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Sr. Regulatory Reporting / Business Analyst Resume

Charlotte, NC

PROFESSIONAL SUMMARY:

  • IT professional over 7 years of experience as a Business Analyst in the industry, with solid understanding of regulatory reporting, Market Risk Control, CCAR, DFAST (Dodd Frank), Basel II, Basel III and other regulatory reporting processes.
  • Expertise in Business Requirement gathering, Functional requirements gathering, Business Process Flow, Business Process modelling and Business Analysis.
  • Strong knowledge of Sarbanes - Oxley Act Compliance Titles such as Public Company Accounting Oversight Board (PCAOB), Auditor Independence, Enhanced Financial Disclosures, Analyst Conflicts of Interest, Commission Resources and Authority, Corporate and Criminal Fraud Accountability, Corporate Tax Returns, Corporate Fraud Accountability.
  • Expertise in Configuration, Installation of OFSAA (Oracle Financial Services Analytical Application).
  • Experience on data modelling, data analysis and requirement documentation of product types and mapping data for FR Y-14A, FR Y-14Q, FR Y-9C, etc. by using Kauffman Hall’s product - AXIOM.
  • Extensive experience in Financial Service industry related- Credit Risk, Market Risk, Liquidity Risk.
  • Expertise in Business Processes, Process Models, Flow Diagrams, Requirements Management, risk management.
  • Extensive experience in Agile delivery of software using practices from Scrum, extreme Programming, etc. and Business Process Management (BPM) methodologies.
  • Skilled Senior Business Analyst and Expert in Atlassian Suite of products such as JIRA, Confluence & Rally.
  • Expertise in gathering requirements and developing Business requirement documents(BRD) and Functional Requirement Documents (FRD).
  • Expertise in facilitating Joint Application Development (JAD) and Rapid Application Development (RAD) Sessions, workshops and interviewing, questionnaires, brainstorming requirement elicitation sessions.
  • Demonstrated experience in UML, created use case diagrams and user stories.
  • Hands on experience in software product development life cycle (SDLC) - System Analysis, Design, Development, Testing, Deployment and Maintenance.
  • Strong experience in Waterfall and Agile methodologies. In depth knowledge of Rational Unified Process (RUP) and Rational Requisite Pro in all phases of a project.
  • Elicitation techniques like interviewing, questionnaires, brainstorming, JAD sessions, focus groups, prototyping, cost/benefit analysis and risk analysis.
  • Conducted GAP analysis to capture functionalities of existing systems and analysed requirements of the proposed system or enhancement to bridge the GAP.
  • Expertise in broad range of technologies, including business process tools such as Microsoft Project, Primavera, MS Access, MS Visio, technical assessment tools, Data Warehousing concepts and web design and development.
  • Good understanding of basic principles of financial markets and instruments (Equity Derivatives, Cash Equities (Domestic and International), Fixed Income, Mutual funds, NAV, fund accounting.
  • Responsible for Performing User Acceptance Tests (UAT) by working with internal and external users/customers and obtained delivery approval for the project.

PROFESSIONAL EXPERIENCE:

Sr. Regulatory Reporting / Business Analyst

Confidential, Charlotte, NC

Responsibilities:

