Experience

• 

  Morgan Stanley Smith Barney

  • Executive Director Unit Trusts/Mutual Funds Systems/Operations/Trading

    • 2008 - 2010

    Controlled the Systems Budget process for the Investment Products Division. • Coordinated the Systems Development/Implementation of new systems for the Unit Investment Trusts and Mutual Funds Departments. • Tested and implemented the “Saving for College” process which allows Legacy Smith Barney’s Stockbrokers to electronically open and maintain client 529 Plans directly with the fund companies. Assets held at these companies now appear on client paper and electronic statements.

• 

  Smith Barney/CitiGroup

  • Director/Manager Unit Trust Systems/Operations

    • 1994 - 2007

    Oversaw the trade support and other operational efforts for the Unit Trust department. Planned, developed, and implemented systems that were required by the Business and Regulators. • Managed the Unit Investment Trust Department’s Operations and Systems group, adding and modifying Systems and Procedures as needed for executing trades and other operational functions. Daily trade volumes had peaked over 100,000 on occasion.• Developed and implemented a unique Tax Reporting related process that treated client exchanges from one Unit Investment Trust to its successor offering with only the securities that were not a part of the newer version being the taxable event, rather than reporting the entire transaction’s value. Though very complex, systems were enhanced monitor the accuracy of data received from vendors.• Established the Unit Investment Trusts Departmental Disaster Recovery Plan and coordinated that Plan with CitiGroup’s Office of Continuity of Business. Department was ready for business on the first business day following the September 11, 2001 and February 26, 1993 attacks on our World Trade Center locations.• Worked with the CitiGroup Risk Management personnel to document our Risks and implement procedures to address those Risks with periodic testing to confirm remedial steps were properly applied.• Designed a process using a Hyperion EssBase (EXCEL add-in) tool that allowed for the monitoring, analysis, and SEC reporting of Unit Investment Trust Sales, Commissions, and Client Asset holdings.• Represented the firm’s interests as a Representative with the Investment Company Institute in Washington

• 

  smith barney

  • United States
  • Financial Services
  • 700 & Above Employee

  • vice president

    • 1993 - 2004

  • director

    • 1993 - 2001

• 

  Shearson Lehman Brothers

  • First Vice President-Manager Unit Trust Operations/Trading/Manufacturing

    • 1985 - 1993

    Managed the department’s portfolio creation, Unit Trust trade execution, and operational support desks. • Implemented rollover systems process which took the proceeds from a client’s prior holding and invested it in the successor offering for the firm’s annual research selections.• Led the group responsible for the creation, supervision, termination, and Regulatory reporting of Proprietary Unit Investment Trusts.

• 

  Shearson Hayden Stone

  • Assistant Vice President - Manager Unit Trust Trading Desk

    • 1980 - 1984

• 

  LHHF Consulting

  • Team Member

    • 1910 - 1910

• 

  LHH

  • Participant

    • 1910 - 1910