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Sr. Business Analyst/compliance Analyst Resume

Phoenix, AZ


  • Business Systems Analyst with experience of about 8 years functioning primarily in Banking and Finance domains using several Software Development Life Cycle (SDLC) methodologies ranging from traditional Waterfall, Scrum - Waterfall Hybrid to modern Agile frameworks like Scrum, Kanban.
  • Highly self-motivated with financial industry knowledge such as financial datasets and tools, valuation fixed income security, equity market valuation and analysis. Results-oriented with proven abilities to learn and adapt to various technologies, highly adaptable to changing environments, provide timely issue resolution, effectively communicate with stakeholders, and lead with integrity over vital functional areas.
  • Good knowledge of the various core banking stress test scenarios such as baseline, adverse and severely adverse.
  • Good understanding of (CCAR) -Comprehensive Capital Analysis and Review and risk assessment.
  • Strong understanding of risk control; including Value at Risk (VAR), Anti-Money Laundering (AML), Bank Secrecy Act (BSA), and Know Your Customer (KYC).
  • Extensive Knowledge in Capital Markets, Corporate Finance, Risk Management, Investment Banking, Financial Statement Analysis, Equity, Fixed Income, Alternative Investments, Derivatives, IPO etc.
  • Experienced in all financial instruments within investment banking and portfolio management (Equity, Fixed income, FX, Derivatives, Securities, Commodity trading, Mutual Funds, Options, Swaps, Asset Backed Securities, SWIFT Messaging Hedge Funds).
  • Highly experienced in creating the requirements artifacts such as Business Requirement Document (BRD), System Requirements specification (SRS),Functional Requirements Specifications (FRS), Technical Requirements Document (TRD)and Requirements Traceability Matrix (RTM) and validating these requirements against the business case.
  • Excellent communication skills necessary to elicit requirements throughBrainstorming,Job shadowing, surveys, interviews, focus groups, document analysis, interface analysis and JAD sessions with Business Owners, Business Users, Subject Matter Experts (SMEs), Technical Architects, Testers, Developers and other stakeholders.
  • Experience inAs-Is and To-Be process modelsby conductingGap Analysis, Impact Analysis, SWOT Analysis, Cost-Benefit Analysis, Risk Analysis, Root Cause Analysis, Feasibility Study and Return on Investment.
  • Proficient knowledge in Quantitative Risk Analysis and Qualitative Risk Analysis. Assisted PM in developing documents like Project charter and Project Plan.
  • Assisted product owner in prioritizing User stories in Product Backlog artifact using Prioritization Techniques like Moscow, Kano, Forced Ranking and Value stream Mapping and assisting with the Definition of Done (DoD) and Definition of Ready (DoR) for product backlog items.
  • Experienced with issue creation and resolution using Atlassian JIRA. Facilitated the team and created Scrum artifacts like Product Backlog and helped define the User Acceptance Criteria, (Minimum Viable Product) and (Minimum releasable features) to assist with an overall release and feature plan for the products.
  • Designed UML diagrams in the form of process flow diagrams, swim lane diagrams, use case diagrams, wireframes, mock-ups and prototypes using tools like Balsamiq, Lucid Chart and MS Visio.
  • Excellent understanding of System Architecture like Service Oriented Architecture (SOA), 3-tier Architecture and N-Tier architecture Ajax, Web Services (SOAP, WSDL).
  • Significant experience of working on Application Programming Interface (API) Documentation using Swagger and API Testing using POSTMAN and SOAP UI to test the request and responses of APIs in JSON and XML format.
  • Experience in creating conceptual and logical data models, documenting migration plans, Data Mapping specification document and Data profiling to clean and convert source data to target format.
  • Knowledge of the implementation of dimensional data modelling including the star and snowflake schema, dimension and fact tables and the various OLAP operations like slice, dice, roll-up and drill down.
  • Excellent insights of data warehousing, data profiling, data migration, data-marts, data lakes, ETL and data visualization processes with hands on experience in Informatica PowerCenter.
  • Prepared data visualization reports using Tableau through connecting csv, excel and database files showcasing the business insights and progress reports using Histograms, Heat Maps, Symbol Maps, Pie Charts etc.
  • Extensive working knowledge of Continuous Integration and Continuous Deployment (CICD) using Jenkins and excellent understanding of best practices like TDD (Test Driven Development), BDD (Behavior Driven Development) and ATDD (Acceptance Criteria Test Driven Development).
  • Operated basic SQL commands such as SELECT, INSERT, UPDATE, ALIAS, JOINS and PROCEDURES.
  • Collaborated in preparing and reviewing Test Cases, Test Plans, Test Scenarios; facilitated User Acceptance Testing (UAT), Regression Testing, Functional Testing; assisted in Smoke and Sanity testing.


