Results oriented Subject Matter Expert/Business Analyst with over 20 years experience in Technology and Securities Operations with Broker Dealers, Global Custody, and Buy Side Firms. Extensive business knowledge and experience in Order Management, Electronic Trading, Middle Office, Margin, Fixed Income, Foreign Securities, Reconciliation and Settlements.

Work History

Work History
Jun 2006 - Present

AVP/Senior Business Analyst - Technology and Middle Office

HighMark Capital Management

·Multiple Roles and Responsibilities Supporting LVTS Order Management System:

·Sit on Trading Desk supporting 2 Equity Traders, as Middle Office, as well as frontline user support for 35 Portfolio Managers, and 8 Fund Managers, all with multiple custom workflows, complex processes, and needs that are extremely time sensitive.

·Full understanding of the technical architecture and integration of the OMS across all components:custom data load from custody system via ETL tool, Oasys, files FTP’d to/from vendors and FIX electronic trades with Tradeweb Routing Network and NYFIX.

·Troubleshoot and resolve Mission Critical production issues to ensure OMS is up by the Market Open and during Market Hours.

·Work with senior managers from Trading and Portfolio Management to prioritize multiple issues in production and for development.

·System administration, audit, change management and maintenance to mitigate Financial, Operational, Compliance and Audit Risk.

·Business Requirements:

·Wrote requirements for redesign of overnight data load from accounting system into LVTS that streamlined processes to ensure system availability by the Market Open.

·Writing requirements for LVTS Upgrade working with Traders, Portfolio Managers, vendors, developers and senior management to identify, gather, analyze and translate complex business and technical needs into Business Requirements.

·Built Equities Middle Office and defined the new role:

·Created workflows and procedures for operational tasks, best practices and broker audits for LVTS, Oasys, and ALERT improving Straight Through Processing and reducing Operational and Audit Risk.

·Wrote Gap Document for integration of workflows among LVTS, ALERT and Oasys.

·Additional Achievements:

·As Subject Matter Expert, wrote extensive OMS Knowledge Base.

·As System Administrator, initiated first Annual User Audit for OMS users' system access, roles, and trading abilities.

·Set up and tested new Electronic Trading connections with brokers via FIX 4.2 on both NYFIX and Tradeweb Routing Network.

·Reverse engineered and documented complex customization done by former contractors to fix crucial technical issues.

·Wrote detailed Test Scripts for failover from Production to Contingency OMS Servers and cutover back to Production servers.

·Self taught in SQL queries and updates to resolve problems in OMS database and stored procedures.

·Created Compliance Reports in Excel from database tables for SEC Audits.

Oct 2005 - Jun 2006

Business Analyst


·Business Analyst for automation of reconciliation between SEI’s books, as Hedge Fund Administrator, and Prime Brokers for Fixed Income, Repos, Foreign Exchange, and Futures.

·Gathered Business Requirements, analyzed and validated data files for functionality, and wrote mapping specs for programmers.

Mar 2004 - Apr 2005

Margin Consultant for Prudential Securities Conversion Project

Wachovia Securities

·Senior Margin Analyst providing strong Operations experience & leadership to Margin staff for Prudential Securities Conversion.

Jun 2003 - Jan 2004

Securities Opertations Consultant - Mortgage Backed Settlements Project

WaMu Capital

·Created proactive reconciliation and tracking spreadsheet for MBS/CMO P&I receivables, payables, claims, and suspense accounts significantly reducing exposure and ensuring proper SEC Rule 15C3-3 reporting.

·Reduced aged fails from 7 months to 2 months via Round Robin tracking spreadsheet and pool changes to mitigate risk.

Dec 2002 - Apr 2003

Securities Operations Consultant - Fixed Income Reconciliation Project

Seneca Capital

·Reconciled complex Mortgaged Backed and CMO breaks between portfolio system and custodians and eliminated 6 month reconciliation backlog in 1 month by redesigning workflows and procedures.

Apr 1998 - Mar 2002

Securities Operations Consultant

Union Bank of California

3 Contracts involving Reconciliation, Securities Set Up and Pricing in Domestic and Global Custody

Compliance Reconciliation Consulting Project

·Foreign Exchange Reconciliation between Domestic USD System (SEI) and Multicurrency System (Global Plus) for Foreign Currency Trades, Futures, Mortgage Backed Pools and TBA’s, Options and Interest Rate Swaps.

Central Assets Consulting Projects

·Reengineered inefficient workflow from faxing asset set ups, to a proactive one, pulling trades from the ID System.

Euro Conversion

  ·Involved in Planning, Implementation and Systems Testing for securities set up & pricing.

Foreign and Domestic Securities Set Up and Monthend Pricing.

Oct 2000 - Nov 2000

Consultant - P&S/T+1 System Redesign Consulting Project

·Wrote Business Requirements for Straight Through Processing for Purchase and Sales Department.

May 2000 - Aug 2000

Securities Operations Consultant - Margin/Cashiers Department Consulting Project

Southwest Securities

·Senior Cashier for Margin and Short Option accounts for over 40 Correspondents.Reconciled out of balance customer funds and positions after SIS/CSS Systems Conversion.Won Superstar Award from Southwest’s CEO.

Apr 1995 - Nov 1997

Branch Operations Manager

·Managed six people whose functions included Cashiering, New Accounts and other branch related work, supporting Private Client Services, Institutional Equities and Fixed Income.

·Eliminated unnecessary Branch Operations functions, procedures and policies.

New York Margin Department, COD Margin Manager

·Managed four Margin Analysts who balanced DVP/RVP accounts and monitored accounts for regulatory purposes.

·Eliminated useless reports sent to Senior Management and initiated delivery of effective reports via E-mail.

May 1994 - Apr 1995

Private Investment Dept Operations - Managing Directors’ Account Specialist

Salomon Brothers

·Recruited back to the firm to handled all aspects of Operations for the firm’s high net worth Managing Directors.

Jun 1993 - Apr 1994

Branch Operations Management Trainee

Kidder Peabody
Sep 1992 - May 1993

Collateral Management Department, Margin Specialist

·Coordinated Buying Power figures for six international Hedge Funds from domestic and foreign securities firms and reported figures to trading desk daily. Determined efficient use of funds and securities among agent firms, taking into account leverage, interest expense and the ability to borrow securities.

Jul 1989 - Sep 1991

Private Investment Department, Margin Specialist

Salomon Brothers

·Extensive experience with Equities, Fixed Income, Options, Foreign Exchange, Foreign Securities, Futures, Derivatives, Repo/Reverse Repo transactions, products, settlements, strategies and regulations relating to ultra high net worth customer accounts.

Nov 1986 - Jul 1988

Control Department, Margin Analyst

Goldman Sachs

·Resolved Margin problems with various areas of Operarations and the Front Office for Institutional and ultra high net worth client accounts.

May 1985 - Nov 1986

Margin Clerk

Merrill Lynch


Sep 1981 - May 1985


Rutgers University - Rutgers College
1975 - 1981


Dwight Englewood




LongView Trading (LVTS) 6.3.5, Linedata Compliance (LDC), ALERT, Oasys, CADIS, MS SQL Enterprise Manager, MS SQL Server 2005, Bloomberg, and SEI Trust3000.



Registrations Series 7 and 63