agreement of business requirements documents via presentation, one to ones or workshops.• Review process with the businesses and work with user on• Support and manage the implementation of the required solutions• Make recommendations to improve procedures and working practices• Identify and track issue and risk, do root cause analysis and provide resolution• Conduct project updates sessions with required stakeholders• Understanding of change framework - RACI Model

New York, New York, Us

Senior Regulatory and Control Business Analyst• Developed BRD’s for in house system conversions• Worked with IT to ensure BRD’s are followed and projects are delivered in a timely manner• Researched root cause analysis tracking to remediate daily issue• Maintained due diligence on changing policies and procedures i.e. Dodd Frank, SOX• Developed and maintain policy and procedure manual for group• Maintained and resolving customer segregation deficits• Monitored all securities products types regarding “SEG deficits”• Reviewed all Smith Barney “SEG deficits” daily as it pertains to 15c3-3• Responsible for notifying the appropriate departments for resolution

New York, Ny, Us

Senior Risk and Control Analyst ​• Managed the risk and control process for the Lehman Brothers Bankruptcy• Oversaw journal entries and wires that are process per Trustee and Deloitte instructions• Liaised with Deloitte to review and resolved over 7500 open cash breaks• Researched and reconciled 50 million in T&E items across all business entities• Investigated and resolved $100 million in direct deposit payroll items• Responsible for researching and resolving bank reconciliation out of balances• Resolved external bank versus ledger discrepancies and research aged suspense items• Investigated open unapplied items in R&D and analyze and resolve open trade discrepancies

Us

Senior Risk and Control Analyst• Performed risk assessment in regards to different operation areas• Analyzed and process accrual accounts to ensure sufficient funds are available to pay our SEC monthly invoices• Managed payment of trading activity fees to FINRA on a monthly basis• Investigated open trade discrepancies with middle office, and help resolve open items in a timely manner• Analyzed the current controls behind discrepancies to identify exposures, weakness and risks• Provided daily MIS of open items and create efficiencies in management reporting• Able to analyze complex trading strategies to ensure comprehension of SEC fee rules• Built and maintained strong relationships with internal and external clients• Liaised with middle office and technology to understand the different front-end systems as it relates to SEC fees regulation• Able to answer questions from the Front and Middle office regarding trade SEC fee rules• Understands front to backend trade flows

Zurich, Ch

Audit Control Group Senior SOX Specialist• Managed global balance sheet ownership review for assessing monthly and quarterly SOX requirements• Identified key controls to test and evaluate and test operating effectiveness• Established and maintained an adequate internal control structure and procedures for financial reporting• Maintained and updated all relevant information in our operational risk metrics as it relates to our SOX quarterly review• Collaborated with other departments to ensure all firm accounts that feed the balance sheet have a control process in place• Liaise with risk and financial control departments regarding internal risk issues• Supported the quarterly risk and control assessment (R&CA) process to ensure compliance with all internal and external reporting requirements and deadlines• Worked with management to establish a process to assess and certify the effectiveness of its internal control over financial reporting• Created and maintain sufficient documentation to allow external auditors to independently evaluate the effectiveness of internal controls over financial reporting and attest to management’s assessment, i.e., SOX 404• Managed the bank’s 17a-13 quarterly review and collaborate with external auditors• Responsible for maintaining and reviewing data for SEC section 31activity assessment fees• Documented workflow and identifying risk and controls process for cash equity group• Performed analysis across various information sources (e.g., KRIs, loss data, operational risk-related incidents, outstanding actions plans, etc.)• Promoted and facilitate a culture of operational risk awareness and continuous improvement in the control process

New York, New York, Us

Control Administration Operations-Provided value-added reporting and enhanced processes by proposing and performing various automation projects-Developed and maintained relationships with regional and global Ops, internal and external auditors and clients, and various levels of management-Provided support for weekly and monthly risk and performance reporting.-Analyzed daily stock record reports-Collaborated with other departments to resolve aged stock breaks-Performed analysis and testing on a broad range of business activities and functions-Monitored outstanding issues and action plans (raised during audits, Incidents Reports, control testing, periodic reviews, etc.) to ensure timely resolution/completion-Interacted with other brokerage firms to handling compensation claims-Collaborated with the firm’s external auditors regarding quarterly reviews

Control Administration Operations-Researched and analyzed daily stock/aged record breaks-Created daily MIS reports to distribute to senior management-Evaluated client suitability, legal suitability, and asset requirements for all new account paperwork-Collaborated with branches to ensure the receipt of all necessary documentation for new accounts-Interacted with investment managers and SSB branches to provide statistical data for trading errors-Researched all SSB branch inquiries regarding Tefra withholding-Calculated daily reports for adjustments to IRS, SSB clients or SSB escrow accounts-Adjusted IRS W9 and W8 withholdings on SSB accounts

Us

Research customer inquires Implement chargeback and action against merchant banksExtensive monitoring to ensure adherence to banking regulations