| Title/Description | Date Posted | |
 | Internal Audit | Apr 15, 2010 |
•Worked independently in the design and execution of a broad range of internal audits. •Managed audits from inception through presentation and follow up of findings. •Effectively interacted with internal and external clients including all levels of management in the design phase through resolution of audit results. •Departmental experience includes: Regulatory, Contingency Planning, Operational. •Worked with SEC auditors on a quarterly basis. •Aided in preparation for Audit Committee, SEC and Regulatory Oversight Committee meetings. •Assisted external auditors in Enterprise Risk Analysis. •Reviewed and assisted in preparation of consultant findings for management. | ||
| Senior Software Developer, Trading Systems | Apr 15, 2010 |
| •Developed major components of a real-time order staging platform for transactions from FIX and other internal protocols. The platform was designed for sell side firm traders to execute, route, cancel and correct orders of different instruments. The platform was developed using C/C++/JavaScript/XML/XSD in UNIX. •Customizable front end: Developed Excel like customizable sheet based grids UI to segment orders based on order type, security type and stage of order execution as well as having the ability to filter and sort on them in C++/JavaScript/GTK/XML/XSD in UNIX •Order trail Audit for MIFID regulations: Developed an order tracking system in C++/XSD, right from the sales order creation to the trader order completion for day and GTD orders. CSV reports are generated using XSL transforms of the XML output •Support for new swaps: Added functionality for new swaps like Inflation linked swaps, Asset swaps, Quantos in C/C++ to the trading system | ||
| Back Office Coordinator | Apr 15, 2010 |
| •Serviced a 125 member trading group team and served as a liaison between the Firm’s Trading Desk, Clearing Firm and Back Office operations. •Balanced and prepared P&L reports to correct trade and price discrepancies for securities, futures and cash trading accounts. •Responsible for reconciliation of securities, futures and cash trades for Eurodollar, Treasury, Fed Fund, Euribor, Eurex and Traders’ proprietary accounts. •Initiated the development of a reconciliation system and served as the liaison to the IT Department in order to enhance daily controls for trade differences and errors between the Firm and the outside clearing brokers. | ||
| Senior Managing Director | Apr 15, 2010 |
Responsible for oversight of all aspects of the trading floor, including: •Resolution of conflicts relative to transactions, pricing, and execution. •Recruitment, training, and supervision of arbitrage clerks, data entry personnel, runners. •Selection of indirect channel executing brokers in the New York exchanges. •Selection and management of technology, systems, and procedures | ||
| QA Lead | Apr 15, 2010 |
| •Developed manual test scripts using functional specifications and test cases for in house equipment tracking application through all phases of AGILE development. Effort contributed to the successful on time delivery of project. •Performed functional testing on existing application and maintenance releases. Generated reports, which identified functional bugs and communicated results to development team. Testing efforts ensured successful maintenance releases. •Developed and implemented testing strategy, which included documenting test plans, test cases, test scripts, execution of functional tests and defect tracking through all stages of the SDLC. •Communicated weekly status of testing effort to client project manager.. •Participated in business process meetings to ensure adequate allocation of resources and time for QA testing effort. This provided management and development team the opportunity to effectively schedule user acceptance testing and production releases. | ||
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