Senior Professional Business analyst/Project Manager with 14 years of experience of best practices within the financial markets in leading and managing all stages of projects: requirements, software development, process engineering and IT initiatives in its complete project cycle. Interface regularly with all levels of senior management, internal and external product vendors. Manage projects and assignments for business requirement documentation to meet associated deliverables and stake holder expectation. Consistently meets time - sensitive, high-impact business requirements, budgets and establishing strong relationships between business practices and IT. Possess extensive experience within the financial markets and technology from trading through reconciliation and operational processes.
- Agile Methodology, Waterfall Methodology, Confidential BAU Exception Management, Experienced Project Manager, UAT Initiatives, SME, Business Required Documents, Hands-on Leadership, Strategic Business planning, Resource Management, Client Relations Inter-departmental coordination’s, Middle Office Operations Listed D/OTC Derivatives, Technology Transfer, Middle Office Operations.
- Microsoft Office, Word, Excel, PowerPoint, Access, Project (MS Project), Powerpoint, MS Visio, Deriv/SERV, DerivClear (Calypso) Trioptima, Mark-it, Ice Clearing, Swift, Murex, Bony, Sunguard InvestOne, Geneva, Bloomberg, Thompson Reuters, RMS, GMI, Summit, Derivclear/ Calypso, Algo/Sentry, DBI, Proficient in the use of Excel (Pivot tables, and Macros) TIW, Spartan, DSMatch, Trident, Oasis, SRF, Sharepoint, SDR, SEF, Clarity, Mantas, Actimize AIS versions 4.12, 4.13 Actimize RCM versions 5.6, 5.7, 5.8, Actimize SAM versions 8.1.0, 8.2.3, SQL Oracle databases
Proficient in Microsoft Office, Word, Excel, PowerPoint, Access, Deriv/SERV, DerivClear (Calypso) Trioptima, Mark-it, Ice Clearing, Swift, Murex, Bony, Sunguard InvestOne, Geneva, Bloomberg, GMI, Summit, Derivclear/ Calypso, Algo/Sentry, DBI, Proficient in the use of Excel (Pivot tables, and Macros) TIW, Spartan, DSMatch, Trident, Oasis, SRF, Sharepoint
- Work directly with Program Leads to manage a portfolio of projects (i.e. Confidential, Confidential, and Benchmark)
- Provide project management support on end-to-end project planning, risk identification, dependency tracking, issues identification / escalation, and change management on projects
- Assess project plans and progress; collect, consolidate and review Confidential and related reporting in an accurate, timely and comprehensive fashion
- Coordinate the process to align project artifacts with milestone deliverables, and assess all documentation for completeness, structure, and applicability
- Escalate project risks to the respective Team Leaders, Project Team and Management as appropriate
- Provide business analysis coverage for the Governance, Risk and Compliance initiatives using Actimize 5.8 Confidential solution platform
- Well versed within the technical aspects of Actimize platforms (AIS, ERCM-Actimize Enterprise Risk Case Management) and Confidential Fraud Solutions (SAM, IFM, CDD)
- Work with the business in the assessment of Confidential risks, and the review and implementation of Confidential policies and procedures to help support the Markets and Securities Services program
- Conduct due diligence on clients according to high, medium, low risks in order to ensure Confidential transactions are accurately flagged
- Translate high-level business requirements on multiple, complex applications into detailed functional specifications.
- Perform feasibility analysis, scope projects, prioritize deliverables, recommend alternative solutions and project strategies, and engage in negotiations.
- Work as a liaison between business unit and delivery team in all phases of development from product definition to deployment
- Understand and articulate CLM vision and strategy, ensure that technology solution is successfully aligned with the business goals and priorities
- Understand new regulations and changes to trading platforms in order to know the impact on security trading and firm trading activity.
- Work with Surveillance users to organize, analyze and document business requirements for surveillance, reports, and relevant workflows.
- Responsible for gathering and documenting requirements and detailed functional specifications.
- Evaluate surveillance models to understand the data requirements and identify internal/external data sources to map transactions/positions data, reference data and market data to business requirements.
- Enhance existing Confidential models to comply with customer consent order form and drafting SAR report
- Work with the Front office / Middle office / Back office teams to define data interface specifications and integrate data in disparate trading systems, risk management systems and market data sources.
- Evaluate Actimize (external vendor product) solution to map business / functional requirements, identify product limitations, define product configuration, and work flows.
- Evaluate the tradeoff between Actimize solution and Custom solution.
- Conduct review sessions with users on Actimize solution, user interface and reports. Define Actimize product enhancements, defect resolution in the product and update business users on the product upgrades and the potential impact on the alerts.
- Work on data mapping from source systems to Actimize product, model configuration, define alert/case management and workflows, threshold configuration. Source data mapping to UI display fields and reports.
