SUMMARY:

• Technical hands on professional with 20 years of proven leadership experience in process improvement, robust control, compliance, innovation and cost reduction in the financial arena.
• Expertise spans across technology conversions, application programming and development, client relations and business needs assessments. Proficient in full systems development life cycle with outstanding knowledge in mainframe and distributed technologies.
• Strong Securities Trading, Risk, Trust, Operations, and Insurance background. Excellent communication skills, strong negotiation skills, ability to work under tight deadlines.
• Experienced with Capital Market, Money Market, Market Risk, Operational Risk, Technology Risk, Transaction Accounting, Fund Accounting and Trust Accounting
• Exceptional knowledge and understanding of the Financial Industry including Contingent Deferred Sales Charges, Dividend Calculations, Fees, Commissions, Cost Basis, Cash and Share Reconciliation, Anti - Money Laundering, KYC and OFAC
• Extensive knowledge of various databases and SQL (MS-SQL, DB2, Oracle, Teradata, etc), and Data Warehouses. Extensive experience in data extraction, data mapping, data analysis.
• Familiar with different types of Market and Credit Risk metrics, like Greeks, Value-at-Risk (VAR), Interest Rate (IR), Foreign Exchange (FX), Volatility-Surface, CVA. Familiar with Fixed Income and Equity products. Familiar with risk calculation models like Historical, Variance-Covariance, Monte Carlo
• Work on delivery of Sensitivity Based Method (SBM) risk calculations. Develop Business and Functional Requirements (BRDs and FRDs) for seven Risk Classes (Credit Spread Risk - CSR, Equity, General Interest Rate Risk - GIRR, etc) and three Risk Measures (Delta, Vega, Curvature).
• Acted as Lead Project Manager on Family Trust outsourcing from Metavante to SEI platform. Evaluated SEI platform features, capability and reporting, evaluated Confidential Actimize AML/KYC and Trade Surveillance solutions for the purpose of migration.
• Worked with Compliance and Internal Audit on AML risk assessment, metrics and reporting enhancement for Confidential Trust Bank. Improvement was tangible and got positive notice at external audit by government agencies.
• Led a team of developers/architects in various projects for major Confidential Shareholders Services business units, including Transfer Agency, Personal Trust, Customer Service Center, Operations, Sales & Marketing, Anti Money Laundering.
• Supported Confidential Investment Management back-office, providing IT support for Trust, Pension Plans, Mutual Funds, Compliance, Equities and Fixed income, Life Insurance and Annuities
• Directed meetings, tracked defects, ran JRD (Joint Requirements Development) sessions, following up on project changes and working with vendors to meet timelines. Acted as IT liaison between business, developers and production support staff during project initiation, development, implementation and post-implementation.

PROFESSIONAL EXPERIENCE:

Confidential, New York

Sr. Business Analyst / Project Manager

Responsibilities:

• Sr. Business Analyst/Project Manager for Risk Technology. The team works on Basel 4 / FRTB program.
• Work on delivery of Sensitivity Based Method (SBM) risk calculations according to BCBS 352. Develop Business and Functional Requirements (BRDs and FRDs) for seven Risk Classes (Credit Spread Risk - CSR, Equity, General Interest Rate Risk - GIRR, etc) and three Risk Measures (Delta, Vega, Curvature). Utilize Word, Excel, and Blueprint.
• Work with Development on creation of Python-based Calculators modeling Excel-based Pseudo-Calculators for all Risk Classes and Risk Measures. Create data schemas; work on data mapping and data transformation.
• Functionally work as a SCRUM Business Analyst, create User Stories, establish Acceptance Criteria, follow up with Development and QA, track defects, validate results. Utilize VersionOne and ECM Confluence.

