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Work experience

Sep 1999Apr 2009



CIBC WORLD MARKETS (formerly CIBC/Oppenheimmer Capital) New York, NY9/1999- 4/2009

Director, US Global Operations Web Technologies (2004-2009)

Director of the Web Technologies Division within the US Global Operations Technologies area. Responsible for all key initiatives, managing day to day activities of staff, ensuring (24x7x365) support, organizing team priorities and maintaining key business relationships of various line managers.Division handled all front-end trade processing, trade reporting and some trade execution systems for all US$ and C$ transaction data executed in US Markets.Key businesses supported were US Operations, US Middle Office & US Equities Divisions. Interfaced often with COO, SVP and Heads US Securities Processing and the US Institutional Trading Desk.Responsible for all infrastructure & front-facing systems used for daily transaction processing, settlement processing, trade fail reporting, Security Master & SEC Regulatory mandated data found in the US Region.

Key Inititives:

·Solely engineered the US OPTIONS Allocations and Executions system; responsible for processing and executingall US based Options products within the US Region.Managed team of developers on all future enhancementsand support issues, which included mandates by the OCC of moving toFIXXML & Options Symbology standards.
  • Critically involved with large scale project which produced a $3.2MM/annual savings - Successfully manageddownstream trade file aspect of outsourcing the Government Product Trading and Operations Technology group to third party vendor (Ridge clearing).  Involved detailed communications with various internal and external business units; internal and external technology groups.
·Single handedly architected and designed the entire US Operations J2EE development & production environmentframework including all security and authentication components. In conjuction the design enabled a cost savings inexcess > $300K for department.Designed, created and Implemented (from the ground up) entire DEV, UAT PRODJ2EE environment for all of Operations technology (user base 300+ and over 50 Web based applications)
  • Helped produce firmwide savings of $5MM/annually via managing all aspects of a successful migration of the US back office front-end technology systems over to vendor ADP/Ridge Clearing (i.e. Project Streamline)
·Fully engineered and managed from ground-up the Journal Entry/General Ledger Account Balance system –Streamlining the SOX sensitive Journal entry process via web base application for US region to handle bulkprocessing of Journal Entries for US Equities, Finance and US Operations Divisions. Pioneered, fully engineered & standardized several reusable user authentication and entitlement securitycomponents for both of our .NET/Classic ASP/VBCOM platform as well as our J2EE production environment
  • Produced annual cost savings of $500K by leading three cross functional multi-national teams to implement all aspects of decommissioning the central Wealth Management and Trade Reporting Data warehouse in US and migrated entirely to our Toronto infrastructure. 

Primary Technologies:C#, VB.NET, ASP.NET, Full blown J2EE, JAVA, JSP, JSTL, Classic ASP, Visual Basic,

VBCOM,DCOM, SYBASE, ORACLE, IIS, TOMCAT, MS Sharepoint, straight C, Unix

Cognos PowerPlay, Cognos ReportNet, JavaScript, XML


Director, US Global Operations Web Technologies (2004-2009)(continued)

  • Major contributor to the success of a firmwide project’s $11MM one-time savings - Managed the system functionality transference of all USGOT settlement and regulatory trade processing over to purchasing firm.(i.e. Oppenhiemmer Capital). 
·Head Disaster Recovery Coordinator for ALL US Global Operations & US Middle Office Technology teamsCoordinated Disaster Recovery activities, tests, procedures & documentation for many US Tech teams;benchmarked progress to Senior Management.
  • FINRA Regulatory FINOP Data Automation - Managed, coordinated efforts of several tech divisions andbusiness units in order to put in place an automated XML/FTP/Informatica based process to submittime sensitive client account and transaction info to the NYSE to satisfy several new SEC Rules.

