SUMMARY

• Seasoned Consultant with 14 years of Financial Services and IT Consulting experience in the following areas
• Product Control experience in the following business areas: Equity Derivatives, Credit Derivatives, Fixed Income, Distressed Products, Interest Rate Derivatives, Prime Services and FX
• Financial Audit and I.T. Audit
• P&L Reporting, Risk Attribution, Risk - Weighted Assets (RWA) Reporting, Financial Control, Management Accounting - Financial Accounting (MAFA) Reconciliations, Intercompany Reconciliations
• Front Office/Back Office Processing Flows, Trade Lifecycle
• Credit Risk Reporting, Loss Given Default (LGD), Adjusted Exposure (AE), Expected Default Frequency (EDF)
• Process Modeling, Requirements Gathering, Business Requirements Elicitation, Functional Requirements Documentation (Use Cases, User Stories, Process Flows, Integration Specs, Data Migration Specs, Report Specs)
• Summit, Kondor, Rolfe and Nolan, Bloomberg, Reuters, Concentrix, Hummingbird
• SAP BusinessObjects Enterprise
• SAP Data Services (Data Integrator and Data Quality) - Data Warehousing / ETL
• SAP HANA (High Performance Analytical Appliance)
• SAP ECC Rapidmart (Project Systems, Production Planning, Sales, Delivery and Shipments, Profit Center)
• SAP Data Migration (Project Systems, Customer, Vendor, Material Master)
• Teradata Studio Express 15.0
• Hadoop and Impala
• JIRA and HP ALM (Application Lifecycle Management)
• Back-end data profiling / data analysis using SQL
• Visual Studio Team Foundation Server (TFS)

PROFESSIONAL EXPERIENCE

Business Systems Analyst Consultant

Confidential

Tools: Hadoop, Impala, Teradata Studio Express, SQL Server, SAS Enterprise Guide, Proc SQL

Responsibilities:

• Business analyst for Enterprise-wide Finance Transformation involving Profitability and CECL Regulatory Reporting
• Prepare data lineage involving Source to Target documentation involving Shaw, Technology Cost and Volumes and Auto Floor Plan source systems. Coordinate with Subject Matter Experts to ensure mapping accuracy.
• Project involved use of agile methodology in terms of task monitoring, daily standups, reporting, creating user stories and sprint reviews.
• Involved in universal instrument of record design and mapping.
• Business analyst for the book of work associated with CCAR Credit Risk Model Data Source project for consumer loans. This project ensures that all Credit Risk model will source its inputs from the Data Warehouse where all FR Y14-M reports are sourced.
• Performed requirements gathering, mapping documentation and interface with development team for CCAR Stress Testing. This will enable tagging of loans to derive account level data for the following reports: FR Y-14A, FR Y-9C, FR Y-14M/Q Schedules.
• Prepared business requirements documentation, gathered user feedback and sign off.
• Maintained project management documentation such as milestone definition, work breakdown structure, Project Plans, RAID Logs, and status reporting.
• Ensure that appropriate meetings are held and appropriate project documentation are distributed. Chaired relevant meetings as necessary.
• Log and track defects in HP Application Lifecycle Management
• Perform testing of all modules - Functional, Non-Functional and User Acceptance Testing (UAT). Obtain user sign-off and approvals from project stakeholders
• Partner with business users in ensuring test schedule resource availability and completion of test cases
• Manage and report test execution. Ensure defect triage with technology development teams and resolution.
• Create dashboards to visualize key indicators. Prepare reports indicating defect resolution status. Develop user guides and manuals to describe the functionality and user interface navigation of the modules
• Maintenance of Teradata Data Lab administration for user access
• Design and Develop adhoc reports

Senior Auditor

Confidential

Responsibilities:

• Developed audit programs based on understanding of the information processing environment and preliminary risk assessment. Supervised audit associates responsible for executing audit programs
• Responsible for Regulatory and Internal Controls Audit surrounding Government Auditing Standards and Federal Single Audit Under the Uniform Guidance (formerly OMB Circular A-133).
• Clients include Federally Qualified Health Centers (FQHCs), behavioral healthcare organizations, AIDS/HIV agencies, prepaid health service plans, healthcare trade associations, and other not-for-profit healthcare corporations
• Managed audit hours worked and involved in load balancing decisions for the non-senior audit staff.
• Reviewed staff work products for submission to Manager and Partner sign off.

