SUMMARY:

• 7+ years of experience as a Sr. Business Analyst with solid understanding of Business Requirements Gathering, Evaluating Data Sources, Translating Requirements into Specifications, Application Design.
• Diverse experience in Trade Surveillance, Anti - Money Laundering (AML) and Know Your Customer (KYC), and Client Onboarding.
• Conduct Brainstorming and JAD Session to gather Business Requirement s with Regulatory and Compliance subject matter experts to have a good knowledge of CCAR reporting.
• Expertise on NICE Actimize, Mantas Software, KYC and customer data management.
• Design and test financial models to support FFEIC/Y9C regulatory reporting
• Used MS Excel for data mining, data cleansing, data mapping, data Interfacing and data analysis.
• Performed SQL queries (mainly in my SQL) to extract employee information for client onboarding upgrade process
• Cooperated with CCAR team on delivering of the Basel capital regulatory results to serve the CCAR various reporting forms.
• Familiar with SOX Compliances and Basel II standards. Worked on data analysis of Mantas - Anti-Money Laundering (AML) Compliance data and supported user requirements.
• Responsible for analyzing and testing the functionalities of position manager per enablement of trading algorithms to actively monitor internal liquidity risk.
• Experience in Developing implementation strategies, complex CLS documentation and Functional Requirements (Including OFAC/KYC policies).
• Strong experience in conducting User Acceptance Testing (UAT) and documentation of Test Cases. Expertise in designing and developing Test Plans and Test Scripts.
• Highly motivated team player with excellent Interpersonal and Customer Relational Skills, Proven Communication, Organizational, Analytical, Presentation Skills, and Leadership Qualities.

TECHNICAL SKILLS:

• Agile
• Scrum
• Linux
• MS-Access
• Perl
• SDLC
• Oracle
• Teradata
• DB2
• Sybase
• IBM Websphere
• Oracle
• DBMS
• BEA WebLogic
• HTML
• XML
• MySQL
• SQL Server
• C
• C++
• C#
• VC++ MS SQL Server
• VB
• VBA
• VB.NET
• C#.NET
• ASP.NET
• Java
• SQL
• PLSQL
• UNIX
• VBScript
• ASP
• JavaScript
• JSP
• J2EE
• AML/KYC
• AML Product MANTAS
• CCAR
• Y9C
• MS Visio
• Rational Rose
• Rational ClearCase
• UAT
• GAP Analysis
• Win Runner
• Rational RequisitePro
• Documentum
• Mercury TestDirector
• Rational ClearQuestMS Office Suite
• MS Project
• TOAD
• Adobe Photoshop
• Crystal Reports
• SQL Server Reports (SSRS)
• Informatica
• Business Objects
• Cognos
• Erwin
• Quick TestPro (QTP)
• TestDirector
• WinRunner
• LoadRunner

PROFESSIONAL EXPERIENCE:

Confidential

Sr. Business Analyst

Responsibilities:

• Analyzed the existing customer data and understood the necessary information that needs to be captured for each existing customer and prepared missing values, anomalies for the completion of the CDD (Customer Due Diligence).
• As part of CCAR, worked on Stress Testing solution to check the health of the portfolio of investments for the client to ascertain Capital adequacy.
• Worked with client onboarding team to identify critical path and integration requirements.
• Interacted with Cash Management Division and Compliance Office to review the AML (Anti Money Laundering) requirements and provide Positive Pay service to reduce check fraud
• Responsible for understanding the lineage of Critical Data Elements (CDEs) to upstream systems and downstream systems like CDW, FTP, Clear view etc. with respect to reporting for Y9C and 14A submissions for the CCAR review process.
• Updated the internal anti-money laundering software by monitoring anti-money laundering (AML) activity.
• Assisted with required data analysis, interpretation, correction and document presentation for various assignments.
• Responsible for the development and maintenance of the SAS code and related processes for the CCAR schedule template data generation and reporting.
• Conducted requirement gathering sessions to understand source data for commercial and small business credit cards and how they map to the CCAR credit card monthly (M) schedule.
• Worked on Master data Management (MDM) database for managing the customers' data across the different departments.
• Executed regulatory reporting (Y9C & Y9LP) process across the business. Designed and implemented processes to enable precise data capture from the source ledger.
• Conducted JAD sessions with business and other Tech partners.
• Conducted meetings with business to gather the business requirements, review the requirements, understood the system and workflow and converted those requirements into functional requirements.
• Supported CCAR and BASEL data acquisition teams to validate and reconcile data coming from various systems.
• Performed data analysis by using SQL queries.
• Chaired and attended day to day project meetings to discuss the outcome of implementation processes, testing efforts, time lines etc. Wrote and distributed meeting minutes.
• Communicated the status of project to different line of businesses and teams.
• Monitored project, identified scope/requirement changes. Identified project impact and escalated/notified management and project team as necessary.
• Involved in data mapping and data validation and created various data mapping documents.
• Functional requirement document's approval and signoff taken from business and other lines of businesses.
• Conducted extensive analysis of KYC data to understand the attributes, schemas and data structures.
• Documented existing systems, system relationships, and trade workflows including; order entry, trading, settlement, and client onboarding.
• Lead both on shore and Offshore teams to deliver Business solutions in a timely and efficient Manner.
• Performed Data Mapping and data migration from old system to the new one.
• Utilized the SQL queries for report mapping, report layout and data flow diagrams.
• Utilized Quality Center (QC) for requirement management, test planning, scheduling, test execution, log and track defects.
• Conducted UAT, to make sure that all the requirements are catered by the application.
• Tools & Technologies: Agile Scrum, JIRA, Rational Requisite Pro, MS-Project, MS Visio 2010, UML, HP Quality Center, Microsoft SQL Server, Rally, R Studio.