·Daily Trade Volume and Trade Execution Reporting Cube Acted as Liaison with the business; system delivers (Bluesheets) Daily US Execution volume and uncondensed trade detail (SEC requirement)

·Department-wide Document Sharing Sharepoint Collaboration Web portal Enabled, setup and implemented Sharepoint servers to be used for document repository (300 users);1st group to begin developing Webparts

  • Negotiated Database Development Software contract by procuring a $75K+ costs savings from last contract.
  • Euroclear Settlement System for Bonds and Securities for all US based Euro transactions.Strengthened infrastructure by adding full DR & UAT platforms to current infrastructure.Leading project to consolidate CA and US Euroclear process and move to a Single Platform.

Primary Technologies:C#, VB.NET, ASP.NET, Full blown J2EE, JAVA, JSP, JSTL, Classic ASP, Visual Basic,

VBCOM,DCOM, SYBASE, ORACLE, IIS, TOMCAT, MS Sharepoint, straight C, Unix

Cognos PowerPlay, Cognos ReportNet, JavaScript, XML

Project Manager, US Global Operations Web Technologies (2001-2004)

  • Lead project which certified SOX compliancy on all Global Ops tech systems, performed gap analysis.
  • Segregated Stock Activity System – J2EE/Oracle system used to track trade activity on securities foundin the daily NYSE Regulatory list.
  • AML Risk Rating project – assisted AML/Legal division in Risk Rating all CIBC US Equity based accounts.
  • IIGOR – International Trade Instructions Generator – Designed to handle increased International branch trade volume, system reduced processing errors & increased efficiency by 75%
  • C$ Trade Fails System –Managed & coded system that handles all failed Canadian based tradesexecuted on the NYSE.
  • CageMaster- Legacy ASP/Sybase system handles all NY failed trades for account reconciliation.
  • Mananged various settlement systems dealing w/Account Extenstions, Mailgrams,Sellouts,TEFRA & ACATS.
  • Abandoned Property System - Consolidated the processing of abandoned property in all 50 states.
  • Technology Server Infrastructure Migration from NYC to Toronto - Managed and coordinated all Web and Database infrastructure from NYC to Toronto ; meeting all DAP and SOX compliancy. Coordinated migration with various internal technology teams on both the Infrastructure and Solutions sides in both US and CA.
  • CIBC Global MIS Reporting Portal- Hands-on mgt. of a team of developers that designed & created a post trade
  • processing, web-based reporting portal; CIBC Award winning site achieved success when site eventuallyset firm-wide standard as design standard for a Reporting Portal.
·Mainframe to Intranet System Re-engineering Project –Hands on team mgt of code reengineer of40 legacy M/F systems to Web-based, Sybase & Oracle systems. Cost savings of over $350K/Annually.

Primary Technologies:Full blown J2EE, JAVA, JSP, JSTL, Classic ASP, Visual Basic,VBCOM,DCOM, JavaScript

SYBASE, ORACLE, IIS, TOMCAT, MS Sharepoint, Cognos PowerPlay, Cognos ReportNet

Crystal Reports, Secure FTP, MTS

Project Co-ordinater, Technical Lead, Wealth Management Technolgies (1999-2001)

  • Mutual Fund Exchange System - Designed Mutual Fund trade processing system for one of CIBC’s top 10 revenue-generating brokers to increase business up to 15MM/year. System increase trade volume from approx 500 to 2500 trades/day; Created a “real-time” client position report; ability to see all client positions at one time in one central area. Coordinated efforts btw’n several groups & installed “safety nets” to insure processing success.

·Financial Revenue Reporting System Managed team of 8 developers creating brand new Client Server & Web reporting system, complete with it’s own Datamart with over 100 new data objects (SP’s, triggers, etc).Redesigned & streamlined legacy process, reduced processing time of deliverables from 2 weeks to 1 day.Increased system value by adding Asset Management data (including offshore accounts).Produced more efficient revenue reporting.

