SUMMARY

• Sr. Business and Data Analyst with extensive experience in Financial industry in areas of Compliance, Market Surveillance reporting; Front and Middle Office Sales & Trading; Regulatory Reporting and Controls; Securities, client, account reference data & Market data; MIS reporting; Business process re - engineering and process improvements
• Working experience with various financial instruments including Fixed Income, Equity, Listed Derivatives (Options, Futures), OTC Derivatives
• Experienced business analyst with ability to outline strategic business solutions while providing the business with creative tactical solutions addressing immediate needs, addressing cost savings needs. Experienced in feasibility analysis, use case analysis, gap analysis, capturing user stories and translating it into requirements
• Skilled Data analyst experienced in data warehousing, data modeling, migration, mapping, data mining and on-boarding of large data sets from both in-house sources and external vendors for various business needs including financial transactions data as well as reference data such as Securities, Accounts, Client, HR and Market data
• Experienced to manage multiple projects simultaneously in line with scope and tight milestones; capable of delivering results within the timeframe and budget and able to work with demanding time schedules; has excellent attitude towards teamwork
• Experienced in serving as liaison between the business and system development teams, building partnership and trust with business clients at different levels, understand business priorities, gather business requirements, translate business requirements into detailed specifications, prepare business presentation for different levels
• Thorough understanding of financial software development life cycle (SDLC), change management procedures, Waterfall and Agile methodology; proficient with project/business management tools such as MS Excel, MS Word, MS Project, Power Point, Visio, SQL; hands on experience with SQL, Oracle, Sybase, MS Access, KDB; Hadoop platform; Business Objects
• Excellent analytical, troubleshooting and problem solving skills. Experienced in people management and collaboration within global environment

PROFESSIONAL EXPERIENCE

Confidential

Sr. Business & Data Analyst, Consultant

Responsibilities:

• Business/Data Analyst with Global Compliance DW team and Equity Markets Surveillance team.
• Compliance data warehouse (LUCID) is a horizontal data hub for global Compliance requirements/needs, eliminating data redundancy, establishing data governance and data quality controls across.
• Work scope included addressing new Compliance surveillance requirements, industry initiatives, regulatory commitments and audit responses for NAM/EMEA/APAC/JAPAN regions.
• Data acquisition was performed to fulfill requirements for various Compliance areas, including Trade Compliance/Market Surveillance, Information Barriers and Control Room, Wealth/Asset Management, Employee Compliance and AFC.
• Data scope included Fixed Income, Equity, Listed and OTC derivatives trading, Security lending; Securities/Clients/Books reference data; HR data and business hierarchy.

Tools: SQL, Oracle, MS Access, KBD; MS Word, MS Excel, MS Project, PowerPoint, Visio; QlikView, JIRA, Agile methodology, JAMA, ALM, FIX, XML; SharePoint, Confluence, SDLC

Confidential

Responsibilities:

• Analyzed and acquired data from new trading and reference data sources; upgraded existing Compliance data feeds to accommodate changing business and systems flows, firm-wide business initiatives as well as new surveillance reporting requirements.
• Developed and own relationship with IT partners, working with them to prioritize enhancements as per Compliance requirements, optimize data integration and system automation.
• Evaluated Compliance requirements for respective areas; identified available data sources within the Firm, conducted business walk-though of system/data flows. Performed gap analysis, data reconciliation, created data and system flow charts, business presentations, business and functional requirements documents. Collaborated with data architects to create data models, produced data onboarding specifications, data mappings and data dictionaries.
• Managed project plan, project milestones, issues log. Outlined test strategy, plans & test cases; conducted user acceptance sessions and post-implementation checkouts.
• Addressed data quality issues and data gaps to ensure completeness of the data. Created data quality rules and identified data quality monitoring thresholds for CDW dashboard.
• Identified opportunities to improve current practices and procedures. Worked effectively under tight deadlines and changing priorities on regulatory and audit commitments.

Confidential

Sr. Business & Data Analyst (Consultant)

Responsibilities:

• As Senior Business & Data Analyst with Market Surveillance team, performed business and data analysis for Trading Compliance/Markets Surveillance supporting variety of instruments such as Fixed Income, Equity Cash & Derivatives and Energy/Commodities.
• Performed data acquisition of new data sources and upgrade of existing transactional and reference data feeds to accommodate changing business and systems flows, firm-wide business initiatives as well as new Markets Surveillance models and reporting requirements; performed extensive testing of data and surveillance models.
• Addressed data gaps and data quality issues and to ensure completeness and integrity of trading, market, position and reference data; worked on enhancement of surveillance models.
• Created de-normalized data models to migrate Fixed Income cash/derivatives trading data onto Big Data platform to support Market Surveillance reporting re-engineering.

Tools: MS Word, MS Excel, PowerPoint, Visio, MS Project, MS Access, SQL, Oracle, Sybase IQ, Netezza, Hadoop, JIRA, QC, SharePoint, QlikView; Perl; Reuters/Datascope; Pershing/NetX360; Broadridge