Confidential, New York

Sr. Project Manager / Technical Analyst

Responsibilities:

• Worked as Project Manager in Compliance Technology on operating and enhancement of Oracle Mantas and Confidential Actimize AML platforms. Systems monitor about 50000 transactions per day in SWIFT protocol.
• Led scope definition and requirements gathering. Worked with global stakeholders on development of major project artifacts. Collaborated with global PMO team.
• Coordinated relationships between business and IT, organized and conducted working sessions with partner IT and BU. Coordinated work of support units, developed SLA and infrastructure related documents. Collected infrastructure requests, assessed needs, performed provisioning. Authored, organized and maintained robust documentation associated with optimization analysis and related program materials and procedures.
• Managed delivery of new Mantas behavior scenarios (like LATD, Nested Banking, etc), developed and tested new surveillance solutions, including tuning and configuration. Collaborated with vendors from Confidential Actimize and Oracle Mantas to leverage the most up-to-date monitoring tools. Utilized SQL-Server, Oracle, Teradata
• Implemented Agile project management approach. Led SCRUM meetings, managed user’s expectations, coordinated UAT. Utilized SharePoint, Access, Excel, Visio, JIRA.
• Covered PMO activities for AML Correspondent Banking department. Managed Project Management dashboards; worked on budgeting, on-boarding, resource allocation. Developed project plans and presentation decks. Utilized SharePoint, Navigator, Visio, PowerPoint

Confidential, New York

Lead Business Analyst / Project Manager

Responsibilities:

• Worked as Lead Business Analyst for Risk and Financial Technology on enhancement of Compass - Country Risk operating platform.
• Coordinated relationships between IT, QA, Middle Office and Risk Managers .
• Had Sprint Business Analyst role in Country Risk department Agile model. Led SCRUM meetings, managed user’s expectations, wrote business cases, built test plans, test schedules, coordinated UAT, performed regression testing. Enforced time lines, coordinated internal and external resources, conducted project governance.
• Led redesign of Breach Processing to outsource non-intuitive manual processing and build fully automated system processing. Worked on LGD, CCAR, and Basel III
• Gathered and documented project requirements in form of Business Requirement Document, Use Cases, Functional Specifications. Proposed business and technical solutions, analyzed present and future stage system dependency

Confidential, New York

Sr. Business Analyst / Project Manager

Responsibilities:

• Project manager/Senior BA with the Global Risk Technology team. The team covers multiple areas/product lines and provides Middle Office with risk reporting, analysis and monitoring
• Worked for Results Management Office on implementation of Confidential - global unified cross platform Risk and Trading platform. Main focus of the assignment was on data extraction, data mapping, data analysis, also on presentation and reporting
• Worked with various businesses on project delivery, like Market Risk, Credit Risk, Liquid Risk, Fixed Income, Equities. Conducted Project planning and weekly updates. Performed Milestone Management and monitoring. Produced executive reports. Worked on CCAR reporting
• Managed Testing in pre-UAT phase for Confidential FXO F2B (FX Options Front-to-Back) initiative. Extracted and analyzed data from different sources and provided comparison between current production and development Risk calculations utilizing Access, Excel, MS-SQL, Python, SharePoint. Performed backtesting. Coordinated changes and fixes. Developed acceptance criteria.
• Worked with Quantitative Analysts, Business Analysts, Database Team (Zinc), developers to insure correctness and right timing for new Confidential feeds to Market Risk System. Gave recommendations based on analysis and statistics.
• Familiar with different types of Market and Credit Risk metrics, like Greeks, Value-at-Risk (VAR), Interest Rate (IR), Foreign Exchange (FX), Volatility-Surface, CVA. Familiar with Fixed Income and Equity products. Familiar with risk calculation models like Historical, Variance-Covariance, Monte Carlo
• Managed Infrastructure changes for multiple systems and applications. Conducted meetings, collected requests, assessed needs, performed provisioning, tracked progress.
• Identified and assessed Operational Risk and developed mitigation plans.
• Worked for Confidential Trade Plant Engineering Division as a Project Manager/Senior Support Analyst:
• Worked on improvement of Risk Management, BCP, Project Reporting, Trade Support and Critical Notifications.
• Handled build out for automated management reporting infrastructure by interfacing SharePoint and MS Access databases using MS-SQL and VBA.
• Successfully analyzed, initiated and led the Inventory Reduction investigation which saved the company over 1.5 million dollars per year in expenses. Extracted, transformed and analyzed data from Windows and Unix data structures using Access, Excel, MS-SQL, VBA, PL/SQL
• Ran the Impact Analysis program, which creates underlining projects based on the scheduled changes with exchanges (like migration, datacenter move, etc).
• Provided hands-on Project Management on Critical Notifications Automation, Migrations, and Market Access Servers Health projects. Acted as IT liaison between business, developers and production support staff during project initiation, development, implementation and post-implementation in the form of day-to-day support.
• Handled different types of testing, like Unit Testing, System Testing, User Acceptance Testing, Integration Testing. On projects interacting with Stock Exchanges many times managed Industry Testing.
• Directed meetings, tracked defects, ran JRD (Joint Requirements Development) sessions, following up on project changes and working with vendors to meet timelines. Worked with SWIFT and FIX protocol
• Responsible for weekly project reporting - assisted with RAG Production, status reports, dashboard reports using Access, Excel, and PowerPoint.

