Experience

Ladenburg Thalmann Asset Management
• United States
• 1 - 100 Employee
• Operations & Billing Manager

  • Aug 2020 - Present


Tegra118 (formerly Investment Services, Fiserv)

• Service Management Level IV

  • May 2008 - Jul 2020

  Manage Investment Services total 40 plus Tier 1, Tier 2 & Tier 3 Manager & Sponsor Clients on helping them to solve complex wealth management problems with Fiserv developed technology Manage all aspects of operations: interface, portfolio administration, trading, capital reorgs supports, and implementation with use of all Fiserv solutions. Conduct weekly, monthly or quarterly calls to discuss scopes of customization requests and initiatives, helping clients achieve their strategic objectives as identified in the Clients Account Plan. Conduct yearly workflow analysis at client site to identify opportunities for operational efficiencies and process improvement by utilizing Fiserv solutions. Responsible for pursuing and maintaining operational level relationships with all clients. Work closely with Finance department on revenue forecasting and accurate clients’ invoicing Responsible for customer satisfaction, client retention, and development. Show less



New York Life Insurance Company

• United States
• Financial Services
• 700 & Above Employee

• Mananger - EIG Operation

  • Jan 2005 - Mar 2008

  Managed an Operation group of 5 employees that interface with, and support Portfolio Managers, institutional clients, and client services. Assets under management were $17 billion. Identified and lead efforts to improve the quality of reporting systems and processes. Highlights areas of opportunity to improve efficiency and reduce risk. Evolved regulations and created operational procedures for team members to make aware of their duties & compliance responsibilities. Produced monthly & quarterly client reporting package to all separate managed accounts. Interface with compliance, IT, custodians, auditors and others. Boarding of new clients. This included dissemination of data to our operating (Geneva) and trading (Charles River Development) systems. Set up clients in composites for GIPS (Eagle/Pace database). Worked on separately managed accounts, mutual funds and hedge funds. Clients include sub-advisors accounts, state pension funds, union accounts, trusts, foundations and commingled vehicles. Trained new employees in specific job functions using the Geneva accounting system. This included: new account and security set up, pricing, processing corporate actions, entering and correcting trades and other related types of transactions. Generated various reports including performance. Responsible for scheduling and monitoring daily jobs, cash flows, cash and asset reconciliations and any special projects requested by the clients, investment teams, auditors, custodians and institutional client service teams. Worked on pricing, corporate actions, cancel and correction of trades, account and security setup and maintenance. Maintained performance and assets under management data to firm-wide database management system. Handled Pay in Kinds for mutual funds and commingled or collective products. Involved in the conversion from Checkfree/APL to Advent Geneva. Show less



John A. Levin & Co.

• Investment Management
• 1 - 100 Employee

• Supervisor/Wrap Portfolio Administration

  • Mar 1996 - Jan 2006

  Generated all performance and sales reports for $1.6 billion equity portfolio. Communicated all portfolio developments and trades to management, sales and operations teams. Support marketing, sales and trade support needs & concerns. Invested client accounts using Security APL, GIM II and X-tra trading systems. Produced monthly, quarterly and yearly performance reports use in all marketing materials and sales proposals. Calculate and sent out invoices to Sponsors for quarterly management fees. Calculate Regional Sales Directors commissions on a quarterly basis. Create and customize internal sales reports to assist regional marketing directors in business retention and development. Provided weekly cash reconciliation/pending trades reports to portfolio manager for decision making on portfolio changes. Trained new employees on operating procedures for all WRAP programs and assisted manager in developing improved guidelines and procedures for new employees. Act as Key Liaison for our seven Wrap Fee Program under approximate 10,000 accounts – Merrill, Smith Barney, Pershing, Lockwood, UBS, Russell & AdvisorPort Show less



Forstmann-Leff Associates

• Operation Assistant

  • Apr 1995 - Nov 1995

  Analyzed daily trade transactions to ensure accuracy of trade data. Investigated and resolved problems for clients, other departments and staff. Maintained account information on TFN Alert system and Axys (Advent Software) system. Ensured the proper settlement of all transactions with banks and brokerage firms. Analyzed daily trade transactions to ensure accuracy of trade data. Investigated and resolved problems for clients, other departments and staff. Maintained account information on TFN Alert system and Axys (Advent Software) system. Ensured the proper settlement of all transactions with banks and brokerage firms.