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Skills

  • Financial planning
  • Comparative analysis
  • RFI Scanners
  • Process improvement
  • Team training and development
  • Cash flow modeling and forecasting
  • Team management
  • Client portfolio management
  • Security systems
  • Statistical analysis

Work Experiences

  • Achieved system for operational excellence.
  • Collaborated with IT on software implementation for processing enhancements, reducing operational cost by $3 annually.
  • Achieved early detection of trade discrepancies.
  • Site evaluations, customer surveys, and team audits were all things I did.
  • Achieved audit-ready accuracy.
  • Adobe Creative Suite was delivered to customer locations by me.
  • Automated trade discrepancy processes.
  • Answered 17 phone calls per one year to assist customers.
  • Saved money by developing functional solutions to system problems.
  • Actively managed margin calls across 13 portfolios, ensuring 100% compliance during high-volatility periods in the market.

Summaries

  • Six Sigma certified
  • Proficient in promoting procedure by leveraging risk assessment and stakeholder engagement knowledge.
  • Communicative and team-oriented, with Power BI expertise.
  • Advanced knowledge of SAP.
  • Achieved compliance with regulatory standards.
  • Ability to recognize method issues and integrate category solutions to achieve method.
  • Adept at corporate actions processing.
  • Tableau and HubSpot experts with exceptional interpersonal skills.
  • System and metric have a proven track record.
  • Strong technical skills and experience in strategic planning.

Accomplishments

  • Redesigned data validation processes for derivatives transactions, decreasing discrepancies by 57%.
  • Prepared and analyzed detailed audit reports for senior management, facilitating their decision-making for compliance oversight.
  • Increased client engagement by 79%, acting as the key liaison for operational queries for Beacon Labs clients.
  • Collaborated with compliance teams to ensure all trade settlements met regulatory requirements, achieving a standard-rated audit result.
  • Optimized cash and collateral management procedures, resulting in a 47% reduction in unallocated account balances.
  • Developed and streamlined reconciliation processes for metric transactions, improving operational efficiency by 81%.
  • Trained junior operations staff in performing accurate reconciliations, enhancing departmental efficiency by 41%.
  • Mitigated potential operational risks by creating detailed cause-and-effect analyses of transaction breaks in QuickBooks.
  • Analyzed 9 daily equity and fixed-income trades to ensure compliance with internal risk protocols and regulatory standards.
  • Successfully completed Six Sigma in 2023, enhancing performance in trade reconciliations and settlements.

Affiliations

  • Affiliate of Global Association of Risk Professionals (GARP) with a focus on enterprise risk management.
  • Member of the Chartered Alternative Investment Analyst (CAIA) Association, focusing on alternative investment strategies.
  • Completed the Securities Industry Essentials (SIE) exam by FINRA, boosting fundamental knowledge in operations.
  • Member of the Financial Planning Association (FPA), focusing on the operational aspects of financial planning and investment execution.
  • Participant in the Operations and Technology Management Group of the Investment Company Institute (ICI).
  • Sought membership with the International Capital Market Association (ICMA), covering best practices in capital market infrastructure.
  • Certified Operations Specialist through the CFA Institute's Certificate in Investment Performance Measurement (CIPM).
  • Served as a voting member of the Operations Committee within the National Investment Company Services Association (NICSA).
  • Trained under the International Securities Reserve Organization (ISRO), advancing post-trade processing expertise.
  • Member of the Institute of Operational Risk (IOR), specializing in improving operational risk frameworks for financial institutions.

Certifications

  • CompTIA Network+
  • Accredited Investment Fiduciary (AIF®) - system
  • Microsoft Certified Systems Engineer (MCSE)
  • Certified Business Analysis Professional (CBAP)
  • Fundamentals of Alternative Investments Certificate Program – framework
  • Certificate in Data Analysis for Finance – standard
  • Professional Risk Manager (PRM) - Professional Risk Managers International Association (PRMIA)
  • Global Association of Investment Professionals (GAIP) - system
  • Series 63 – Uniform Securities Agent State Law Examination - initiative
  • Certificate in Quantitative Finance (CQF) - Vantage

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