Finance: Portfolio Management, Capital Market, Money Market, Asset Allocation, Credit Risk, Financial Instruments, Equities (Stocks, ETF), Fixed Income (Bonds, Convertibles, T-Notes, T-Bonds), Derivatives (Swaps, Options, Futures, Forwards), FX (FX Options, FX Futures, Currency Swaps, Currency Forwards, FRA), Money Market Instruments (T-Bills, Commercial Paper, Repos)

Project Management Tools: MS Office, MS Project (2013,2016), MS SharePoint (2013), Confluence (v 6.3, 6.2), JIRA (v.6.3,7.0), HP ALM (v.11.5), HP-QC (v.11,12), Confluence (v.6.4, 6.3, 6.2), Microsoft Teams

API Tools: Swagger, Postman

ETL Tools: Informatica Power center

Databases: MySQL, SQL, MS Access, Oracle 11g/12c, IBM DB2

Defect Tracking & Project Management: JIRA, Confluence, HP ALM 11.5, Confluence, MS project

Productivity Suite: MS Office (Word, Excel, PowerPoint, SharePoint 2013, Visio, Access)

Data Warehousing: Data Marts, OLTP, OLAP, Multidimensional Analysis, Data Mining, Slicing/Dicing, Drill Down/Roll Up.

Testing Tools: HP QC v10.0, HP ALM V11.5

Reporting Tools: Tableau (v. 9.3, 10.0, 10.1), IBM Cognos, MS Excel (2010, 2013, 2016)


Confidential, Phoenix, AZ

Sr. Business Analyst/Compliance Analyst


  • Organized JAD sessions and workshops, prepared agenda and facilitated the meetings with the SMEs, product owner & stakeholders to elicit requirements and documented outcomes.
  • Conducted risk and feasibility analysis, to make sure the enhancement process was in the project budget and feasible in carrying out the activities within the specific time.
  • Performed GAP Analysis by understanding the AS-IS (existing) business process and TO-BE (future) business process and created business process model.
  • Extensively used JIRA to draft Epics, Stories, Sprint Burndown Charts to track teams progress and Burnup charts for the Stakeholders view to show the current status of the project.
  • Experienced with the procedures of Banking & Regulatory Compliances - Anti-Money Laundering (AML), Customer Identification Program (KYC/CIP), CCAR/CECL Regulatory Reporting, Dodd-Frank Act stress testing.
  • Involved in test evaluation process for Annual and monthly risk reporting and Risk data council meeting result, affirmation and execution followed for federal reporting requirement under CECL/CCAR requirements.
  • Ensuring the data quality by checking the completeness, consistency and accuracy of risk data for regulations of BASEL III and Comprehensive capital analysis and review (CCAR)
  • Presented various Key Performance Indicators (KPI) and Business Metrics by assisting the BI Analysts in generating reports, ad hoc reports and interactive dashboards and created a storyline for presentation using Tableau for Analysis and Visualization.
  • Involved in running queries against the sources of data and reporting data quality information through Tableau
  • Assisted the team in carrying out the building of Service Oriented Architecture (SOA) and instigate communication using REST with JSON and facilitated end-to-end Web Service testing for RESTful API through Swagger Tools and Postmanfor documenting requests and responses for RESTful APIs and HTTP calls GET, POST, DELETE and PUT on application layer to test web services.
  • Performed CRUD operations in SQL & insert functions as AVG (), MAX (), MIN (), SUM (), STD () and COUNT ().
  • Used SELECT & JOIN Statements for drill downs to pull data while being actively involved in reading data from varied file types, created standard and ad-hoc reports.
  • Assisted in Data Analysis, Data Mapping, Data Extraction, Integration by using the Informatica PowerCenter.
  • Executed all aspects of business analysis, reporting, database management, and financial analysis. Assisted in Conducting Smoke Testing, UAT testing, User Interface testing, functional testing, Integration testing, Regression testing, Back- end testing, UI testing, Parallel testing, Rules testing.
  • Ensuring efficient and effective project delivery through the use of project meetings, follow-ups, detailed and well thought out schedule/planning efforts, identification of risks and escalation points, and the production of quality project artifacts

Environment: Agile/Scrum, MS Office Suite, MS Project, MS Visio, SharePoint 2013, JIRA, Informatica, HP ALM, Oracle, Oracle 9iAs SQL, SQL Server, JAVA, HTML, XML, SOAP.

