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Click here or scroll down to respond to this candidateCandidate's Name
Address: Street Address
Phone: PHONE NUMBER AVAILABLE
E-mail: EMAIL AVAILABLE
Seeking a challenging career to utilize proficiency in identifying business needs and formulating sustainable solutions
QUALIFICATIONS PROFILE
Analytical and seasoned professional, offering expertise in financial services and consulting along with extensive experience in regulatory Financial and Operations Principal (FinOp). Accustomed to spearheading cross-functional teams in all aspects of project and program plan development, risk management, issue management, project communication, status reporting, and team member training. Adept at establishing and maintaining processes in developing and monitoring projects. Expert in strategy planning and execution as well as business support services within fast-paced environments.
PROFESSIONAL EXPERIENCE
ING FINANCIAL MARKETS LLC, NEW YORK, NY
Vice President-Broker Dealer Controller-Liquidity Risk Financial Manager 2001 Present
Supervise a staff of four in preparing, verifying, and submitting monthly FOCUS report to the management. Demonstrate expertise in product lines; such as fixed income repo, equity lending, futures and options, corporate bonds and derivatives. Develop and present a report concerning broker dealer results to senior managements.
- Served as a liaison between local and global regulators in adhering to the new regulations
- Led a staff of two and monitored the verification of weekly 15c3-3 report for the Broker Dealer Division
- Reviewed broker dealer liquidity reporting and ensured the alignment of Financial Industry Regulatory Authority (FINRA) with FINRA information memo 10-57
- Collaborated with a team for the Dodd Frank implementation; coordinated with senior management, operations, credit, and the front office
- Analyzed and streamlined risks and internal control processes across an array of financial products and activities; including traditional asset and liability management areas such as interest rate risks, and liquidity
LEHMAN BROTHERS, NEW YORK, NY
Supervisor, Regulatory Reporting 2000 2001
Provided expert oversight to a staff of two with regard to weekly 15c3-3 reserve computation for large retail broker dealer.
- Played an integral role as financial liaison for system clearing conversion from outsource to self-clearing using ADP/BPS system
DONALDSON, LUFKIN & JENRETTE, NEW YORK, NY
Supervisor, Regulatory Reporting 1993 2000
Handled and closely monitored a staff of three accountants in all aspects of broker dealer regulatory reporting, including 15c3-1 and 15c3-3. Conducted weekly preparation of the 15c3-3 for the Retail Division. Supervised a staff of one in bank reconciliation process.
EARLIER CAREER
THE HOME INSURANCE COMPANY, NEW YORK, NY
Investment Accounting Group / Financial Reporting and Financial Statements 1990 1993
DREXEL BURNHAM LAMBERT, NEW YORK, NY
Specific Position Held 1989 1990
EDUCATION
Specific Degree in Accounting, Minor in Finance - SAINT PETERS COLLEGE, JERSEY CITY, NJ
LICENSES
Series 4, 7, 27, and 63
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