  • Analyzed and interpreted business requirements and implementing technical specifications for the filing of Federal Reserve Board quarterly and annual regulatory reports: CCAR, FRY-9C, FRY-9LP, FRY11 etc.
  • Responsible for applying regulations based on Basel III, which further can be implemented into DFAST and CCAR, which help to project Liquidity Impact.
  • Worked on OFSAA Application for creating members and hierarchies and for running the predefined batches process in order to populate the resultant tables.
  • Involved on data extraction from core banking system to OFSAA Instrument tables via OFSAA staging using OWB 11g, and T2T mappings.
  • Planned, scoped, developed, and led internal audit for risk management and CCAR for my client.
  • Comprehensive knowledge of Treasury processes, including liquidity risk management/monitoring and; knowledge of regulatory reporting standards and practices (IHC, CCAR).
  • Assisted in implementing the Liquidity Module of OFSAA (Oracle Financial Services Analytical Applications) for LCR / Federal reporting.
  • Ensured the correctness of data uploaded to OFSAA staging, development and production tables by validating it against the source system data.
  • Implemented business logic, data lineage mapping and traceability for Dodd Frank regulatory reports: Monthly and Quarterly FR Y 14 and Quarterly Call Reports.
  • Partnered with business units to conduct workshops to improve CCAR reporting workflows and to make the process and data auditable.
  • Developed and managed business, design and end user requirements for strategic Basel III Standardized CCAR stress testing.
  • Analyzed the auditing of accounting and financial data of my clients.
  • Worked as part of the AXIOM team on the business rules and the change requests when there were changes from Dodd Frank.
  • Performed periodic compliance audits, risk assessments. Prepared reports on audit findings.
  • Assisted the execution of CCAR stress testing framework including gathering requirements of multiple stress scenarios and defining data elements required by stress tests.
  • Created suite of Excel models used monthly for analysis and verification of Basel III results in Production environment.
  • Identified and analyzed business problems and Documented the procedure and policies related to the FRY-9C and FRY-14 reporting.
  • Drafted process flow diagrams timelines and build-out the post-production test plans for remediating defects discovered during the previous 2015 OCC DFAST/CCAR cycle.
  • Worked collaboratively with business and IT teams and design solutions in Teradata SQL, Tableau and other analytical tools as needed, to address business needs.
  • Worked on data repositories for compliance with data governance policies and standards.
  • Executed SQL queries and MS Excel functions to check the validity of the data obtained from different Snapshots.
  • Planned and conducted UAT, UI conformance testing and created test plans, test cases and Requirement traceability matrix.
  • Created different types of reports in Axiom- Control Report, Adjustment Report, Manual Upload template.
  • Facilitated change management within the project by performing impact analysis for change requests and regularly updating Requirement Traceability Matrix (RTM).
  • Supported CCAR and BASEL (II/III) data acquisition teams to validate and reconcile data coming from various systems.
  • Partnered with business units to conduct workshops to improve CCAR reporting workflows and to make the process and data auditable.
  • Managed project database and ensured effective reporting of Suspicious Activity in accordance with federal compliance regulations
  • Created dashboards/visualizations for quarterly audit committee meetings
  • Participated in the design and implementation of the firm's first governance, risk and compliance solution.
  • Assisted the SCRUM Master in facilitating daily SCRUM meetings, Sprint Planning, Review and Retrospective meetings.
  • Translated Business Requirements into functional and non-functional requirements using industry standard documentation processes like Data Flow Diagram (DFDs) and UML Diagrams (Use Case, Sequence and Activities Diagrams).
  • Coordinated data governance processes/workflows via regular data governance meetings with business users and data owners.
  • Managed Scope creep per the priority as and when U.A.T required many changes.
  • Prepared for GAP Analysis; identified and documented improved areas to meet capital requirement regulations for Basel III Compliance.
  • Evaluated Business Requirements and translated them into Use Cases, user stories and Activity Diagrams using MS Visio.

Business System Analyst

Confidential, NYC, NY

Responsibilities:

  • Interacted with the business users to gather requirements based on the CCAR Regulation for Financial Statements (using US GAAP/ IFRS), Interest Rate, Credit Ratings, FRY9C and Investment Securities.
  • Mapped business functions underlying data and data models, performed data reconciliations, gap analysis at function and data level for Basel III and CCAR reporting.
  • Understanding business requirement and accordingly mapping data elements from various source systems to the appropriate table and column in OFSAA data model for referential as well as transactional data for FR Y9-C, FR Y14-Q FR Y14-A reports.
  • Worked in close liaison with both technical and business stakeholders to ensure basic to moderately complex technical solutions correctly encapsulate the identified compliance/business requirements.
  • Designed and modified SCD and T2T (Table to Table) transformations in OFSAA to facilitate the flow of data from Staging to Results
  • Assisted in the design and administration of audit policy and procedure within the organization and established data quality process, governance, and issue tracking process tools.
  • Reviewing the data mapping from source system to OFSAA staging tables and highlighting the GAPS if any.
  • Involved in the FRY9C and CCAR Q/M/A data analysis and reporting and worked closely with developers and other QA members to write effective test scenarios.
  • Performed data wrangling using SQL scripts to prepare grounds for data analysis and creation of high accuracy reports.
  • Liaised between system technology & finance control for OFSAA (Oracle Financial Services Analytical Applications) data modelling star schema functionalities system enhancements.
  • Worked on data governance and quality which involved working on data modelling, data analysis and requirement documentation of product types and mapping data for FR Y-9C FR Y-14A, FR Y-14Qreports.
  • Cooperated with CCAR team on delivering of the Basel capital regulatory results to serve the CCAR various reporting forms.
  • Assisted in updating limits of liquidity stress testing model based on parent level and BASEL III standard and validated the accuracy and completeness of the data inputted to the new stress testing model.
  • Determined alternative approaches to Basel III regulatory capital calculations allowing significant capital savings.
  • Analyzed and verified customer documentation for compliance requirements.
  • Created data mapping, functional field mapping and created reports using MS access and MS excel for requirements and issue tracking.
  • Documented the manual upload process for Axiom team for different schedules - 14Q/A.
  • Involved in documenting detailed Functional Requirement Specification based on Basel regulatory requirements by using Power Designer.
  • Developed strategies with Quality Assurance group to implement Test Cases in Mercury Test Director for stress testing and UAT (User Acceptance Testing and Optimized SQL queries for improved performance and availability.
  • Developed and provided training for both technical and business users on Data Governance related topics.
  • Contributing to team efforts as needed, including information sharing regarding specific compliance projects.
  • Worked with MS-Visio for model diagrams, MS-Word for documentation and used Unified Modelling Language for visual modelling.
  • Developed reviewing Test Procedures and creating Test Cases, Test Scripts and Test plans.
  • Familiarity with White box and Black box testing including functional testing, unit testing, integration testing (UAT) and regression testing.
  • Adept in multi-tasking and handling multiple tasks/projects at the same time also provided on-going analysis of platform performance and availability for both internal and external stakeholders.