Product Controller/Business Analyst/Change Management Manager

Confidential

Responsibilities:

• Performed daily profit and loss (P&L) reporting, Risk Attribution, and commentaries. Experienced in the following business areas: Global Market Equities, Equity Proprietary Trading, Global Credit Trading, Distressed Products, and Structured Credit Products.
• Coordinated with the trading desk, valuations team, front-office support, middle office and Global Reporting to discuss issues regarding booking, valuation and new product approvals.
• Reconciled trade activity, positions, and prices (marks) between front and back office systems; investigated and resolved variances
• Performed month-end reserves calculation, Risk Weighted Assets (RWA) reporting, Credit Risk Reporting
• Managed a team of product controllers for the equities, distressed products, and credit trading desks for Asia Pacific-based entities
• Supervised migration activities for off-shoring of product control
• Performed Sarbanes Oxley (SOX) testing. Coordinated with Regional Audit Department in documenting and testing to ensure process gaps are bridged and IT Systems are in compliance with SOX processes.
• Functional Test Lead in Custom Application for Balance Sheet and P&L of Equity Derivatives Division. Developed test strategy and test plan based on understanding of business requirements. Coordinated solution workshops with sponsors to enable documentation of requirements and corresponding sign-offs.
• Led the Product Control team in developing functional test cases and managed the execution of tests for Accounting Information system upgrades. These upgrades involved improvement of the granularity of balance sheet and income statement accounts as well as proper matching of front office financial accounts with the back office SAP BW general ledger accounts.
• Developed and validated functional requirements with business users for the Financial Control business area for the account granularity enhancements. Developed test cases for the report enhancements which enabled user acceptance testing on the application enhancements. Performed regression testing on the base functionality and interacted with various users in the region to discuss the errors. Managed resolution of defects and reported results of testing cycles to the project team. Provided functional support to the users during the conference room pilots and site rollouts. Developed user guides and manuals to describe functionality and user interface navigation of the enhanced reports.
• Defined functional specifications for conversions of Excel-based applications to custom financial applications which resulted in a more efficient product reconciliation process.
• LEAN: Optimized processes by elimination of wasteful steps which lead to improved capacity planning and optimal team headcount. Created Value Stream Mapping diagrams to analyze lead time and determine optimization solutions

Financial Auditor/Senior IT Auditor/Business Analyst

Confidential

Responsibilities:

• Developed financial audit workflow management system which enabled automation on audit work paper review and documentation. Performed requirements elicitation with users and sponsors. Analyzed system requirements. Documented as-is and to-be functional design of the integration and reporting function. Assisted in development of test cases and performed regression testing to determine if any gaps in results occurred.
• Involved in Loans Receivable decision support application project for a multinational investment bank. Gathered business requirements and process mapping documents. Developed reports to enable loan portfolio managers to assess likelihood of loan collection. This decision support application enabled the investment bank to purchase national residential mortgage loans.
• Performed Enterprise Resource Planning (ERP) implementation reviews for various clients involving the review and implementation which focused on evaluating the accuracy of system calculations and the accuracy and completeness of key system reports; leveraged computer aided auditing techniques
• Developed audit programs based on understanding of the information processing environment and preliminary risk assessment. Supervised audit associates responsible for executing audit programs
• Performed general control reviews of clients' information processing environment; reviews were focused on clients' software change management processes, software development processes, problem management activities, information security activities, and data center environmental controls
• Performed application processing control reviews focused on evaluating the accuracy of system calculations and the accuracy and completeness of key system reports; leveraged computer aided auditing techniques
• Performed substantive and control procedures on significant accounts. Prepared summaries of procedures done. Presented findings, analysis and recommended improvements on client's system and processes. Covered various industries, including manufacturing, construction, real estate, financial services, pension fund, consultancy and advertising.