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Work Background
ConfidentialBlackrock Project - Data Governance
Jan. 2023Charlotte, North Carolina, United States
ReformisConsultant - CRD, BRS, Markit
Jan. 2021 - Aug. 2022London, England, United KingdomThinkfolio Compliance Coding. UK based. Charles River, Blackrock, Markit consultant - Various clients and projects.
AllianceBernsteinVice President of Coding Compliance Guideline Management
Jan. 2019 - Dec. 2019Greater Nashville Area, TNBuilt a Team for a new office including managing and training new personnel in systems Coded Latent Zero (Sentinel), Linedata and Proprietary systems
TransamericaCharles River SME Project Lead
Sep. 2018 - Dec. 2018Baltimore, Maryland AreaLead for a complicated Derivatives project within Charles River. Worked directly with Business analysts, Programmers, Vendors, Business Department Heads on the feasibility of new software integration and design finding solutions withing the confines of current clients needs.
PRIVATECompliance Systems Consultant Bloomberg
Oct. 2017 - Aug. 2018Greater Boston AreaBloomberg Compliance Coding. Oracle Financials.
Northern Trust CorporationMIFID II BUSINESS ANALYST - Charles River and Blackrock
Jan. 2017 - Sep. 2017Greater Chicago AreaMIFID II Project – evaluated software vendor’s solution for cross business impacts. Managed multiple software vendors to ensure compliance with new regulations. (Charles River, Blackrock, Eagle PACE, RTT, etc)
Transaction Reporting, Trade Reporting and Client Reporting changes specific to new regulations
Participated with Steering Committee, providing recommendations. Coded Charles River Compliance rules - made changes for new regulations, corrected old rule coding to ensure proper functionality.
Deutsche BankCharles River & Blackrock Coding Consultant
May. 2015 - Dec. 2015New York, New YorkConversion project Charles River to Blackrock Aladin software. Verified Compliance Rules and Coding.
American Family InsuranceCompliance OMS SME Blackrock
Jan. 2015 - Dec. 2016Madison, Wisconsin, United StatesHelped create a Compliance Monitoring Program for client using Blackrock OMS. Daily Compliance Monitoring, IMA & Guideline Management, Writing Procedures, State Insurance Rule Coding Project, Verifying & Testing Coding in Blackrock Aladdin.
Wells FargoCharles River SME Consultant - Compliance
Jan. 2014 - Apr. 2015Charlotte, North Carolina, United StatesProvided expertise in the Charles River Compliance Engine.
Franklin Templeton InvestmentsCharles River Rule Writing Project Manager
Jan. 2013 - Dec. 2013San Francisco Bay Area and Poznan, PolandFormed and lead a new team of Charles River Coding experts covering various desks around the world. Separating the task away from Compliance and formed a separate division that concentrated on just coding. Provided training to the new department including documentation of various best practices. Team location in Poznan, Poland.
Charles River Version 9.1.5
Completed Charles River Compliance Course for Version 9 at Charles River HQ in Burlington, MA
SchrodersCharlies River Compliance
Oct. 2012 - Nov. 2012New York, NYCovered for Compliance Officer's maternity leave - day to day compliance duties from coding to Alert monitoring
RobecoCharles River Compliance Consultant
May. 2012 - Aug. 2012Rotterdam–The Hague metropolitan area, South Holland, NetherlandsWorked on location in EUROPE: Rotterdam, Netherlands
Project Sentinel to Charles River Conversion
Charles River Version 9.1.4 Coded Complaince Rules for Equity and Fixed Income accounts.
JP MorganConsultant - Compliance & Risk Management
Jan. 2011 - Apr. 2012New York, New YorkWorked on location in NEW YORK & NEW JERSEY Primarily responsible for coding Charles River Compliance Master and Linedata Longview Systems. Documenting Processes and Controls for the compliance monitoring department.
Worked with vendors to provide solutions to complex compliance requirements.
Guideline Review, interpreting restrictions, reconciliation
Alert monitoring
Linsco Private LedgerConsultant - Business System Analyst
Jul. 2007 - Sep. 2007San Diego, CALarge AMEX project. Wrote Business Requirements.
RICE HALL JAMESConsultant - Portfolio Accounting
Jan. 2007 - Jul. 2007San Diego, CAImplemented Advent Moxy OMS trading platform for small Portfolio Management firm
Wachovia SecuritiesConsultant - Charles River Business System Architecht
Jan. 2007 - Dec. 2008Charlotte, North CarolinaCharles River Coding role, coded and tested over 5000 Complaince rules for both Fixed and Equity Portfolios.
MetlifeSr Business System Analyst Consultant
Sep. 2005 - Dec. 2006Boston, MAPrimarily responsible for coordinating the successful development and integration of Enterprise Individual Business compliance tools, technologies and systems. Ensured that Compliance policies and procedures, informational releases, training materials and continuing education programs were delivered consistently throughout the Enterprise. Ensured that best practices were incorporated into updated policies and procedures, that comprehensive compliance-related tools and systems were implemented within time and budget constraints, and that new and enhanced systems and resources meet their predefined and required functionalities. Created QA standards for the introduction and enhancement of compliance systems and projects. Identified performance gaps and prioritized training needs related to the Comprehensive Online Management System (COMS), the Sales Material Review System (SMRS)/Livelink and various other compliance systems.
DST InternationalImplementation Consultant
Jan. 2005 - Aug. 2005Boston, MAFront Office Product Line: Gather, define and document business requirements, perform product research and carry out implementation tasks for customized client solutions. During an implementation define customer requirements, install and configure software, support data conversion, establish operating procedures, conduct training and provide production support. Specialized in the HiCompliance software product.
Olmstead AssociatesCompliance & Charles River Consultant
Oct. 2004 - Dec. 2004Pittsburgh, PAProvided on site compliance consulting for client location. Installed CRD Pre and Post trade system for both Equity and Fixed Income desks. Defined & programmed compliance rules into CRD. Developed a detailed project plan for implementation of the rules. Developed operational workflows and processes in alignment with industry best practices for ongoing support of the compliance engine. Provided hands on training for CRD administration.
Mellon FinancialSr Compliance Officer
Jan. 2003 - Oct. 2004Boston, MAResponsible for assisting in the development and administration of the Compliance Program for the Fixed Income Trading Desk. Developed procedures to assure that the day-to-day sales and related service activities of supervised persons comply with all applicable laws, regulations & company rules and to detect instances of possible non-compliance. Implemented Charles River Development (CRD) Pre-Trade Compliance System, composed test scripts in a SQL environment. Worked on SAI, Prospectus, Cross Trading, Trade Allocation, Soft Dollar Tracking, Best Execution, Derivatives, Underwriting, Affiliated Broker Trading, etc. Assisted with Sarbanes-Oxley Rule 38-a-1. Sat on the trading floor and provided real time compliance guidance for the portfolio managers.
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