Sr. Business/PM Compliance Data Governance Analyst Resume

SUMMARY

Senior, highly educated, IT and Compliance Business Analyst with over fifteen years experience in brokerage and banking Front Office, Middle Office, Back Office, Collateral Management, Data Modeling, Risk Management, Wealth Management, LIBOR Transition and Operations.
regulations and Regulatory Reporting on Brexit, BSA, USA Patriot Act, Dodd Frank Act, EU Regulations, Audit Trail, Sanctions, Prime Services, Settlements, Treasury, Volker Rule, AML, KYC, Asset Management, Operations, Basel II/III, CCAR, MiFID, Operations, Market & Credit Risk. He has worked with PMO on end to end project execution.

PROFESSIONAL EXPERIENCE

Confidential

Sr. Business/PM Compliance Data Governance Analyst

Responsibilities:

Established proper First Line of Defense controls, ensured match between the Traders’ Trade & Sales Person’s Trade, prior to sending the details downstream
Enhanced efficiency by process improvements of day to day operations, reconciliations and procedures.
Corresponded with Clients, Custodian Banks to resolve failing trades through DTCC & International Markets
Reduced the risk of incorrectly entered trade details and miscommunication by ensuring accuracy in Calypso Trade Blotter.
Resolved matching issues, by dealing with the Front Office IT teams
Resolved position discrepancy between the custodian bank & the client, escalated discrepancy to appropriate area for correction.
Reviewed Master Agreements, Margin Call Agreements in Calypso to resolve discrepancies & disputes, failed collateral and margin calls.
Reviewed, corrected & enriched counterparty details in Calypso Collateral Manager.
Provided oversight to trading desk activities, including Equity & Fixed Income Trades Back Office Settlements
Resolved position breaks, determined whether the bank or accounting is holding the correct position
Executed Compliance Governance, Frameworks and Models
Implemented Identification, Monitoring, Testing, and Reporting & Partnered with Business and Operational Risk to identify and mitigate financial compliance risks
Resolved escalation of potential suspicious activities
Surveillance - Detected and confirmed patterns of behavior by analyzing structured and unstructured data including large data volumes.
Developed policies & procedures for Operational Risks and Controls
Leadership-Facilitated collaboration, networking and alignment within and across teams

Confidential

Sr. BA/PM Prime Brokerage

Responsibilities:

Performed gap analysis to ensure completeness of critical data elements (principal amount, interest rate, collateral type, haircut, tenor, and counterparty) on Repos & Security Lending.
Devised target state architecture for LIBOR TO SOFR Transition.
IBOR: Supported The Centralized Investment Data Book Of Records for Investment Management, Treasury, Risk & Compliance Controls with real or near real-time data, incorporating key ‘events’ impacting these values.
Analyzed & validated requirements for FATCA, MiFID II, taking into account Pre Trade, Post Trade Transparency, analyzed impact on transaction reporting on Stocks, Bonds & OTC, Equity& Interest Rate Derivatives, etc.
Addressed data lineage issues in meeting regulators/auditors requests seeking deeper transparency in MiFID II.
To reduce chances of errors, defined Meta Data & Critical Data Elements to address the gaps, arising from the tripling in the number of data fields required for reporting under MiFID II
Performed Client Onboarding & Gap Analysis of data for Wealth Management
Coordinated with global Onshore Offshore team to resolve issues - provided status, communicated issues, shared ideas, and followed process for analysis, development and support protocols.

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