- Conduct statistical analysis on trade data and trading patterns across different security types to improve the quality of the alerts reported to the surveillance users.
- Work with the data management team on the integration of data transformation in the overall architecture.
- Work with the technology team to ensure database designs are consistent with information architecture and information management and industry standards.
- Work with business partners to help identify, analyze and resolve defects raised during UAT and production support.
- Develop use cases and oversee creation of test scripts by the QA team. Provide reports and metrics as requested by the users to improve the effectiveness of Confidential .
- Review models across all asset types to ensure alignment of written specifications with the existing Actimize RCM code
- Ensure Users sign-off.
- Responsible for scope definition/confirmation, definition of implementation approach, budget and actuals tracking, resource planning, for deployment of Confidential Models ( i.e Front Running, Mark to Open/Close, Off Market Trades, Wash Trades)
- Develop templates for documenting deliverables timelines, milestones, dependencies and issue tracking for the Confidential Program as a whole and for the various workstreams within the Program
- Author Project Initiation Documentation for best implementation approaches
- Review Statement of Work (SOW agreements) to ensure that external vendor (Actimize) adheres to the business needs
- Review Service Level Agreement (SLA) for best alternatives/solutions to the project
- Monitoring Contractual agreements with external vendor (Actimize)
- Overseeing the relationship between Confidential Bank and the external vendor (Actimize)
- Responsible to identify, manage, mitigate, resolve risks, issues, dependencies to the project
- Manage project lifecycle including issues and risks management, project reporting and governance, track users and prepare MIS for senior management as to Confidential of the project milestones and prepare Confidential co dashboard to escalate project challenges
- Work closely with Compliance stakeholders from Technology, Front Office, and Business functions to gather and document requirements and to ensure successful delivery of releases of several surveillance models targeting FX and swaps activity
- Ensure creation of Functional and Technical requirements as needed to support project delivery
- Assist development team in daily Tech calls to ensure efficient data mapping
- Work with Compliance IT to analyze FX and Swaps data and model surveillance model results proprietary and market data test
- Work with IT and Business to build out test plan and test approaches and coordinate User Acceptance Testing
- Document traceability matrix in relationship between requirements, test cases and the defects
- Assist in drafting training materials and host training sessions with users
- Perform initial and periodic calibration of FX and swaps models; host calibration sessions with users
- Ensure that advanced statistical analysis for effective threshold values are determined and applied for a given scenario for a successful execution
- Liaise with user groups to determine analyst resource requirements post model rollout
- Continue enhancements coordination between users and Compliance IT post model rollout (trading and booking procedures)
- Enhance existing Confidential models to comply with Consent Order Form
- Responsible for scope definition/confirmation, definition of implementation approach, budget and actuals tracking, resource planning for SDR reg reporting
- Translate regulations, rulings into executable program of delivery including maintenance of detailed project plans covering all deliverables(process, people, IT) to drive change and achieve Program objectives.
- Developing detailed level project documents including, but not limited to project plans with deliverable and dependencies, project mandates, a communication plan and Confidential reporting
- Document compliance calendar timelines, and specific impacts on MO/ Operations across all OTC asset classes
- Participate in relevant working groups (i.e. DAWG, Confidential Sapient, ISDA) to represent cross asset Products Operations and lead dialogue and initiatives specific to cross asset functions, in partnership with Confidential Credit, Rates Operations and Credit/Rates Middle Office leadership as needed
- Monitor industry changes for possible impacts-resolving or (where appropriate) escalating issues and risks and ensuring that appropriate corrective action is taken
- Extensive data mapping/data management to ensure Wells is in great reporting standards
- Draft traceability matrix to map requirements against test cases
- Extensive use of JIRA for documents upload (ie. BRD/FRD, Change Control Request) and for production issues and defects tracking.
- Facilitate workshops and chair meetings across all internal/external business units for BRD/FRD document drafting.
- Work with external vendor (i.e. Confidential ), third party provider (ie. MarkitWire), clearinghouses (ICE, CME), SEF (i.e. Javelin, Trade Web, Bloomberg) to understand and implement best practices for reporting.
- Prepare regulatory Confidential Co deck to reflect industry updates on regulatory requirements and project phase for bi-weekly and monthly Senior Management meetings
- Update work streams project initiatives on SharePoint to ensure visibility for all stakeholders involved
- Understand regulations, rulings, timelines for compliance, and specific impacts on Securitized Products Operations across all group functions (Credit and Rates)
- Participate in relevant working groups (i.e. DAWG, Confidential, Sapient) to represent Securitized Products Operations and lead dialogue and initiatives specific to SP Change Management functions, in partnership with Confidential Credit, Rates Operations and Credit/Rates Middle Office leadership as needed
- Extensive interaction with Compliance/Legal/ to develop compliance tactics and strategies and lead programs necessary to ensure complete and timely compliance across SP functions with specific responsibilities to understand, document, plan and coordinate changes to:
- Articulate hierarchy of industrialized Id (CICI, AVOX, AVID, Internal ID, TRI) to developers as interim solution for Reporting Party until LEI is fully formatted.
