Shaw University

Senior Audit Manager at Wells Fargo

Indian Trail, North Carolina

Senior Audit Manager with responsibility for the Capital Markets portfolio.

Wells Fargo

Senior Audit Manager

Operational Risk Consultant responsible for Wells Fargo Securities, Equities, Investment Solutions, and Research Groups.

Wells Fargo Securities

Operational Risk Consultant

Project Manager responsible for managing multiple projects establishing Wells Fargo Securities as a full service Futures Clearing Merchant.

Business Process Consultant

for CI & T Middle Office.Middle Office lead for the Dodd Frank Regulation reform team assessing the potential impact of the new legislation on the CIG & T portfolio.Middle Office lead for the Real Time Reporting Initiative.CI & T Middle Office lead for Process Excellence Initiative.Middle Office liaison to Corporate Audit and PWC.

Bank of America

Business Manager

Manage a team of ten associates, three trader assistants in Charlotte, three trader support analyst in New York, and four trader support analyst in Charlotte supporting the Corporate Investments and Corporate Treasury portfolio managers.Responsible for managing the trade capture and substantiation controls for interest rate derivatives, fixed income securities, mortgage backed securities, equities, exchange trade derivatives, and FX from multiple front end risk systems to multiple back office systems.Responsible for reviewing and improving the middle office control model as it relates to trade capture and substantiation.Formulate tactical and strategic plans to make the middle office control functions as it pertains to trade capture and substantiation more efficient.Middle office liaison to trading, legal, risk, documentation, COO, and compliance departments.New Product Approval coordinator for the Middle Office.Project managed a 2.5 million dollar equity infrastructure green belt project which resulted in increased trading revenue for CIG.Lead an effort to improve the trade capture control model globally for a 14.6 billion structured note portfolio. Managed trade support through the LaSalle, Fleet, Countrywide, and Merrill Lynch mergers.

Vice President

Manage a team of six analysts supporting a 10 billion dollar equity derivatives desk.Manage the underlying hedge trade processing from front office system to back office system.Maintain position, price, and P&L agreement between the trading system and settlement systems.Reconcile the positions in the front office system versus the back office and facilitate all corrections.Serve as a liaison between the traders and back office to resolve settlement issues.Advise middle office and trade support on special booking procedures, position maintenance, and reconciliation.Manage the OTC derivative settlement and reconciliation process.Manage the OTC general ledger posting process for unrealized and realized P&L entries.Reconcile all realized P&L events for OTC derivatives posted to the GL versus the trading system.Work very closely with finance to address accounting inquiries.Administer the end of day Market Data capture for the trading system.Manage the brokerage payment, reporting, and reconciliation process.Formulate tactical and strategic plans to make the daily processes and procedures more efficient.Work extensively with technology to specify, design, test, and implement technology solutions, and support new product development.Liaison to trading, marketing, legal, documentation, collateral, and compliance departments.

Wachovia Bank

AVP Equity Linked

Manage relationships with domestic and international institutional clients.Support Portfolio managers and Sales Traders with client account reconciliation and settlement issues.Serve as a client liaison to ensure timely and accurate settlement of trades as well as trade corrections and trade discrepancies.Support Portfolio trading, Convertible bonds, and Options trading desks.Acting compliance manager for the team monitoring client accounts and ensuring extensions are in place for delinquent accounts.Team leader who ensures that daily tasks are completed efficiently and effectively by the support team.Served as project manager and coordinator of group projects.

Merrill Lynch

Senior Specialist Portfolio Trading Client Services

Knowledgeable in all aspects of the SWIFT network.  Responsible for system administrative functions, security administration, and project management in relation to the SWIFT Alliance and MERVA gateways.Trained in the budget process of the New York Payment Control Center.Issued tasks and coordinated meetings with related systems areas.Lead in the testing, development, and implementation of new projects.Represented Merrill Lynch in street wide meetings regarding the use of SWIFT to settle Depository Receipts.Served as Y2K coordinator for the SWIFT Utility.Assisted with a Unit Cost Analysis for the SWIFT Utility.

Senior Specialist (SWIFT Administrator)

Four months training by the Securities Training Commission.Merrill Lynch training in computing and brokerage operations as well as leadership, team building, and management skills.Rotational assignments within Treasury, Merrill Lynch Futures, Client services, Global Equity Linked Product Support, Fixed Income Derivative Support, and MBS operations.

Jay Simmons