Summary
Overview
Work History
Education
Skills
Timeline
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David Shad

Mesa

Summary

Business professional with comprehensive background in analyzing complex data to drive strategic initiatives. Known for enhancing operational efficiency and supporting decision-making processes through detailed analysis. Highly collaborative team member focused on achieving results and adapting to dynamic business needs. Proficient in data modeling and process improvement.

Overview

19
19
years of professional experience

Work History

Business Analyst II

Osaic
01.2015 - 01.2025
  • - Designed and executed QA validation scripts; identified and reported bugs to QA and development teams, improving system reliability.
  • - Sole owner of the Financial Planning billing platform; managed end-to-end operations by resolving technical and billing issues in collaboration with vendor (Stripe) and internal technology teams.
  • - Resolved urgent system errors through out-of-cycle (hot fix) deployments in partnership with the Development Team, minimizing downtime and ensuring uninterrupted business operations.
  • - Designed and mapped form fields and digital signatures in Adobe Pro; tested and deployed forms in the document management system, reducing manual processing time and improving workflow efficiency.
  • - Drove cross-functional process improvements, streamlining workflows, boosting efficiency, and reducing manual errors across departments.

New Accounts Specialist

Advisor Group
01.2009 - 01.2015
  • - Managed discrepancy, rejection, and escalation reports; ensured accurate client account setup to support smooth onboarding and operations.
  • - Collaborated with Pershing to implement check-writing capabilities for brokerage accounts, enhancing client functionality and service offerings.
  • - Facilitated seamless account transitions from acquired firms, preserving client relationships and minimizing service disruptions.
  • - Trained and mentored team members on account processing and compliance standards, reducing errors and improving operational efficiency.
  • - Tracked system reports to identify procedural deviations, proactively addressing issues via outbound calls to maintain compliance and service quality.

Compliance System Support Analyst

Advisor Group
01.2007 - 01.2009
  • - Delivered application and compliance support for five broker-dealers, streamlining processes and reducing errors while maintaining regulatory compliance.
  • - Coordinated between compliance, supervision, and technology teams to streamline processes, improve efficiency, and maintain regulatory standards.
  • - Managed internal and regulatory requests, including FINRA and audit inquiries, partnering with Legal and Compliance to ensure compliance and mitigate risk.
  • - Analyzed service issues, documented underlying causes, and recommended systemic changes to enhance operational efficiency and client satisfaction.

Due Diligence Analyst, Client Verification Unit

UBS Financial Services
01.2006 - 01.2007
  • - Conducted source-of-wealth investigations in accordance with Section 326 of the Patriot Act to ensure regulatory compliance.
  • - Monitored transactions and flagged suspicious activity using OFAC, LexisNexis, and open-source tools, ensuring timely escalation and compliance with AML regulations.
  • - Executed due diligence reviews on politically exposed persons and government entities, identifying risks and supporting AML/OFAC compliance efforts.
  • - Prepared and delivered monthly compliance reports via Oracle tools, providing actionable insights to leadership and supporting informed decision-making.

Education

Bachelor of Business Administration (B.B.A.) - Business Computer Information Systems

Frank G. Zarb School of Business, Hofstra University
Hempstead, NY

Skills

  • Business requirements analysis
  • Quality assurance testing
  • System integration expertise
  • Compliance management
  • Adobe Acrobat proficiency
  • Oracle database management
  • Proficient in Microsoft Office Suite
  • Collaborative project engagement
  • Workflow Management
  • Regulatory Reporting
  • Requirements gathering
  • Data analysis

Timeline

Business Analyst II

Osaic
01.2015 - 01.2025

New Accounts Specialist

Advisor Group
01.2009 - 01.2015

Compliance System Support Analyst

Advisor Group
01.2007 - 01.2009

Due Diligence Analyst, Client Verification Unit

UBS Financial Services
01.2006 - 01.2007

Bachelor of Business Administration (B.B.A.) - Business Computer Information Systems

Frank G. Zarb School of Business, Hofstra University

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David Shad