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Click here or scroll down to respond to this candidateCandidate's Name
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PHONE NUMBER AVAILABLEEMAIL AVAILABLESUMMARY: Professional Opera-onal Risk, Risk Controls and Regulatory Repor-ng Analyst in the banking and trading environments. Implementa5on and oversight of Dodd Frank, Basel, ALL and CECL regulatory repor5ng. Responsible for concep5on, crea5on, and implementa5on of all risk controls, par5cularly opera5onal risk, internal tes5ng, regulatory and audit repor5ng for all func5ons of the Fixed Income Trading Desk. Built and managed all xed income P&L repor-ng, risk/control, trade, and volume repor-ng. Dedicated Bookkeeping small business owner who uses ini5ate and resourcefulness to deliver excellence in nancial and regulatory repor5ng, reconcilia5on, A/P, A/R, payroll and oce management. Advanced MS Excel skills (Macros, Advanced Formulae, Func5ons, Condi5onal FormaKng), as well as Bloomberg, SQL, and various other trading systems. Middle Oce; inves5ga5ng and ensuring accuracy and 5meliness of trading ac5vity/allegements. Researching, analyzing and audi-ng compliance data for NASD member clients in accordance with industry rules, regula5ons and law. Series 7, 63 licensed.EXPERIENCE:December 2019 presentBooks Advisory, LLC, Jersey City, NJOwner/President Manage mul5ple companies nances, compliance and risk on the QuickBooks plaSorm. Maintain and reconcile various bank accounts, mul5ple charts of accounts. Recording and pos5ng transac5ons for payables, receivables and payroll. Comply with local, state and federal regulatory repor5ng requirements. Risk/Control assessment and repor5ng; including monthly, quarterly and annual nancial and tax repor5ng.December 2017 July 2019City NaJonal Bank, Newark, NJSr. Risk/Credit Analyst Process our regulatory required; Allowance for Loan and Lease Losses (ALLL). Primary driver of Current Expected Credit Loss (CECL) implementa5on. Prepare, review and process all opera5onal risk repor5ng, both internally as well as for auditors and regulators using Fiserv and Sageworks, as repor5ng tools. Research and design a variety of detailed climate risk stress test scenarios. June 2017 December 2017Brown Brothers Harriman & Co, Jersey City, NJProject Management (Contract) Part of a seUlements project tasked with improving 5meliness and accuracy in communica5on of open trade allegements, encompassing all security types, in real-5me, throughout the trade life cycle. Review and process trade orders exceeding trading tolerance limits. Review and resolve trading inquiries. Develop and enhanced internal and regulatory repor5ng of trading metrics. Analysis, evalua5on and improvement of process and procedures. December 2015 April 2016Standard Chartered Bank, New York, NYCredit/Risk Analyst (Contract) Part of Client Onboarding team, researching and execuMng AML, KYC & CDD processes. ImplementaMon and reporMng of Basel and Dodd-Frank regulatory standards. Conducted review and releases of loans, leXers of credit, and other guarantees for payments. May 2010 July 2015TD Ameritrade, Jersey City, NJSr. Analyst FI Risk/Control ReporJng Responsible for concepMon, creaMon and implementaMon of all compliance, strategic, liquidity and operaMonal risk-controls, internal tesMng, and audit and regulatory reporMng funcMons for the Fixed Income desk, using a combinaMon of Bloomberg, SQL & Excel. Supported 18 traders and three directors, trading all Fixed Income products, including; corporate bonds(both foreign & domesMc), preferred stock, municipal bonds, CMOs, GSEs, CDs, UITs, and treasuries as well as new issues of each of these product. Integrated mulMple sobware and products, creaMng the mechanisms to report reliable, auditable P&L for the Desks acMvity. Created the mechanisms for reporMng reliable aggregate commissions and an auditable comparison to P&L, reconcilable with Finances P&L and Sales commission reports. Built an audit strategy for daily, monthly and quarterly review of trading acMviMes in and evolving regulatory risk environment. WriMng and implemenMng policies, procedures, pracMces and reporMng/escalaMon for all developed &/or revised processes across the project lifecycle. Managed the construcMon, execuMon, and disseminaMng all xed income reporMng, including risk/ control, trade, and volume reporMng to all internal clients. Built each mechanism with regulatory reporMng as our primary objecMve. Part of a team which recongured the Desks trading process to execute through Bloomberg. Part of a team which improved the desks credibility to be cleared by our Risk Ocers to take overnight posiMons, including new issue posiMons. Responsible for enMre Treasury AucMon procedure, TAAPS. Trade processing and trade management, matching traders and prime brokers to ensure Mmely trade execuMon, as well as Mmely trade and cash seXlement. Shared responsibility for trade capture, booking, seXlements, trade breaks, sales credit, and the resoluMon of all trade problems. Responsible for analyMcs and trade execuMon of mulMple xed income securiMes. Contributed to Corporate Trading desk; working with sales, conrming suitability and execuMng trades. WriMng & execuMng SQL queries. Series 7 & 63.May 2009 August 2009Bay Harbour Management, New York, NYAnalyst (Consultant) Contributed to the audit coverage strategy for a distressed securiMes hedge fund Managed the integraMon of data, from mulMple sobware, to reconsMtute all trading acMvity in three funds, from the previous 12 yearsMarch 2008 December 20081861 Capital Management, New York, NYFixed Income Trading Support (Consultant) Directly supported trading desks for processes and reconciliaMon of xed-income seXlements Liaised between custodian, broker and the trading desk to miMgate liquidity and counterparty risk Researched and resolved cash, asset and trade discrepancies, miMgaMng operaMonal risk December 2006 December 2007Blue AlternaJve Asset Management, New York, NYSenior Fund Analyst Performed all accounMng, seXlement funcMons of a $700M fund, execuMng monthly transacMons, miMgaMng liquidity and counterparty risk Performed pricing and closing processes for six Euro and US based funds, including a Euro hedge Priced each funds porlolio and calculated NAVs, reconciled funds posiMons/securiMes and all investor accounts Regularly purchased FX contracts to hedge against foreign currency risks. Prepared monthly nancials for each fund through SunGard's InvesTier accounMng sobware Created all internal fund evaluaMon as well as markeMng reports via PerTracs analyMc plalorm Addi$onal Employment Available Upon RequestEDUCATION & CERTIFICATIONS:Marywood University, Scranton, PABachelors of Science and InternaJonal Finance, Spanish Minor Courses taken towards Masters in Economics, University of Delaware, Newark, DE OperaMons Trading and Compliance CerMcaMons: New York InsMtute of Finance, New York, NY |
