Diligent and driven Financial Professional who has achieved success in a variety of roles with increasing
levels of responsibility. An effective communicator and team-builder with superior financial product
knowledge, strong analytical, management and organizational skills.
General Electric Capital CorporationJuly 2014 to CurrentProgram Leader Legal Entity Governance
Financial Products Specialist Project Management Product and Legal Entity Control Staff leadership and development Regulatory Reporting Process Implementation Implemented the Legal Entity functional design, framework and training to prepare GE Capital top tier legal entities with proper governance for enhanced regulatory environment Instrumental in the establishment of a new Broker Dealer in Mexico Streamlined the Change Management review and approval process and implemented globally Lead gap assessment for select Legal Entities to determine project scope and capability readiness for Staffing, Process, Technology, Policy, and Cultural Awareness attributes Implemented qualitative and quantitative analysis for Legal Entity tiering process to prioritize importance of ~4,000 Legal Entities Developed control and governance structure by writing and implementing governance documentation, including Financial Reporting template and CEO / CFO attestation Integrated Recovery and Resolution Planning requirements ensuring program met Federal Reserve Bank RRP expectations for all Legal Entities Manager - Legal Entity Error Reporting Provide visibility to Senior Management and drove global accountability at the Legal Entity level by improving and managing the Legal Entity Error Reporting process Re-designed error reporting process to capture Accounting errors on multiple General Ledgers and standardized errors for FR Y-11, 2314, and Y-9LP report submissions.
Goldman Sachs Group U.S. Regulatory OperationsOctober 2009 to July 2014Vice President - Senior Specialist
March 2006 to October 2009Manager
US Change Management and New Business Initiatives Team: Lead Regulatory Reporting team of 7 to establish a new Broker Dealer in Mexico.
Responsibilities included determining scope of Rule Interpretations and Regulatory Reporting, coordination of Front Office and Product aligned Compliance, Controllers, Operations and Technology teams on reporting attribute identification, sourcing and flow for Derivative, Equity, and Fixed Income trading.
Significant contributor in the selection of Mexican Regulatory Reporting vendor and establishing rapport and working relationship with primary regulator, Banco De Mexico Managed coordination of Regulatory Operations Manager Director sign off for all New Product Committee Memos, including global review and impact assessment for all Goldman Sachs Legal Entities Led the coordination, impact assessment, and project management of all New Business Initiatives including Regulatory Rule Changes, Industry Initiatives, and Technology Initiatives as well as Internal and Regulatory Audits Manager - Transaction Reporting Business Analyst Team: Responsible for Regulatory Reporting Issue Analysis and Remediation and Audits (Internal and Regulatory) for Electronic Blue Sheets, CBOE Rule 8.9, PHLX Rule 1022, Rule 410B, INSITE, and Rule 10B10 Customer Confirmations for multiple Legal Entities Other Responsibilities Included: Manager of team responsible for logging and tracking all US Regulatory Inquiries including initial March 2006.
January 2000 to October 2000
Manhattan College1991Bachelor of Science: Finance Finance, International Business HistoryRiverdale, New YorkGPA: Dean's List, and named to 1991 Register of Who's Who in American Colleges and
Universitiesposting to Senior Operations Management, managing data collection associated with Inquiry, and composing timely response to Regulator with coordination of Legal and Compliance Citigroup Vice President - US Equity Derivatives - Financial Control, Sector Strategy Trading Produced Daily Profit and Loss (P&L) Reconciliation between Front Office and Back Office Product Processors for Equities, Futures, Options (ETO & OTC), and Swaps (Equity and IRS) Performed Month End Close, including reconciling P&L between Front Office and Back Office Product Processors, reconcile and tie out to both Bank and Broker Dealer General Ledgers comprising all P&L Components Issued Daily Break Reports to Senior Operations Management and Front Office Trading encompassing all Legal Entities, highlighting breaks on Quantity, Price and Market Value Citigroup Vice President - Controllers Group - Global Trading Profit and Loss Project (GTPL) Manager responsible for the successful implementation of US Equities for GTPL Project. Responsibilities included development of Business Requirement Documents for all User Groups that resulted in improved Reconciliation and P&L Reporting tools, the development of UAT test scripts, validation of test results including sign off Summit Systems Inc Senior Business Analyst - New York Product Center Manager of Business Relationship team of seven staff members in New York Business Center responsible for client support for over 25 client accounts covering front to back office functionality Developed Test Cases for Quality Assurance Testing for new software releases covering front office functionality for Interest Rate Swaps, Caps/Floors, Swaptions, FX Spot, Forwards, Swaps, Exchange Traded Futures and Options, and Straight Through Processing Deutsche Bank Assistant Vice President - Deutsche Asset Management Passive Equity Management Maintained Forecast Model updated daily to reflect all changes in business outlook with detailed Revenue and Expense analysis and business profitability projections Prepared and coordinated Business Plan for all revenue streams, expected new/lost business, and Direct and Allocated Costs Credit Suisse First Boston Assistant Vice President - Fixed Income Business Unit Controller Issued Front Office P&L Reporting, including monthly position and P&L reconciliation Prepared and produced yearly budget, including the monitoring and agreement of all Direct Expense and Cost Allocations JP Morgan and Co. Inc Assistant Vice President - Base Metals Derivative Trade Support Produced and issued position and P&L reporting for USD and foreign currencies, performed exchange position reconciliation with clearing house, verified foreign currency and physical metal settlements Lehman Brothers, Inc Trading Assistant - Commodity Risk Management Group Extensive exposure to Futures, Forwards, Options and Swaps for Precious and Base Metals, responsible for P&L reporting including the option expiration process Finance Finance, International Business History Dean's List, and named to 1991 Register of Who's Who in American Colleges and Universities
Accounting, Asset Management, budget, Business Analyst, Business Plan, Change Management, Controller, Credit, client, client support, data collection, Derivatives, documentation, Equities, Equity, Senior Management, Financial, Financial Control, Financial Reporting, Fixed Income, Front
Office, Front Office, functional, Futures, leadership and development, Legal, Legal and Compliance, logging, Director, managing, Market, Exchange, Office, outlook, Month End Close, Operations Management, Processors, Profit and Loss, Project Management, Quality Assurance, quantitative analysis, rapport, reconciling, reporting, Requirement, Risk Management, settlements, scripts, Staffing, Strategy, Summit, Swaps, validation