Confidential, Roseland, NJ

Sr. Business Analyst

Responsibilities:

• Performed Business Analysis for the Hedge Funds Investor Services division on Investor Services Global Model Office (ISGMO) strategic integration project.
• Coordinated relationships between business and IT. Utilized SharePoint, Access, Excel, Visio.
• Gathered and documented project requirements. Proposed business and technical solutions, analyzed present and future stage system dependency
• Evaluated Imaging/Workflow software, worked on IWA software global pilot. Examined the existing imaging and workflow application to establish strengths and weaknesses and determine enhancement or replacement. Documented the ideal use, defined the ideal flow of information, defined the gaps, requirements, and tools needed for efficient use of the application.
• Led business analysis for AML/KYC, Allocations, Imaging/Workflow, Client Billing. Proposed and defined requirements for global system integration, integrating Accounting, Allocations, CRM, Cash Management, Imaging/Workflow, and Transfer Agency systems.

Confidential, New York

Sr. Business Analyst / Project Manager

Responsibilities:

• Performed Business Analysis/Project management/Relationship management for the Personal Trust division of MS Private Wealth Management and for the Confidential Trust National Association Bank.
• Conducted strategic and architectural analysis and design for senior management to determine technology needs, availability and how systems should be structured to ensure overall service enhancement and overhead reduction.
• Worked closely with Trust Operations and senior management to identify opportunities for strategic initiatives, on revenue enhancement and expense reduction, on developing areas of opportunity. Managed PWM groups and consultants using matrix management to achieve successful results.
• Influenced and coordinated activities with support/service groups outside the project team to ensure the projects were delivered on time and under budget.
• Coordinated, negotiated and evaluated vendor contracts in order to improve the cost structure and product customizations. Managed end to end implementation of a 3rd party products interfacing with global users and vendors
• As a Lead Technical Specialist of Confidential Trust NA bank worked with Compliance and Internal Audit divisions to develop detailed metrics and reporting in order to comply with IT SOX guidelines. As a result, actually improved the Confidential Trust NA bank overall rating for the first time.
• Implemented a consistent program/project reporting structure.
• Represented Confidential Trust NA bank on external joint OTS/OCC/FDIC Audit.
• Identified and analyzed Operational and Technology risk, worked on monitoring, reviewing, and mitigation
• Worked with Risk IT team to improve methodology, make processes and procedures SOX compliant.
• Facilitated compliance and audits by documenting processes, controls and decision authority.
• Prepared documents for OTS/OCC/FDIC audit.
• Acted as Lead Project Manager on Family Trust outsourcing from Metavante to SEI platform. Evaluated SEI platform features, capability and reporting, evaluated Actimize AML/KYC and Trade Surveillance solutions for the purpose of migration.
• As a result of successful project, new platform was able to attract new wealthy customers giving Confidential more than 200 Million dollars in new Trust business
• Managed IT PMO/Business Analysis team for MSIM. Worked with senior management to develop strategies, liaised IT with BU PMO and BU, conducted project governance/reporting, conducted business process mapping and gap analysis, gathered and analyzed the requirements, worked with Application Development groups in construction phase, created Test Cases/Scenarios, created Test Plans, coordinated User Acceptance Testing, coordinated/run meetings. Utilized MS-Project, SharePoint, and Visio for reporting and presentations, Access and Excel for data analysis.
