Peter Carpanini
Astoria,USA
Summary
Over 20 years of experience in account management, client onboarding and risk /compliance issues. Results oriented team player who sets clear goals to achieve success.
Overview
19
19
years of professional experience
Work History
Account Management NY Manager
ROYAL BANK OF CANADA, CM LLC
01.2017 - 01.2024
- Key AM analyst on system integration of back end entry points to trading systems; stopped dual keying information in eight major systems.
- Implemented return mail process using iron mountain documentation repository. Kept fim in compliance with FINRA 10b10 rule.
- Touch point for capital markets internal and external audits from an accounts management perspective.
- Started/managed a data quality program for all teams across data management in three separate regions.
- Moved tax reporting function from account management to new tax ops team in Toronto.
Senior Business Analyst
ROYAL BANK OF CANADA, CM LLC
01.2014 - 01.2017
- Managed a team of six local and four team members in Toronto.
- Successfully moved all functions of account management NY to Toronto.
- Established a follow the sun method of operations.
- Managed over 300K active accounts for trading and account accuracy.
- Utilized metrics reporting to identify knowledge gaps and implement topic specific training modules.
- Designed, implemented and color-coded (RAG) pipeline reports, metrics, which provide transparency, and quickly identifies issues requiring immediate escalation.
- Implemented workflow tool for new account openings.
Assistant Vice President - New Accounts Team
CITIGROUP GLOBAL MARKETS, INC.
01.2008 - 01.2010
- Add and maintain institutional clients SDI and MPI for DVP/RVP accounts to facilitate straight through processing on client, account pool is 700k+.
- Work closely with AML compliance for regulatory requirements including the US Patriot Act.
- Liaison between new accounts team in NYC and Buffalo - leading to all functions moving to Buffalo.
- Daily review of account setups and maintenance.
- Key part of audit review dealing with accounts control, AML, the business and RISK.
New Account Analyst
CITIGROUP GLOBAL MARKETS, INC.
01.2005 - 01.2008
- Coordinate area testing for new system enhancements. Create test scripts; review documentation.
Education
BA -
HUNTER COLLEGE
01.2010
Skills
- Data Management
- Project Management
- AML
- Large Trader ID
- Internal and External Audit
- Data Modifications
- Data Quality
- Client Data and Documentation Collection
- SSI and Confirmation Coordination of Contracts
- Project Contact for Front and Middle Office Contact
Vendors
- LexisNexis
- D&B
- Alacra
- Markit
- Bankers Almanac
- Avox
- Factiva
- OneSource
- Iron Mountain
- WorldCheck
- Dealogic
- Ipreo
Applications And Software
- Goldtier
- Broadridge
- INA
- ADP
- ICI Impact
- Fenergo
- BBG
- MS Office
- Oasys
- Omgeo Alert
- PEGA
- ESales
- CPI
Timeline
Account Management NY Manager
ROYAL BANK OF CANADA, CM LLC
01.2017 - 01.2024
Senior Business Analyst
ROYAL BANK OF CANADA, CM LLC
01.2014 - 01.2017
Assistant Vice President - New Accounts Team
CITIGROUP GLOBAL MARKETS, INC.
01.2008 - 01.2010
New Account Analyst
CITIGROUP GLOBAL MARKETS, INC.
01.2005 - 01.2008
BA -
HUNTER COLLEGE
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