PROFILE:

• Successful Project/program manager with over 20+ deliveries within regulatory compliance and IT
• Experienced both as an SME and a leader to plan, execute, control and deliver projects employing Waterfall and Agile process.
• Expert in bridging gaps between business, compliance and technology team.
• Partnering, consensus building and problem - solving skills to capitalize on opportunities for positive change
• Stellar skills in data governance, data visualization and integrating cross-system metadata using latest tool and technology
• Excellent at data modeling and data analysis to derive insights.
• Creative skills to establish effective metrics for measuring and controlling quality
• Test & Validation - established consistent processes to validate technology and business changes.
• Notable contribution in operation risk, data governance, data privacy, controls and risk management
• Implemented processes for effective optimal documentation, evidencing and auditability.
• Experience with RFPs, SOWs, project business cases, feasibility studies, use cases and procurement
• Experience in cross-border regulations - Addressing gaps, enhancing data flow, model and processes for regulatory readiness
• Successfully implemented data protection mandates - corporate and regulatory mandated; Experience in data anonymization, scoping PII datasets and data masking using pragmatic use cases
• Write excellent FRDs that speak to overall project, and serve as point source for traceability, testing, controls and delivery process
• Keep abreast of emerging best practices for continuous process improvement and learning
• Past nuclear engineer to bring cross-industry know-how for pragmatism in data quality and governance.
• Successful manager with business SME and data analysis skills - past IT developer and a data modeler.

COMPETENCIES:

• Data Governance & Controls
• Risk Management and Reporting
• PMO, Best Practices and Roadmap,
• Business IT deliveries
• Agile and Waterfall methods
• Regulatory Compliance
• & Market Data
• Data Warehouse, Business Intelligence, Web

TECHNICAL QUALIFICATIONS:

Tools: MS Project, PowerPoint, Excel, Visio and /SharePoint; JIRA; Quality Center; VersionOne; Collibra; Axiom SL

Technologies: MS Access; Oracle; SQL/PL-SQL; Excel Macros/VBA; Informatica; Python; Java; Business Objects; Tableau

Architecture & Quality: Taxonomy, Gartner Methodology, TQM, Six Sigma, and CMM

WORK EXPERIENCE:

Confidential, New York, NY

BUSINESS ANALYST/PROJECT MANAGER

Responsibilities:

• Coordinating with front office, Treasury, risk and reporting to project plan and deliver front-to-back business data transformation.
• Delivering tools to reconcile key trading attributes and finance data between Front Office, GL and Regulatory reporting systems.
• Achieved 30% operating cost saving for reporting team by implementing configurable reconciliation tool
• Creating QA awareness on business data lineage; automated processes to catch issues early, quantify impacts and resolve

Confidential, New York, NY

PROJECT MANAGER/BA

Responsibilities:

• Led a working group on input data consolidation framework for securitized portfolios and project managing strategic and tactical deliveries for baseline and stressing: a) identify/ratify key data elements, b) quantitative metrics and rationale for scenarios, c) built/presented Excel/SQL prototype, d) coordinated with IT to deliver stressed RWA and capital for securitization workstream, and e) partnered with bigger CCAR team for overall consolidation and reporting.
• Project managed data governance initiatives on Key Regulatory Data Elements (KDEs); conducted reviews to identify cross-regulation and BAU attributes, their quality demands across risk-stripes to define metadata, lineage/traceability, controls, etc.
• Project managed data governance and control initiatives for risk data mart
• Prepared, verified and communicated impact analysis use cases and cause-effect studies on data quality; called out specific scenarios to depict, and quantify business impact of a failure (, or quality event) on a key data element.
• Participated in regular data governance forums for proactive preparation and readiness on regulatory disclosures, and risk controls status reporting for senior leadership.
• Leveraged Confidential -239 principles - coordinated with risk, treasury and finance teams on an over-arching risk architecture for KDE to continuously measure, monitor and improve metrics on data lineage and quality for on-going basis.
• Documented functional requirements of GDPR as applicable to EU exposures. Developed use cases and data studies on exposures for GDPR requirements - identified exposures, defined functional logic and worked with ETL technology team to generate personal data contents (explicit and implied) potentially subject to privacy violation; defined use cases to validate data protection officer roles/responsibilities to determine likely impact of GDPR.
• Documented process requirements and functional steps to map essential use cases on GDPR; performed Data Protection Impact Assessment (DPIA) for IT systems; and coordinated with technology team to facilitate the development
• Participated in forums to address audit concerns on data consistencies across B3 standardized and advance rule.
• Reviewed GDPR audit findings conducted by independent 3rd Party firm; review critical areas, gaps and mitigation to address GDPR requirements. Prepared a master rules tracker document to collect the action items; liaised with area SMEs to elaborate each item; categorized items; flagged GDPR part number; RACI attributes, criticality/complexity, etc. to drive GDPR program
• Established the scope of retail investment exposures on GDPR; coordinated with technology teams to extract relevant exposures - actively or potentially subjected to GDPR along having an association to EU customers and employees’ privacy data.
• Identified mitigation methods, and performed process vetting on data masking, data hiding, business process changes, etc. to constitute a part of overall program to follow the roadmap and address cross-workstream dependency
• Drafted detailed operational controls (BAU) - present state and target state of key controls - currently under active review.
• Working on Miscellaneous project tasks related to GDPR and Confidential -239
• Performed reverse engineering of legacy processes VBA/Macros/SQL to draft quality enhancement for disclosures preparation - FRY-9C (Sch. HC-R) and FFIECE 101 (Sch. P).

