Experience

Mirae Asset Securities (USA) Inc.

• United States
• Capital Markets
• 1 - 100 Employee

• Director

  • Mar 2017 - Present

  Built and established all reconciliations platforms and over sight for an upstart company in their Back Office and Middle Office Operations. Insure that controls were put in place in Operations to be regulatory compliant . Developed regulatory reporting process for Blue sheet reporting to the SEC and FINRA and Short Interest reporting to FINRA. Built and established all reconciliations platforms and over sight for an upstart company in their Back Office and Middle Office Operations. Insure that controls were put in place in Operations to be regulatory compliant . Developed regulatory reporting process for Blue sheet reporting to the SEC and FINRA and Short Interest reporting to FINRA.



The Bank of New York Mellon

• Greater New York City Area

• Operations Conversion Manager

  • 2015 - 2017

  -Managed Operations Conversions team for incoming top tier Hedge fund business. -Developed reconciliations between Bank and Buy-side firm Nostro and Depot accounts. -Created Operations KRI’s and daily MIS reports that provided efficiency and effectiveness for strategic decision making. -Provided overall direction and established framework for the project daily management call update. -Managed Operations Conversions team for incoming top tier Hedge fund business. -Developed reconciliations between Bank and Buy-side firm Nostro and Depot accounts. -Created Operations KRI’s and daily MIS reports that provided efficiency and effectiveness for strategic decision making. -Provided overall direction and established framework for the project daily management call update.



Broadridge

• United States
• Financial Services
• 700 & Above Employee

• Tax Services Operations Manager

  • 2014 - 2015

  - Managed an Operations process for tax data on complex debt instruments for calculation of proper cost basis reporting for custodian for Tax filings . - Provided guidance to an operations team on how to review prospectuses to determine taxation -Ensured that CUSIPs with client holdings produce original discount calculation for year-end tax reporting on 1099-OID forms -Maintained Taxonomy data base to ensure clients tax information is accurate. - Managed an Operations process for tax data on complex debt instruments for calculation of proper cost basis reporting for custodian for Tax filings . - Provided guidance to an operations team on how to review prospectuses to determine taxation -Ensured that CUSIPs with client holdings produce original discount calculation for year-end tax reporting on 1099-OID forms -Maintained Taxonomy data base to ensure clients tax information is accurate.



Jefferies

• United States
• Investment Banking
• 700 & Above Employee

• Senior Vice President of Operations Control , Operations Risk

  • Oct 1997 - Apr 2014

  Implementation of firm’s global Operations KRI's and daily, weekly and monthly MIS reports including thresholds averages, root causes, trends, responsible parties and remedies. Applying knowledge of Sarbanes Oxley, Basel II & III, and Dodd-Frank within Operations. Key Contributions: Operations Control - Directed new product and business integration for both domestic and international services -Introduced and led office automation via the Accurate and Frontier vendor reconciliation platform. -Managed business change management - acquisitions and integrations -Created Workflow procedures & control process in partnership with internal department leads and updated quarterly to affirm the control environment to the examiners. -Implemented firms transition of physical securities to non-certificated custodial holdings-DTC Operations Risk -Collaborated with business leads to draft plans, develop KRI’s to establish thresholds to enhance the monitoring and mitigation of risks within each business unit. -Reported directly to the Chief Financial Officer of the firm to disclose any and all findings in Operations such as large, aged or unusual breaks that may have an impact to the firms Quarterly filings -Organized working groups of business leads and technical teams to identify and prioritize critical applications & infrastructure for testing & verification with internal audit teams. Reconciliation -Managed staff covering all financial products (Investment Banking, Equities, Fixed Income, Commodities and FX) -Responsible for all Nostros and Depot accounts to be reconciled daily and breaks distributed -Firm Balancing including Firm position reconciliation , P&S and Bookkeeping. Show less



SLS Securities

• Jersey City, NJ

• Manager -Operations Control

  • Jan 1996 - Sep 1997

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Mabon Securities

• Greater New York City Area

• Group Manager - Correspondent Clearing Services

  • Apr 1993 - Jul 1995



Security Pacific Clearing

• Greater New York City Area

• Senior Account Manager - Government Securities

  • Sep 1985 - Mar 1993