Steven Rothstein Email & Phone Number

Muskego, Wi, Us

Jersey City, Nj

Senior Product Manager, Fixed Income, Brokerage Processing Services 2007 - 2015Project management including troubleshooting and escalation both internally and with clients, successfully managing client expectations. Developed functional specifications and system design specifications for client engagements based on requirements, specifications, business processes and recommendations .* Designed, configured and deployed middle office applications Fixed Income Front End (FIFE) and Institutional Trade Management Allocation System (ITMS) reduced manual intervention and cut operational costs by over 50%.* Supported real time transaction flow with fixed income interfaces: Bloomberg, Tradeweb, Knight BondPoint, IPREO, Omgeo Alert, Oasys and Central Trade Manager (CTM).* Built and mentored on/off-shore QA & IT teams as part of strategic development and global operating model.* Reported on status, risks, and dependencies for all client facing Broadridge projects to leadership team including representatives from Product, IT, QA, Marketing, Global Trading & Legal.

New York

Supervisor, Fixed Income Desk, Outsourcing 2000- 2007Supervised a staff of eight associates focusing on GSCC, MBSCC and NSCC comparison and processing for fixed income securities.Spearheaded the implementation and automation of municipal and corporate bonds break sheets for P&S eliminating manual intervention, decreasing operation time by 50%, reducing market exposure by 25%.Project management including troubleshooting and escalation both internally and with clients, successfully managing client expectations.Reporting on status, risks, and dependencies for all client facing Broadridge projects to leadership team including representatives from Product, IT, QA, Marketing, Global Trading & Legal.

Brookfield Wi

THOMSON FINANCIAL-(Beta Systems) Brookfield, WI 1996 - 2000Assistant Vice President, Compliance Organized, prioritized and tested all industry regulatory and compliance updates and changed to BETA’s host system. Interacted with SEC, NYSE, NASD, service bureau clients, business analysts and IT development.* Implemented MSRB reporting to support customer compliance.* Implemented FINRA OATS Phase 1 and Phase 2 to support customer compliance.* Established option hedging limit reporting for customer compliance.* Implemented and tested decimalization enhancements to NYSE, AMEX and OTC exchanges trading systems to complying with .* Implemented and tested Y2K enhancements complying with industry testing for Y2K.* Enhanced and supported NYSE 600TC client reporting to NYSE.

Cfp, Cfp

Bba, Management Science