Experience

Investor Cash Management

• Senior Operations Analyst

  • Sep 2020 - Present



CIBC Private Wealth US

• Wealth Operations Manager

  • Sep 2018 - Sep 2020



Driehaus Capital Management LLC

• Operations Specialist

  • Aug 2014 - Sep 2018

  Support daily operations for credit strategy funds. Compare portfolio management team trade details to broker confirmations. Book trades for all credit strategy trading activity. Security types include foreign and domestic: equities, bonds, bank loans, swaps (credit default and index), options, futures, FX Forwards and Spots. Monitor trades through settlement process and resolve trade mismatches and fails. Reconcile cash utilizing fund accountants, the custodian bank, and firms accounting… Support daily operations for credit strategy funds. Compare portfolio management team trade details to broker confirmations. Book trades for all credit strategy trading activity. Security types include foreign and domestic: equities, bonds, bank loans, swaps (credit default and index), options, futures, FX Forwards and Spots. Monitor trades through settlement process and resolve trade mismatches and fails. Reconcile cash utilizing fund accountants, the custodian bank, and firms accounting system (Advent Geneva). Liaison between Driehaus and prime brokers, custodian bank, and fund accountants. Confirm price validity of all positions working with portfolio managers and Driehaus pricing committee. Monitor and maintain all aspects of margin reporting from the prime brokerage systems including initiating wires and pledge movements. Process corporate actions on Advent Geneva. Process and execute spot FX transactions needed to clear foreign securities. Show more Show less



OptionsHouse LLC

• Sr. Banking Specialist

  • May 2010 - Aug 2014

  Started banking department and manage all banking activities including wire transfers, ach transfers, check deposits and withdrawals. Process cash movements for IRA accounts. Monitor cash movements for fraudulent activity. Reconcile stock and option position breaks for OptionsHouse customers. Monitor expiring option positions to limit company exposure. Review and verify corporate actions and company reorgs. Implemented new tools for customers and operations team such as trade search capability… Started banking department and manage all banking activities including wire transfers, ach transfers, check deposits and withdrawals. Process cash movements for IRA accounts. Monitor cash movements for fraudulent activity. Reconcile stock and option position breaks for OptionsHouse customers. Monitor expiring option positions to limit company exposure. Review and verify corporate actions and company reorgs. Implemented new tools for customers and operations team such as trade search capability and giving the customer the ability to process IRA disbursements online through the trading platform. Serve as backup for operations manager. Provide support for trade desk and customer service in times of high call volume. Monitor expiration process and review trade activity. Show more Show less



thinkorswim, Inc

• Operations Control Analyst

  • Nov 2007 - Mar 2010

  Main responsibilities include mutual fund and bond analysis, research into various financial policies and practices in order to resolve discrepancies, balancing of stock, options, bond and futures positions for clients, as well as numerous other tasks related to dividends, bond activity, corporate actions and data management. In charge of reconciliation processes for thinkorswim Canada.



JPMorgan Chase

• Control Processing Analyst

  • Jan 2006 - Oct 2007

  Balance commercial paper accounts and research and resolve discrepancies. Setup customer programs. Ensure accuracy of fund transfers.



CBOE

• TRADING ASSISTANT/TRADE CHECKER

  • Jan 1998 - Jan 2005

  Equitec Proprietary Markets, Scott Snyder and Tony Batista, Tom Coogan, First Options Clearing.