• Managed Quality Assurance team, which responsibilities included: perform functional, regression, User-Acceptance, and performance testing; ensure compliance with System Development Methodology, provide strategic direction for product development/testing. Developed, managed and set targets for the team. Automated and optimized QA releases, Processes, and resources. Built and maintained relationship with business and development heads. Consulted on needs of business with leadership team. Actively led and participated in the delivery. Helped driving business growth for the QA Services. Utilized Six Sigma methodology.
• Wrote Technical Architecture and Functional Specification documents for the system development. Conducted System Modeling.
• Led a team of developers/architects in various projects for major Confidential Shareholders Services business units, including Transfer Agency, Personal Trust, Customer Service Center, Operations, Sales & Marketing, Anti Money Laundering
• Supported Confidential Investment Management back-office ( Confidential Trust Bank FSB), providing IT support for Trust, Pension Plans, Mutual Funds, Cash Management, Funds Transfer, Equities and Fixed income, Life Insurance and Annuities
• Conducted data analysis and data integration using SQL. Conducted data governance and data lineage.
• Worked in Back Office Accounting space dealing with control and reconciliation, have experience in Transaction Accounting, Fund Accounting and Trust Accounting. Proficient in Contingent Deferred Sales Charges, Dividend Calculations, Fees, Commissions, Cost Basis, Cash and Share Reconciliation, 1099 Reporting, Tax Withholding.
• Conducted analysis and architectural design for Compensation for Financial Advisors system enhancement.
• Led Confidential Investment Management (MSIM) Thomson/OFAC weekly process redesign initiative. Dramatically reduced application running time (by 90%) by implementing new logic in screening customers. It brought not only the cost reduction but also improved the quality of reports.
• Spearheaded the new Managed MSIM KYC (Know Your Customer) enhancement initiative for MS Advisors and Van Kampen fund families, which resulted in eliminating non intuitive mainframe CICS “green-screens” and restructuring back-end database to improve run-time (Java/SQL-Server/Cobol/DB2/VSAM/WebSphere).
• Worked as a Project leader on MSIM Transfer Agency CTR (Currency Transaction Reporting) initiative which screened customers’ weekly cash transactions that exceeded the 10K government mark. (Java/CICS/Cobol/DB2).
• Led MSIM AML Suspicious Activity Reporting initiative for MS Advisors and Van Kampen fund families. Built AML SAR/SAS reporting system using Web front-end and Legacy and Client-Server back-end (Java/SQL-Server/Cobol/DB2/VSAM/WebSphere). The system screened about 10 Million transactions per day finding unusual/suspicious activities and summarizing them on Account and Fund level and creating various reports.
• Automation of Administrative Reviews (JAVA/COBOL/DB2/VSAM) - Led analysis, design, development, and testing of MST Personal Trust initiative in creation of “point-and-click” web-based Admin Reviews system. The system gave improvement in quality, traceability, and compliance of Admin Reviews process, also giving auditors the ability to be part of the process.

Confidential, New York

Sr. Programer/Analyst

Responsibilities:

• Led Confidential Trading Enhancement project, which improved wholesale trading performance for the large corporate clients. ( Confidential /Cobol/DB2)
• Negotiated with clients and users, elicited, analyzed and developed requirements, wrote technical specifications.