- Participate in all development lifecycle phases, with relevant teams; participate in testing and implementation of new applications, tools and/or process changes.
- Conduct gap analysis for current system vs. targeted systems to capacitate regulatory mandates
- Author PID, BRD, FRD for best implementation approaches.
- Coordinate Resolution workshop strategy sessions for DF Title I rule 165 (d).
- Coordinate with stakeholders to manage timely completeness of write-ups
- Ensure all business/infrastructure feedback is effectively incorporated into the write-up
- Assist in preparing Test Cases, Test plans to facilitate UAT (User Acceptance Testing) for Part 45 and Part 43
- Draft traceability matrix to map requirements against test cases
- Provide regular Confidential summaries of impact points, escalate key issues for senior consideration and decisioning, and establish plans to ensure operational readiness.
- Prepare scorecard to reflect industry updates on regulatory requirements and project phase for weekly Senior Management meetings
- Documentation of current and future state including process mapping and data analysis
- Attend working group meetings with multiple work streams to ensure coordination across impacted support areas and development & management of project plans, issues and risks to implement necessary changes under the IT lead direction
- Prepare presentation deck and meeting minutes
- Contribute to the creation of the project plan - work with the project team to understand, agree estimates for tasks to build the solution and include the required activities in the project plan
- Gather, analyse and document business, user, functional and non-functional requirements
- Facilitate agreement on business requirements, approach and identification of solution across impacted areas
- Use BRD for (cross assets-Credit, Rates; Confidential, and valuations) as baseline to write up FRD.
- Critique BRD for missing information pertinent and crucial to Architecture design
- Update FRD based on the on-going assessment and refinement of the rules emanating from regulators
- Author traceability matrix in the development activities and testing activies
- Assist technology with selection of appropriate technical solutions
- Write Service Level Agreement (SLA) to have internal departments adhere to their level of responsibilities
- Document according to standards and utilizing the tools & processes provided for business analysis
- Liaise with all parties involved in solution definition and delivery e.g. Technical Product Manager (TPM) and development/BRD team
- Prepare own and review other's full documentation in accordance to Dodd Frank (CFTC 43- CFTC-45)
- Full understanding of GTR/SDR reporting for (PET, real time, confirmation, continuation, valuation, EOD snapshot) data to regulators (CFTC, ODRF, MIFID II, HKMA)
- Full understanding of SEF/ DCM (Part 40.5, 40.6) requirements and trade execution registration rules.
- Full understanding of the Volcker Rules
- Knowledge of middleware provider (Marketwire) as it pertains to intra-day reporting for PET, Confirm
- Full understanding of the reporting “Prime Record “ configurability to set business rules at any permutations for (i.e. Reporting Regime, Report Type, Asset Class, SDR/GTR to be reported to)
- Knowledge of Confidential Dodd Frank enhancement as it pertains to client-onboarding
- Performing Gap Analysis for Fund Managers/Fund Administrators system migration
- Working with systems communicating trades to Custodians/Prime Brokers and Fund Administrators.
- Creating requirements documents of significant depth and breadth for middle/back office processing for Trade Capture, Validations, enrichment, confirm/affirm processing, collateral management, Confidential reporting and settlement for OTC, CFD and ETD.
- Knowledge of MS-Project and the ability to create & maintain project plans
- Document Operational Readiness workflow globally for OTC, CFD and ETD.
- Reviewing and re-designing requirements as needed.
- Liaising/ negotiating with Technology for Cost Estimates (E0’s) for systems new build.
- Allocating requirements to release schedules
- Identifying process improvements and re-engineering recommendations
- Providing verbal and written Confidential updates to Senior Managers
- Assisting in driving UAT resourcing and planning
- Participating in UAT for execution and complex problem solving related to defect resolution.
- Perform stress testing for system stability.
- Understand and documents business requirements and through partnerships with technology and Work on generated project plans, test scripts, test plans, schedules, process flows and related documents to complete UAT and parallel testing for credit derivatives, interest rate swaps and fixed income.
- Navigate through colleagues and deliver an appropriate global solution.
- Liaise between business and IT teams for system implementation and integration of-Swaps Wire (industry- backed electronic platform designed for STP efficiencies for OTC Derivatives.
- The ISDA website for legal and economic details pertinent to writing requirements for OTC Derivatives.
- Books, processes and reconciles. Trade captures of vanilla and exotic interest rates swaps and credit swaps in the testing environment to ensure positive end results for system enhancements.