Environment: MS Outlook, MS Access, ETL, MS Excel, MS Word, MS Access, CCAR, Rational Enterprise Suite (Rose, ClearCase, Informatica, KYC Compliance, ClearQuest), RUP, Visual Basic, SQL, SQL Server, Oracle, C#.Net

Confidential, Santa Clara, CA

Business Analyst

Responsibilities:

• Analyzed the AML trade surveillance compliance requirements by interacting with the compliance department and SME experts within the laws/act of compliances.
• Initiated system development plans by building working groups to access business need of future system implementations otherwise recommending alternative applications where necessary.
• Conducted Legal reviews through Oracle alert based systems including Mantas.
• Create and maintain data model/architecture standards, including master data management (MDM).
• Strong documentation skills and project artifact generation (requirements, application, mock-ups, process flows, data analysis, as is-to be).
• Cooperated with CCAR team on delivering of the Basel capital regulatory results to serve the CCAR various reporting forms.
• Establish cross-functional reconciliation framework for tie points between FR-Y9C and FR-Y14 reporting templates.
• Analysis of deliverables necessary for CCAR submissions as well as collaboration with credit risk officers.
• Coordinate and facilitate the documentation for the CRM CCAR initiative.
• Accountable for eliciting requirements from users and producing use case scenarios and functional requirement documentation to ensure that requirements were accurately specified, communicated and understood by the technical implementation team.
• Conducted risk assessment of the project and trade surveillance for regulatory purposes.
• Performed Surveillance of Employees accounts to detect potential insider trading, market abuse, and/or violations of the Trading Policies for Trade Surveillance/Compliance.
• Facilitated Joint Application Development (JAD) sessions as well as conducted interviews of appropriate business/technical stakeholders.
• Mapped data fields for Regulatory reports such as Y9C with global systems shared by lines of business, identified Key Data Elements (KDE) and lines of business to establish Data Ownership and enforce Data Governance.
• Wrote and executed Test Cases while participating in User Acceptance Testing (UAT) environment.
• Coordinated project activities with different stakeholders (Management, Development Team, Quality Assurance Team, AML Operations, etc.) ensuring that the project plan is followed, and that timelines, milestones, and deliverables are met.
• Responsible for analyzing and testing the functionalities of position manager per enablement of trading algorithms to actively monitor internal liquidity risk.
• Understood the AML trade surveillance compliance requirements by interacting with compliance department and SME experts in the laws/act of compliances.
• Conducted highly interactive JAD sessions with project stakeholders, subject matter experts, end-users, developers and project management team for identifying business needs, defining software requirements and providing tech proposal.
• Developed Dashboards according to user specifications. Prepared Reports for Weekly Operations Meeting using KPI Metrics Values.
• Developed report layouts for Suspicious Activity and Pattern analysis under AML regulations
• Strongly influenced team to deliver the projects within aggressive timeline and enforce proven methodology to adapt to efficient quality control across systems and act strong motivator to reduce voluntary attrition in the team.
• Coordinate efforts with UAT teams to ensure end-to-end system testing coverage.

Environment: Agile, JAD, AML/KYC, AML Product MANTAS, CCAR, MS-SQL Server, Micro Visio, JavaScript, MS Excel, MS word, MS PowerPoint

Confidential, Chicago, IL

Business Analyst

Responsibilities:

