Experience

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  PCM & Associates

  • President

    • Jan 1997 - Present

    My holding company for various assignments, research work, product awareness, items of interest on the internet, Wall Street Journal, NY Times.Presently offering Business Analysis services to the Banking, Brokerage and Insurance industries. Areas of concentration: systems conversions, global settlements, income claims, reorg. Hands on experience with Beta, Broadridge, Sunguard and SEI product offerings.

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  Broadridge Systems

  • Business Analyst Conversion Specialist

    • Aug 2007 - May 2008

    mutual fund system conversion, partial implementation, worked together with the Broadridge conversion team. The scope of the project was to install the interfaces to NSCC Fundserve, map the commission payment system to agree with NSCC's commission figures as well as the accounting departments accruals. Coordinate the daily settlements figures with the cage , as well as detail the income payments to agree with the dividend department accruals. It was decided by W&R not to proceed with BPSA at this time.Key Banc Capitlal Markets- this project involved the full conversion of all bank processes onto the Broadridge platform. Data mapping was critical for Broker Dealer files. As well as fixed income items particularly the IMPACT platform . I was charged with the conversion of the firm's stock record, dividend processing plus accruals and reorganization.I also helped mapped the proxy processing as well as the class action notification link with ADP's class action product. Data mapping as well as data modeling was in effect here since an ISS DB was introduced. KBCM decided to utilize BPSA, I worked with two analysts to coordinate between the main office and client site .to be certain the DB's were set and KBCM could query them in the future particularly for class actions.

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  Thrivent Financial

  • Business Analyst

    • Apr 2007 - Jul 2007

    hired on to assist with the development of business rules and requirements gathering for future system conversion. Completed on time.

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  Thomson Beta Systems

  • Business Analyst

    • Aug 2006 - Feb 2007

    Brought in to work on major client system enhancements gathering requirements, writing the approach and the functional specification. While testing enhancements to the RTTM (Real Time Trade Match) system I exhibited to management my superior knowledge of fixed income. This led me to chair the Fixed Income Foundation Committee. Spearheaded significant upgrades to the software to keep firm competitive with Bloomberg. These were the first enhancements in over five years of effort. Presently list requirements, set approach and write the functional specification for the users group to digest and approve. Test and oversee all enhancements to the software before going into production to the core system. Worked in tandem with Wachovia Securities, Wells Fargo Asset Mgmt. And Davenport Securities Established BETA with DTCC in New York, coordinated OFAC (Office of Foreign Asset Control) account testing with the depository.

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  Wachovia Securities

  • Business Analyst

    • Jan 2005 - Apr 2005

    Worked with no load mutual fund dept. reconciling firm positions backto Charles Schwab and the NSCC-DTC positions. Handled broker phone calls checking on ACATS and other account transfers. Handled all income processing and reinvestment of dividends. Trades were also processed through my area.

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  AMRO Bank

  • Business Analyst, ABN

    • Oct 2002 - Jun 2004

    First project on Patriot Act compliance. Established extensive customerAccount files. Worked with internal and outside auditors, Treasury Dept.Office of Foreign Asset Control (OFAC) as well The Federal Reserve Bank. Worked with group responsible for SOX compliance, reviewing financials and other documents. Brought bank into compliance with the Patriot Act as well as Know Your Customer legislation.

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  J.P. Morgan Bank

  • Business Analyst

    • Apr 2002 - Sep 2002

    The project directive was to gain control of the global securities income receivableAnd trade settlements area. Under my direction we immediately changed their income collection procedures, establishing a database of broker dealersand other trading partners. Worked with Sunguard Systems Omni platform while at JP Morgan Chase. Set-up processing of income claims by broker and settled trades utilizing the new procedures using due bills(checks) for past dividends . Established new working hours to claim funds in Moscow, Paris, Rome and London. Knowledge of SWIFT accelerated payment of claims.

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  Banque Paribas

  • Business Analyst

    • Feb 2002 - Apr 2002

    Project directive was to reconcile security positions in the bank portfolio.Established procedures and controls to bring the bank in balance to Loanet.

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  Firstar/Mercantile Bank

  • Business Analyst

    • Apr 2001 - Feb 2002

    Project directive was to establish procedures and work flows in Mercantile Banks recordkeeping and income processing for their Trust accounts. A time line was put in place and the project compliedwith departmental budgetary considerations.

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  LPL Securities

  • Business Analyst Conversion Specialist

    • Sep 2000 - Mar 2001

    Project directive was to convert LPL from the Pershing & Co clearing system to the self clearing BETA Systems platform. We established a reorg department for the LPL Securities business. This entailed the processing of physical securities for trade settlement, collecting proceeds from redemption, calls, puts,and bond maturities. Knowledge of the Federal Reserve Banks income collection, maturity processing and security settlement was paramount. Played a major role in establishing a reorganization processing manual.

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  Chase Manhattan Bank

  • Business Analyst

    • Dec 1999 - Sep 2000

    Project directive was to assist in the insurance departments accounting Area. Knowledge of insurance accounting as well as security settlement,income collection, security issue reconcilement and problem issues resolution.

  • Business Analyst

    • Nov 1998 - Dec 1999

    Project directive was to gain control of the mutual fund transfer agencyproduct, which converted to the Sunguard Transfer Agency platform from the DST T/A system that the bank had purchased from U.S. Trust Co. The immediate issue was the system conversion and backing up staff on the Sunguard transfer agency system. CMB choose the Sungard Transfer Agency system due to their strong relationship with that systems provider. Strong reconciliation, security issue out of balances, settlement problems, income allocation and customer care (shareholders) challenges were constantly arising and being resolved in a 24-48 hour timeframe.

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  Prudential Insurance

  • Business Analyst

    • Dec 1997 - Nov 1998

    Large reconciliation project for the Defined Contribution area of Prudential. Job was in Scranton Pa. Accounts were put in agreement with the firms master records. Trust accounting experience was very helpful on this project.

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  Wells Fargo Advisors

  • K

    • Mar 1997 - Nov 1997

    Project directive was to gain control of the broker dealer trade settlement and income processing area for no load mutual funds. Firm was recently purchased by First Union Bank (Wachovia). Project duration was resolved in the income area within four months. The Reorganization Dept. was in backlog. We acted in a timely manner and cleared all physical securities and claimed redemption proceeds as expeditiously as possible. Assisted the Stock Transfer Dept. with an imbalance of transfer requests.

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  Investors Fiduciary Trust Co

  • Vice President Institutional Sales

    • Sep 1992 - Mar 1997

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  Sanwa Bank Trust Co

  • Vice President Custody Operations

    • Dec 1990 - Sep 1992

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  First Fidelity Bank

  • Vice President Institutional Custody

    • Sep 1988 - Dec 1990

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  Irving Trust Co

  • Vice President Custody Operations

    • Feb 1986 - Sep 1988

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  Fred Alger Mgmt

  • Manager Portfolio Management

    • Jan 1981 - Feb 1986