- Produce process/workflow diagrams, use cases and use case diagrams when required.
- Working knowledge with analysis and build out of trade capture and processing systems for interest rates derivatives.
- Facilitate interdepartmental or cross-functional team meetings and conference calls to ensure completion of projects on schedule.
- Responsible for testing required industry initiative implementations.
- Conduct UAT testing on all Confidential initiatives and BAU enhancements.
- Conducts/monitors internal source system such as (Aurora, IDS, Data link, Cash Manager) testing for industry releases (designed to improve Confidential ’s Fed Metric reporting) from initiation through delivery.
- Monitors and reports on progress of technology related projects in Credit Derivatives (CDS.MCDS, LCDS, ELCDS, EQS and IRS).
- Documents project tracking and reporting.
- Creates test packages for all testing activities for management review.
- Imports data from external databases (Access and Microsoft) and other file types (.txt or .htm).
- Works closely with senior managers to determine testing approach and requirements for various implementations including the conversion from TCC to ICE clearing.
- Familiar with the Dodd Frank changes and implications affecting data report
- Performed various functions within the collateral management operations team.
- Performed daily margin call process including review of system generated margin notices, review of portfolio valuations for accuracy and notification to clients and internal relationship managers.
- Reviewed pending ISDA Credit Support Annexes to ensure credit terms were compliant to existing policies and procedures. Strong understanding of OTC derivative documentation.
- Performed periodic reviews of customer portfolios to ensure number of transactions, deal valuations and collateral pricing all agreed with client information.
- Interacted with various departments within Deutsch Bank such as Credit, Documentation and Settlements to ensure the timely and accurate settlement of margin calls.
- Prepared several daily, weekly and monthly MIS reports as they related to margin activity.
- Enhanced firm liquidity by re-hypothecating client collateral to satisfy margin calls and to reduce counterparty risks.
- Consistently sought opportunities to improve processes, controls and procedures within the Margin Management Team.
- Partnered with the project team to develop requirements for system enhancements and assisted with user acceptance testing.
- Developed use cases liaising with front office, middle office and back office.
- Defined and documented user procedures and workflows, and how each class of user interacts with each system function through Swim lane diagrams.
- Coordinated closely with the Client Service Management Team and other relationship managers to advice of client queries, requests and issues.
Client Manager (Consultant)
- Assisted the Buyside community utilizing Deriv/SERV for assigning and trade matching of (CDS, IRS and EQS).
- Walked clients through Deriv/SERV to confirm electronically eligible transactions (such as new trades, terminations and amendments).
- Solid experience with OTC middle office/back office-trade capture, trade affirmation/ confirmation, trade matching, and trade settlements, trade payments.
- Interacted with clients over transaction statuses (such as confirmed, unconfirmed, or alleged) and their legal significance.
- Maintained ongoing communication with Deriv/Serv members and answered questions via phone or email.
- Performed proactive monitoring of member activity on our website and contacted them with ideas and suggestions for more efficient usage.
- Liaised with compliance for questions raised by clients in regard to Standard Master Confirmation Agreement.
- Liaised with Membership Service for Customer Implementation Pack.
- Presented the service and demonstrated-trained prospective clients,
- Assisted Relationship Managers weekly with webinars (Deriv/SERV Webcast Demo).
- Knowledge of Confidential and Patriot act as it relates to client on boarding
- Researched and verified Confidential client data
- Exception management reconciliation and reporting
- Performed Confidential check for corporation ownership authencity
- Validated entity reference data in clients Confidential systems (i.e. Cyota)
- Performed daily reconciliation of portfolio general ledger with custodian bank.
- Carried out daily and monthly reconciliation of customer and house accounts.
- Performed daily and monthly analysis of variation margin, open trade equity and P&L.
- Performed daily and monthly analysis and entry of journal entries of the customer and house accounts to reflect these adjustments.
- Carried out daily and monthly reconciliation of currency trades (AUD, JPY, USD, CHF, NZD GBP, NOK, CAD, ZAR and SEK) for both exchange and house.
- Adjusted and updated GMI reports for US Seg, EU and CAD currencies.
- Updated foreign SOD (security on deposit and conversion rate) and foreign net liquidity and domiciled USD net liquidity.
- Conducted daily analysis of Excess/Deficit US seg, Excess/Deficit foreign seg, requirements value for US seg, and foreign seg and total capital requirements.
- Conducted daily update of regulatory reports for broker receivables, P&L accounts, JPMF-l Sing accounts and trade error accounts.
- Generated daily reports such as margin Confidential report, short term US and Investments and borrowings, bank reconciliation report, statement of segregation, statement of secured amounts and funds for foreign futures and foreign options customers to facilitate management workflow.