Confidential, Smithfield, RI

Sr. Business Systems Analyst


  • Conducted extensive GAP analysis by identifying AS-IS and TO-BE process models and process flows.
  • Elicited requirements involving vast set of interactions with various stakeholders including hedge fund managers, financial strategists and financial analysts using JAD Sessions, Structured Interviewsand Business Rules Analysis.
  • Analyzed feasibility of business requirements and defined scope, found out dependencies by interacting with Management Business Analysts, other Subject Matter Experts, Product Owner, Project Manager and Technical Lead.
  • Established extensive knowledge of Trade Order management systems and Trade Execution.
  • Worked with middle office and back office team in Transaction management, compliance, trade capture, matching and reporting.
  • Created Conceptual Model as well as logical Model of the trading system.
  • Involved in Business Process modelling which involved designing UML diagrams such Use Case Diagrams, Activity diagram and Use Case Narratives and incorporated them in Macro Document.
  • Created User Stories and led the Planning Poker game to estimate them in Sprint Planning and Backlog Grooming meetings. Also, helped Product Owner to prioritize user stories based on business value.
  • Helped product owner in prioritization of Product Backlog Items (PBIs) using 100-point method including the process of breaking down EPICS into user stories.
  • Assisted in increasing Data Integrity by performing Data Normalization and adding Data Verification and Validity to maintain accuracy and effectiveness of data
  • Used IBM Cognos reporting and Excel (Pivot Tables, Lookups and Macros) for reporting and analyzing the portfolio performance and fixed income analytics such as NAV, NPV, P&L, Asset Allocation, Country Allocation, Cash Flows.
  • Enabled Portfolio Managers and Traders to create detailed ad hoc reports for analytical purposes.
  • Performed SQL Queries to pull necessary data from Bloomberg and Confidential .
  • Created environment for self-organization and organized team engagement activities.

Environment: Scrum Framework, Wireframes, MS Office 2013, MS SharePoint 2013, MS Visio 2013, MS Project 2103, IBM Cognos, UML, Rally, InformaticaPowerCenter 9.x, Oracle 11g, Bloomberg B-Pipe, Confidential .

Confidential, Charlotte, NC

Business Systems Analyst


  • Conducted GAP analysis by identifying AS-IS and TO-BE process models and process flows.
  • Facilitated JAD Sessions with users, developers, and database design team to deal with backend synchronization issues accompanied with interviews and document analysis.
  • Identified the requirements of the stakeholders and created Business Requirement Document (BRD) and Functional Requirement Document (FRD).
  • Designed and implemented Portfolio Supervisory System, including trend analysis, forecasting returns and interfaces for risk management, financial advisors and financial analysts implementing the agile methodology.
  • Experienced the content management also to manage to portfolio management.
  • Developed good knowledge of Equities, Fixed Income, Futures, Bonds, Bond Pricing, Derivatives (Options), Credit Derivatives, Interest Derivatives and Equity Order Processing.
  • Created Use Case Diagrams, Activity Diagrams and Entity Relationship Diagram (E-R) using MS Visio and developed a better understanding of Business Processes involved.
  • Designed and implemented interaction with Portfolio Risk Management Analysis System to automate updating of various investment portfolios with respect to Contractual Agreements.
  • Facilitated the Various Scrum meetings which included Daily Scrum meetings with the Scrum development team.
  • Maintained Sprint burn down chart, Product burn down chart, Time boxed the Sprints and Daily Scrum meetings for the record.
  • Conducted Cash flow analysis on Customer accounts focusing on payouts on portfolios performance.
  • Broke down EPICS into smaller user stories by applying INVEST model.
  • Managed Product Backlog with the help of Product owner and Scrum development team by using JIRA also generated reports to analyze the performance of the project.
  • Actively participated in the testing of the system during UAT, Regression Testing, and Black box Testing. Created Test Cases and Test scripts.
  • Responsible for numerous decisions in respect to business policies, procedures, methods for implementation.
  • Created SQL Queries for Portfolio Drill Downs to pull necessary data from data sources.
  • Extracted financial data from Morning Star to a spreadsheet for analytics purpose.

Environment: Scrum Framework, Jira v7.7.0, MS Project, SharePoint, Web Services, XML, SOAP, MS Outlook, MS Project, MS SQL Server v2017, HTML, CSS, JavaScript, Tableau v10.5, Team Foundation Server.


Business Systems Analyst


  • Collaborated with Senior Business Analyst in facilitating and conducting JAD sessions to elicit business requirements by bringing together the stakeholders and IT team, and documented these requirements using BRD and FSD.
  • Used Conceptual and Logical data models and identified all the sources, entities, attributes, relationships, anomalies by referring to the Data Dictionary, Data Glossary and Data Mapping Specification document.
  • Executed Source System Exploration, cleansing procedures to prepare legacy system data for importing into the new system and performed Source Qualifier Transformation, Aggregator Transformation, Router Transformation, Joiner transformation.
  • Performed Data Profiling, checked for discrepancies in records count and created, updated and truncated tables.
  • Performed testing prior to Data Migration, assisted with ETL and identified Facts, Dimensions, Grain for Dimensional Modeling.
  • Normalized data for facts, dimensions tables of Snowflake Schema for less occupancy considering granularity of data in sources.
  • Analyzed and reported data findings after successful executions using Business Intelligence and Visualization tool Power BI.

Environment: Hybrid Scrum-Waterfall Methodology, MySQL 5.7.5, Microsoft Power BI, Informatica 9.6.1, XML, SOAP, .NET

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