·Account Executive System – Enhanced US Equities desk to view revenue reporting and to access, modify, reconcile & maintain current broker information. US Equities and Private Client Div used system to maintain/reconcile/report on all broker info, total revenue, and total asset under mgt. )

Primary Technologies:Classic ASP, Visual Basic, VBCOM, SYBASE, IIS, C, Perl, Javascript, Crystal Reports, FTP

Aug 1997Sep 1999

Project Leader

THE DREYFUS CORPORATION, Mellon Bank, New York, NY8/1997 – 09/1999

·Project Lead for various Marketing related applications Ranging from building full blown firmwide marketing research reporting systems, preparing the firm for Y2K, expanding and optimizing existing core Marketing database via more efficient and redesigned data objects, enhancing Data Model.Also acted as administrator and pioneer of company’s first departmental Intranet site used as a repository and dispersement center for weekly/monthly market research reports in PDF.Managed multiple teams in NYC and Pittsburgh using by leading the Unix/MF groups (located in Pittsburgh)Network group/SAS, Vendor for firmwide rollout of SAS Tools in Mellon Bank

Primary Technologies:Unix, Korn shell, Classic ASP, JavaScript, Visual Basic, VBCOM,DCOM, SYBASE, IIS,

OLE Automation, Cognos Impromptu & PowerPlay

Apr 1997Aug 1997

Trading Floor Support

MOORE CAPITAL MANAGEMENT LLC, New York, NY 4/1997 – 8/1997

  • Trading Floor Technology Support - Helped streamline market data load process via vendor based FAME app.

Primary Technologies:Unix, Perl, C shell, Javascript

Aug 1994Apr 1997

Senior Software Engineer

PAINEWEBBER INC. (now UBS),Weehawken, New Jersey 08/1994 – 04/1997

·Senior Software Engineer of several Middle Office Finance related applications which dealt with Journal Entry,General Ledger BalanceRegulatory Account tracking, Account Reconciliation and  creation of interdepartmentalWebsite for file sharing and documentation.

Primary Technologies:VB 4.0 (16-bit and 32-bit), VC++ 4.0, MFC, SDK, HTML,DHTML,

Javascript, ASP, IIS, COM, DCOM

Jul 1992Aug 1994


Nathan S. Kline Institute

NATHAN S. KLINE INSTITUTE for Psychiatric Research, Orangeburg, New York.7/1992 - 08/1994

  • Various application development, management & support roles for academic community on all platforms


Primary Technologies:IBM CM/VMS, Unix, Solaris, MacOS, DOS, PC/SQL, PL/1, Clipper, FoxPro


Sep 1987Dec 1991


The College of New Jersey

Continued Study & Technical Training:

●Designing COM+ for C++ Programmers (New York University, Spring 2000) (Grade Received: A)

●Java for C++ Programmers: (17 week; full semester course) Columbia University, NY, NY, Spring 1998.(Grade Received: A)

●Preparing for the PMP Exam (taught by Learning Tree)- 3/08

●Hands-on C#.NET(taught by Learning Tree)- 8/07

●Emotional Intelligence for Personal Leadership (taught by Inst. For Health & Human Potential 9/06)

●Project Management –Integrating Projects & Process(taught by International Inst. For Learning IIL 2/05)

●Enterprise Web Development with .NET(taught by Learning Tree)- 9/05

●.NET Security/Enterprise Web Developing(taught by Microsoft)- 2/03

●Programming in Visual C++ 4.0(taught by AT&T)- 2/97

●Advanced SQL Server Administration(taught by SYBASE) - 9/96

●Unix and C-shell programming(taught by AT&T)- 6/95


PMP, Project Management Professional

PMI - Project Management Institute


Well Seasoned Financial Technology Executive with extensive hands-on experience administrating, developing and creating a wide array of financial systems applications using a multitude of cross-platform technologies.PMI certified in project methodology along with vast technical expertise in everything web related and relational database related allows for adept communications ability when conveying business scope and detail to C-level executives as well as technical intricacies to various cross-functional technical implementation staff.Proven track record of coding, designing & managing technologies has helped increase revenue, create cost savings, streamlined existing process flow as well as provided solid customer satisfaction.In depth knowledgeof transaction clearing, trade execution, trade settlement as well as the regulatory side of the business (ie SOX, BASEL II).




Vedic Studies, School of Practical Philosophy (NYC), Travel, Skiing, Softball, Flag-football, Played Semi-Pro baseball (1995)