261 Lakewood Toad
New Egypt, NJ 08533
Principal - Financial Data Management, Inc.
My experience as BA/PM in financial services spans approximately 20 years. I posses a thorough knowledge of portfolio/wealth management, pension trust accounting, global securities processing, related depositories, systems and operations for investment banking and management firms and custodian banks. As a senior business analyst/project manager, I have been involved in various analyses, design and related enhancements for financial services support systems while participating in the design and development of Wealth Management, Investment Trust Accounting and Portfolio Management Systems and Reporting, including the preparation of business requirements and system specifications. As project manager/business analyst, I've directed and participated in all virtually phases of Systems Development Life Cycle (SDLC), using SQL, UML, Use Case QA testing. My written and verbal communication skills are considered excellent, having had multiple industry-related articles published.
Extensive Experience in the following:
• Portfolio Management and Wealth Management systems (both internal and Web-based), including portfolio analytics, performance measurement, order entry, compliance, reporting and account queries for account types
• Technical Writer of system requirements and specifications, marketing literature and industry related articles
• Authoring complete application Help facilities, using all of the latest Help Development software
• Designing and developing websites for local small business clients
• Institutional/Pension Trust Accounting, Wealth Management Systems and their supporting custodial operations, including trades/transaction processing and reporting
• Custody Operations, including trades processing, security transaction settlement (all aspects of processing pension, foundation and corporate transactions through DTC, FBE, Euroclear, and CREST)
• Settlement and associated reconciliations of securities lending, income and corporate actions processing for all investments instruments
• Custody Systems, supporting all related transactions processing, income and corporate actions processing, account holdings, inquiries and reporting
• Development of Custody, Pension Trust Accounting, Portfolio Management and Corporate Actions support systems under SDLC discipline
• Preparation of business requirements, system specifications, user interface designs, test plans, test cases and the execution of systems applications testing, authoring Help system components and user documentation
• Processing requirements for virtually all security types, including equities, bonds (corporate, municipal and government), mortgage backs, all other asset backs, commercial paper, options, derivatives, rights, warrants, etc.
• Development of Market Data database tables for all security types, including equities, bonds, treasury notes, mortgage backs, other asset backs, commercial paper, options, derivatives, rights, warrants, etc.
• Selecting, and working with, Market Data Vendors
Proficient in the use of:
All Server, PC-based and Mac-based operating systems, MS Project, MS Word, MS Excel, MS PowerPoint, Visio, RoboHelp, MS Publisher, MS Outlook, Adobe Illustrator and PhotoShop, SnagIt, website development software, including WordPress (XHTML, HTML, CSS,) and Securities Custody, Trust Accounting and Portfolio Management systems.
Life Editorials April 2012 to Present
Author and Designer of Life-Editorials-Commentary.com
My responsibilities included writing and publishing editorial articles on the financial services industry, politics and human interests stories. Designing websites for local small business clients, and authoring Help documentation to support for investment banking, accounting and portfolio management systems
Citibank January 2010 to January 2012
Project Manager/Business Analyst
• Worked on converting from a Smith Barney custodianship for Private Wealth Management to using Pershing as custodian
• In converting from the Smith Barney front-end to Pershing, participated within Project Management team for Citibank’s Private Wealth Management (PWM) by monitoring the progress of 9 IT groups against scheduled milestones, underlying tasks, and preparing related reports to senior management
• Analyzed the functionality of PWM supporting system, BOSS (Broker Operating Settlement System), and its sub-systems as well as the associated interfaces and produced diagrams and supporting documentation, describing both the current environment and the proposed environment with Pershing as custodian
Project Manager August 2003 to July 2009
• Collaborated in the design and development of major components of a Web-based Pension and Private Banking (AKA Personal Wealth) Portfolio Management System
• Performed analysis and documented system requirements for development of a Web-based Global Corporate Actions system
• Project Manager for the implementation of a Corporate Action system for a top-tier Investment Management firm
• Performed analysis and participated in the design of an Enterprise Reporting product of a Web-based Portfolio Management system
• Authored the Help facility and User Guides for all components of a Web-based Portfolio Management system
• Coordinated the testing (New York and London) of all core Web-based products as well as product enhancements prior to release
• Developed test plans for testing the core product after enhancements and prior to new releases.
Montclair Financial Technology
Business Analyst July 2000 to August 2002
• Collaborated in the design and development of major components of a Web-based Pension Trust Portfolio Management System
• Authored the Help System and User Guides for a Web-based Trust Portfolio Management System including features supporting compliance, investment analytics, trade order initiation, performance measurement and electronic reporting
• Conducted full QA test cycles on new software releases ensuring that all functional requirements performed to specification.
JP Morgan Chase
Project Manager November 1998 to May 2000
• Project Manager/Team Member for defining business requirements and system specifications for a new centralized securities database, supporting pension, corporate and personal trust investment transactions
• Participated in all phases of Systems Development Life Cycle (SDLC)
• Analyzed vendor market data formats and documented all data elements for classification of investments.
Bankers Trust Company
Project Manager/Business Analyst September 1996 to December 1998
• Analyzed fixed income and equity securities data from information sources for the development of (and mapping to) corporate action tables.
• Coordinated efforts between business line operations and IT professionals in the design of a Multi-currency (currently referred to as Global) Accounting system
• Evaluated market data vendor services to determine which best supports pension and corporate client’s requirements
• Defined business requirements and system specifications for global trust accounting system
• Managed a regional office-planning project for the acquisition of additional business from another custodian
Montclair Financial Technology (MFT), Inc. May 1996 to September 1996
• Co Authored the User Guide and Help facility for a new investment analysis and reporting workstation based product
Project Manager/Business Analyst January 1992 to June 1993/
October 1994 to April 1996
• Prepared professional responses to RFIs/RFPs for marketing institutional accounting and custodial services to major municipal and private pension funds, foundations and investment funds on behalf of Citibank
Long Term Credit Bank of Japan
Project Manager January 1989 to October 1991
• Designed User Interfaces and defined business requirements for this investment banking firm to support portfolio management system
• Defined requirements and specifications for Securities Custody and Client Portfolio Accounting systems
• Analyzed and defined business process reengineered opportunities for the US custody operations and trust accounting administrative unit
• Evaluated and compared vendor software as an alternative to in-house development
Bankers Trust Company
Project Manager/Business Analyst January 1984 to November 1988
• Participated in macro-level design, performed needs analysis, defined business requirements, prepared system specifications, participated in development, testing and implementation (full SDLC) of a new global securities accounting system
• Designed, developed and implemented Corporate Action response workstations
BS - Pace University – Accounting and Data Processing
MBA – New York University – Business Management