Confidential, Stamford, CT

PROGRAM/PROJECT MANAGER

Responsibilities:

• Leveraged PMO best practices and SME expertise; defined roadmap, governance and success criteria for planning, execution and control for compliance delivery, controls, and BAU hand-off.
• Liaised with CDO and led a program team to perform due diligence on operating model for target data governance; Prioritized and established critical data elements - regulatory and (client/instrument), data stewardship, governance and risk dashboard to support fixed income trading and regulatory initiatives - Confidential and RDAR/ Confidential 239.
• Worked with external vendors to perform use cases and feasibility studies on data governance tools - Collibra Data Governance Center, Informatica Metadata, in-house and legacy tools, etc. to establish go-forward operational model for data governance.
• Coordinated with IT infrastructure team to leverage Incident Management utilities of ServiceNow to integrate Collibra issue management database. Defined metrics to identify and categorize status metrics (Red/Amber/Green) for Critical Data Elements to integrate with workflow process for user roles to track, monitor and improve data quality.
• Worked with cross-workstream to provide ready to use risk parameters for traders - GUI application with ready metrics to determine potential PnL for OTC trades considering obligor risks and 3rd part data from Bloomberg and INTEX.
• Collaborated with stakeholders and SMEs to establish data stewardship, metadata, lineage, governance and controls to meet RDAR principles. Led metadata retrieval using ETL repositories, built a common data framework and delivered GUI tools to perform impact analysis and common cause failure analysis.
• Defined metrics to measure minimum acceptable quality limits for key data elements.
• Automated a liquidity buffer and LCR process to demonstrate adequate High-Quality Liquidity Assets for the Confidential .
• Defined Test Strategy for both technology and business procedures; implemented test-based approach to project delivery.
• Experience enhancing and market data support for fixed income trading for bonds, Treasuries, MBS and ABS.
• Planned and conducted end user on project deliveries and BAU hand-off.
• Liaised with advisors and stakeholders to review emerging regulations for impact and data preparedness.
• Coordinated with business SMEs and external advisors to keep pace with industry and compliance changes.

Confidential, New York, NY

PROJECT MANAGER/SENIOR BA

Responsibilities:

• Partnered with cross-functional stakeholders on roadmap for regulatory compliance and risk management for financial investment, accounting and tax services for wealth management accounts - HNWI and PEP accounts. Identified exposure data sets for cross-border regulatory compliance on data privacy, data loss protection and FATCA.
• Coordinated with global PMO and business partners on prioritization of tasks and leading the projects through life cycle.
• Established data governance model to capture, maintain and report metadata on Key Data Elements to facilitate issue management and workflow to measure and improve data quality. Implemented Collibra suite of tools and a common data model to support legacy reporting and comply with data quality on forecast and CCAR processes.
• Developed IT solutions for RWA for market/credit risk securitization (SSFA rule) and banking book under US BASEL rules.
• Led MTM solution framework and valuation of trading book assets to measure daily PnL driven by market pricing data feed.
• Enhanced OASYS trading applications to include risk KPIs generated by batch process within data warehouse. This ready to use tool was very helpful for Traders to make risk based decision on potential on OTC deals
• Interacted with internal audit teams to answer questions on default values leveraged for critical input parameters (internal and external Bloomberg/INTEX) applied on credit risk wholesale exposures, and b) securitization and correlation products.
• Drafted framework for expanding coverage of B3 Advance rule for securitization portfolio - sample examples, expected benefits and delivery, and presented a business case for project which was accepted and subsequent tasks began.
• Delivered IT solution to assess potential M&A deals consolidating counterparties exposures, Credit Value Adjustment (CVA).
• Supported OASYS trading desk supplying data feeds on OTC risk parameters, market/pricing data assist with trading.
• Delivered IT solution to report liquidity risk - liquidity levels of assets, buffer, net cash flow and liquidity coverage ratio.
• Created trade DataMart for EU transaction with dimensions and facts to represent data through trade lifecycle.
• Utilized use cases to demonstrate EU country/exchange trade data flow and fitness for Confidential .
• Created IT solution to collect and process daily transaction to report 24 Confidential required attributes.
• Established efficient data masking infrastructure, processes and exception handling governance.

Confidential, Stamford, CT

PROJECT MANAGER

Responsibilities:

• Project managed technology initiatives to assess continuous feasibility of potential M&A deals.
• Established infrastructure to determine current/potential PnL and M&A viability based on risk profiles of the counterparties, projections and assumptions.
• Provided clear visibility on risks and rewards in dollar amount to facilitate decision-making on potential M&A deals.

Confidential, Stamford, CT

PROJECT MANAGER

Responsibilities:

• Developed IT projects roadmap and led project initiatives on data reconciliation, counterparty ratings and internal controls
• Led global teams comprised of Developers, Tech Leads, quality assurance vendors and related stakeholders.
• Led scrum meetings to review daily stories and execute tasks on data feeds for derivative trading desk on risk parameters, internal counterparty ratings and market data.
• Employed firm’s proprietary algorithm & mathematical model to estimate counterparty risk ratings and data.
• Defined/delivered key BAU controls - aligned to SOX controls to mitigate operational risk on counterparty risk rating process.
• Delivered a very effective metadata model and data lineage tool - all hands-on using MS Access. Coordinated with vendor team to convert the Access model into Oracle.
• Delivered a generic data governance framework and tools to define and establish quality metrics and work flow processes to improve key data attributes through their life cycle. Architected a reconciliation tool on top of data governance issue management to validate and certify data elements and contents for hedging of Treasury assets.

Confidential, Stamford, CT

ASSOCIATE DIRECTOR/PROJECT MANAGER

Responsibilities:

• Continuously liaised with global/regional Business Managers on global forums to collect, collate and prioritize competing requirements for monthly IT deliveries on trade surveillance, trading violations and AML. Maintained a cross-product trade data warehouse & business intelligence on account trading and prop trading.
• Coordinated with Confidential and led team on Data Loss Prevention initiative to protect certain qualified Wealth Management account data through life cycle stages and use cases to demonstrate the functionalities on privacy.
• Led large teams - Developers, BAs, Leads and vendor PMs to support global operations and challenges on Swiss client data.
• Interacted regularly with Traders, Auditors and Confidential staff on Internal Controls Process to define and measure effectiveness of key regulatory (and data) controls to account for accuracy, timeliness and process compliance.
• Supported corporate vision for cross-LOB Data Governance. Participated in forums to leverage existing capabilities within business silos and introduce new data model and processes to address trade data quality around issue-issuer.
• Coordinated with Off-Shore Delivery Initiatives (ODI) section on due diligence requirements on data security; performed data anonymization tasks to scope Personally Identifiable Information (PII) datasets; performed hands-on (independent) analysis on data masking, and partnered with vendors on data masking solution to support off-shore operations.
• Defined and delivered IT infrastructure to depict bringing end-to-end lineage and traceability of essential data elements.
• Reengineered existing AML infrastructure - conceptualized and delivered in-house code to replace Actimize modeling tool
• Built IT solutions for data processing and reporting on trade surveillance - front running, block trading, insider trading, etc.
• Performance appraisal, mentoring and motivating a distributed team consisting of developers, analysts and leads.