• Facilitated JAD sessions and design meetings with the Stakeholders, SME’s and Leads of Interfaces.
• Involved in pre implementation, implementation and post implementation efforts
• Documented retail deposit-related know your customer (KYC) processes and procedures, identification/disposition of higher risk customers, and maintained within the list of the deposits of high risk customers.
• Execution of PL/SQL on oracle table in order to view successful transaction of data.
• Strongly influenced team to deliver the projects within aggressive timeline and enforce proven methodology to adapt to efficient quality control across systems and act strong motivator to reduce voluntary attrition in the team.
• Performed data analysis on all the data sources, data dimensions and data elements in Trade Surveillance domain for Pershing clearance and settlement platform migration and integration project.
• Collected & sourced compliance data requirements for AML and KYC data, as it moves through from source to surveillance, mapped the data to Mantas for alert generation and detection of illicit transfer of funds.
• Worked with Actimize developers to implement their NICE system to our current KYC system to add more functionality.
• Managed team of analysts to complete monthly risk testing and reporting across AML/KYC/Onboarding functions.
• Performed requirements modeling and develop analysis diagrams, activity diagrams, sequence diagrams, state diagrams, data models, and use-case realizations using RUP tools in Agile.
• Converted various SQL statements into stored procedures thereby reducing the Number of database accesses (since Stored Procedures passes the whole block at one time.)
• Elaborated data flow using Visio and Mapped data to Mantas/Actimize & to the Compliance Data Warehouse
• Conducted JAD sessions for communicating with Stakeholders and Project directors.
• Developed business requirements and process flows for multiple areas under client onboarding such as prospecting phase, KYC phase, investment suitability checks, investment proposals etc.
• Used Informatica workflow Manager to create, schedule, monitor and send the messages in case of process failures.
• Reviewd and analyzed all relevant KYC documentation received from applicants and members, and performs required background checks and regulatory searches to complete a KYC file for Onboarding applicants and existing participants.
• Developed Business Rules and logic to map the products consistent with MANTAS file format/Data Model.
• Coordinated efforts with UAT teams to ensure end-to-end system testing coverage.

Environment: MS Office Suite (Word Excel, Access, PowerPoint, Project, Visio), SQL, SOA, UML, AML/KYC, AML Product MANTAS, Visual Basic, Erwin, MS SharePoint, ETL, Informatica, IBM Business Objects, KYC Compliance, Quality center

Confidential, Chicago, IL

Business Analyst

Responsibilities:

• Provided subject matter expertise in derivatives and Cash Securities trade capture, Trade support, processing, execution and risk management.
• Support of listed/OTC derivatives and Hedges trade capture or trade ordering requirements for such systems or platforms.
• Assisted in development of business plans to support the CCAR process and stress testing requirements while working with the business to assess and challenge the assumptions and forecasting approach.
• Assisted Equity Derivatives IT in Risk Valuations, Scenarios, and Modeling/Analytics.
• Gathered detailed business requirements and deliver detailed business functional requirements specifications.
• Assisted with the creation of system entitlement roles for user Client onboarding and systems access. Reviewed user access levels.
• Supported the assessment of CCAR IHC report preparation environment.
• Performed data and systems flow analysis to figure out captured trades - attributes, feeds flow from source to target systems and interactions between various financial systems.
• Documented the process of how the measure is produced in the report, highlighting any manual adjustments, automated adjustments/ transformation, filtering and aggregation.
• Provided the attribute level mapping - mapping report field to reporting system, mapping reporting field to direct source (results table) and to inputs of calculations.
• Documented system data flows, business process designs, test specifications and training materials for various stakeholders
• Analyzed the existing business process flows for Equities and Derivatives to gain understanding of the existing system and documented the business process flows for the proposed system. Business flows documented contained information flowing from upstream applications to the downstream applications and any impact made using GUI by the users.
• Documented Functional Interface Specifications for new feed flows between various systems.
• Facilitated meetings with Development Team and Testing Team to walk through the FRDs and discuss feasibility of each requirement.
• Utilized Requirement Traceability Matrix (RTM) to maintain, capture and track requirements documents, use cases, test plans and test cases based on the requirements documents created for client onboarding module
• Helped teams managing trade reconciliation process as well as providing metrics around trade confirmation data for all OTC Derivative products.
• Worked with Testing Team to develop Testing Plan and review Test Cases.
• Involved in design and implementation of Progression and Regression Testing.

Environment: Waterfall, PL/SQL Developer, Oracle Database, .Net, HP ALM, Java, MS Excel, AXIOM, Smart Draw, MS SharePoint, Bloomberg, JIRA.

Confidential, Norwell, MA

Business Analyst

Responsibilities:

• Analyzed the business and functional requirements and the master test plan.
• Worked with PM to coordinate daily activities between applications development and Product Management.
• Conducted Asset Management, Risk Analysis of the Requirements and Traceability focus areas of the various projects and worked with the project team to help them identify the high-risk areas.
• Conducted JAD sessions with Project's Stakeholders identifying problems and coming up with best alternative to resolve that. Created targeted Questionnaires for SME's to gather requirements.
• Worked Closely with Portfolio management and analysis, fixed income trading.
• Collected financial performance data, analyzed net profit and credit risk to make mortgage underwriting decision documented existing and proposed process flow, analyzed current and target system, and conducted GAP analysis.
• Used the different types of views in Requisite Pro Attribute matrix, to display requirements of a specified type.
• Documented system data flows, business process designs, test specifications and training materials for various stakeholders
• Designed and developed all Use Cases and UML models using Rational and Visio
• Assisted project team in preparing Functional Specification Document (FSD), developed non-functional requirements, and documented Business Requirements Document (BRD).
• Extracted data from Oracle database with MS Access, and performed SQL query, data analysis and verification.
• Collaborated with the QA team to ensure adequate testing of software both before and after completion, maintained quality procedures, and ensured that appropriate documentation is in place.

Environment: DB2, Oracle, SQL, MS Visio, MS Access, Scrum, Agile, UFT, .Net, UML, Credit risk, Requisite pro, Rational ClearQuest.