STEPHEN C.

FELDMAN
Effort, PA 18330
Phone: 570.236.9099

www.linkedin.com/in/scraigfeldman
scraigfeldman@gmail.com
SUMMARY

Ambitious, analytical, and meticulous Investment Operations & Risk Management professional with extensive experience
in onboarding clients/investors, leading business operations, and applying due diligence in the Financial Services industry.
Develops, implements and improve systems/programs that modernize financial operations and investor/investment
processes. Consistently builds strong working relationships with clients, vendors, service providers and colleagues.

KEY SKILLS
Client/Investor Onboarding
Client Services/Relationships
AML/KYC/Due Diligence Expert
Vendor/Service Provider Mgnt

System/Software Implementation
Process/Program Improvements
Verbal/Written Communications
Troubleshooting/Problem Solving

Operational Risk Management

Alternative Investments
New Fund/Product Launches
Analytical/Detail Oriented

TECHNICAL SKILLS
Web Development & Relational Database Technologies; Advent Geneva; WorldCheck;
Portfolio Management Platform (Proprietary HFS System); Salesforce; Fiserv; SAAS;
Clienteer (ITG Investor Database); Microsoft Office Suite; Adobe; SharePoint;
Internal Banking Systems; CQG & Futuresource Technologies; Commodities Analysis Software

EXPERIENCE
J.P. MORGAN CHASE, NEW YORK, NY
2000 2015
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC., NEW YORK, NY
Senior Operations Analyst of Onboarding & Implementations (08/2005 07/2015)
Directed the day-to-day operations of the firms hedge fund solutions (HFS) business with over $12B AUM servicing
approximately 4,000+ investors. Products included commingled funds, funds of ones and single managed accounts.
Developed and implemented a new and robust investor system: writing design specs, BRDs and continuous UAT
functions. Facilitated/monitored all investor transactions and successfully creating and maintaining a new enhanced
investor-tracking database for reporting and data governance.
Redesigned and restructured investor business processes and data management for RFPs, RFIs and multi-faceted
reporting. Wrote new onboarding process manuals for ever-changing regulations environment including FATCA, Form
PF, Dodd Frank and Volcker. Trained, developed and mentored junior staff members for new and updated processes.
Created strong investor relationships with 12 current/prospective institutional investors, 5 defined benefit mandates,
7 sales distributors/consultants, 10 custodians/prime brokers and 15 vendors/service providers/administrators.
Subject Matter Expert and point person for all internal/external groups related to the business including Accounting,
Compliance, Legal, Investor Services and Risk Management teams.

Spearheaded and managed all investor onboarding functions including gathering and retaining documentation, CDD,
EDD, AML/KYC/BSA verifications, FinCEN/OFAC monitoring, sanction/PEP screenings, FINRA, SEC, BSA and tax
documentation requirements.
Coordinated ongoing operational due diligence and business examinations for process remediations, corporate
actions, quality controls, reconciliation processes, BCP processes, banking guidelines adherence, process efficiencies,
system upgrades, data management and services that fostered business growth and compliance. Highly skilled in
troubleshooting and problem solving for investors and associated internal groups.
Ensured data integrity and facilitated production of financial reports: audited financials, ERISA reporting, regulatory
reporting, investor/investment reporting and various reports for internal/external audit groups, compliance teams,
senior management and government institutions.

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STEPHEN C. FELDMAN
J.P. MORGAN PRIVATE INVESTMENTS, NEW YORK, NY
Senior Middle Office/Operations Manager (07/2002 08/2005)
Promoted to oversee middle office operations. Served as point person between front/back offices, internal and external team
and service providers. Heavily involved in all aspects of alternative investments from inception to liquidation.
Applied/executed processes that streamlined business operations, improved quality control reviews, and facilitated
new initiatives that accommodated huge business growth.

Successfully serviced 105 investments private equities, hedge funds, exchange-traded funds, real estate, and Direct
Investments totaling $22B AUM, 9,000 private banking clients with $200M+ annual revenue.
Focused management efforts on creating and updating daily processes of investor and investment transactions,
operational business activity, management information systems and financial reporting.
Served as lead contributor to new web-based investor application used by internal parties/external investors. Designed
format and investor interaction usability for transactions and reporting functions.

Private Bank Operations Specialist (10/2000 07/2002)

Facilitated investor/investment transactions for private banking investors for conventional and alternative investments.
Investments/products included: private equities, hedge funds, real estate, equities, fixed income, OTC, derivatives,
hard commodities, futures and options.

Efficiently utilized resources by creating/maintaining investor database while automating tasks and functions.

ARB OIL, NEW YORK, NY

1999 2000
Senior Floor Operations Supervisor, NYMEX
As supervisor, created/fostered relationships with clearing houses, provided telephone assistance in allocating and
processing trade orders, and maintained thorough, accurate daily logs. Spearheaded training program for clerks.
SELF EMPLOYED, New York, NY
1998 1999
Member/Active Floor Trader, NYMEX
Commodities speculative trader, credited with working in an open outcry forum of New York Mercantile Exchange, in
energies and metals division, trading futures/options. Developed trading strategies based on fundamental and technical
analysis, including diversified charting formations.
SELF EMPLOYED, NEW YORK, NY
1993 1999
Senior Commodities Clerk, NYMEX
Clerk tasked with providing day-to-day assistance to several floor speculative traders of NYMEX energies division.
Managed trade verifications, troubleshooting, settlements and clearing of futures/options. Provided full position record
keeping and daily charting assistance.

EDUCATION
CUNY - BROOKLYN COLLEGE, Brooklyn, NY, Finance
CUNY - KINGSBOROUGH COMMUNITY COLLEGE, Brooklyn, NY, Marketing
CUNY - COLLEGE OF STATEN ISLAND, Staten Island, NY, Accounting