Financial Business Analyst - CCAR

Confidential, Charlotte, NC

Responsibilities:

  • Involved in the CCAR (FRY 9C) submission: data mapping, coding and creation of submission datasets for consumer portfolios.
  • Worked on Gathering requirements by interacting with business users (SME's like brokers, financial analysts, mutual fund heads) understanding their business processes, understanding their current IT architecture.
  • Conducted user interviews, facilitated Joint Requirement Planning (JRP) to reduce the Scope Creep and document analysis in requirements elicitation.
  • Worked with other line of business on initiative of identifying, researching, and rectifying gaps and discrepancies in Regulatory Reporting regulatory reporting application Axiom.
  • Created suite of excel models used monthly for analysis and verification of Basel II results in Production environment.
  • 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.
  • Worked closely with business unit, government agencies, and compliance department to screen existing clients and analyze the risk of new clients.
  • Created the SQL scripts for demonstrating the prototypes and for verifying the result sets.
  • Conducted and participated in walkthroughs to discuss certain issues with the development, design team and QA team.
  • Prepared FRDs that help drive the design of the infrastructure necessary for the organization to meet new CCAR reporting requirements.
  • Developed MS Access models to track the monthly accounting balances, compute lease payoffs and track the details of accounts within the leasing department.
  • Constructed templates and manual process for quantitative Basel II disclosure tables.
  • Worked with finance and directors on brokers/agencies not in compliance to determine if commissions should be held.
  • Migrated and reconciliated, counterparty exposure for compliance and regulations such as Basel I and CCAR.
  • Communicated client's business requirements easy-to-understand data and process models.
  • Provided input into developing and modifying systems to meet client needs and develop business specifications to support these modifications.
  • Created and maintained Business Use cases and System Use cases, Use Case diagrams, Flow Diagrams, Business Flow Diagrams, Activity diagrams, Sequence diagrams throughout the SDLC.
  • Provided updates, status reports regarding assigned tasks and other compliance matters.
  • Built scoring logic / engines to support audit workflow from engagement creation to completion.
  • Responsible for data mapping of feeds from several reference data systems, including Bloomberg, to several in-house applications.
  • Created and maintained Requirements Traceability Matrix (RTM) to trace technical requirements to their business requirements and the test case to their functional requirements.

Business Analyst

Confidential, NYC, NY

Responsibilities:

  • Gathered and documented business requirements, business process flows, use cases using different business techniques such as interviewing customer & stakeholders, workshop facilitation, conducting seminars, presentations, storyboards, JAD sessions.
  • Current focus was on using new processes and technologies required to manage the increased workload and documentation requirements associated with Sarbanes Oxley corporate governance activities.
  • Used an innovative analytical skill to implement business requests (which are often high-level or lacking in detail) and communicate these to the relevant stakeholders in clear and unambiguous manner.
  • Created business requirements and functional system designs using Waterfall methodology for developers to update the proprietary systems.
  • Conducted strong background study of the subject matter /project requirements & domain to make the requirements gathering efficient & clear to understand; Conducted domain analysis, research on the respective domains and bring about radical & innovative ideas to suite business needs.
  • Identified business needs and documented in the Business Systems Analysis Report with JIRA and prepared Activity Diagrams and Flow Charts based on User Specifications.
  • Acted as liaison between technical and non-technical teams in system project.
  • Participated in weekly and monthly meetings with management team.

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