Fixed income securities, and its derivatives, within operations and alternative asset class accounting was my entrée into the capital markets arena, specifically within MBS and treasuries.Then I moved into technology starting as a QA Tester, then Business Analyst/Technical Writer and concluding with Program/Project Manager positions.Most recently, I have spent some time in Compliance and Regulatory. With 15+ years of experience, I have a full understanding of the trade life cycle from trade capture to settlement, for many financial products.
USER TECHNICAL SKILLS:
Broadridge (Impact, BPS, MBSE)
OTC derivative products
Fixed Income Products
Policies, Procedures, Roles & Responsibilities
PM: Waterfall/SDLC, Six Sigma/Lean, Agile
Atlassian: JIRA, Confluence
Microsoft Office/Visio/PowerPoint/Project/Word/Excel (Pivot Tables, Macros, V - Lookup & Advanced Formulas)
FIS/Sungard (Global Plus, Brass/Brut, Martini, Phase3, UBIX, Fidessa)
Business Analyst/Technical Writer
- Built business requirements and functional specifications for a trust/ custodian/administer, whose client (REIT pension fund) is changing how they charge, calculate, and bill fees.
- New requirements will be tested in FIS/GlobalPlus/Documentum/Horizon/Xamin. Utilized change management protocols and Microsoft Visio.
IT Project Manager /Technical Writer
- In an agile environment, an F/X migration project, from several vendor applications (SunGard/Sierra & Bloomberg/ TOMS) to existing and newly developed internal application.
- Created documentation to reflect: status updates, meeting notes, PowerPoint presentations, process flows, change management protocols, developer toolkits, tutorial guides for JSON API platforms, specialized updates to Wiki (Atlassian-Confluence) and SharePoint.
- Foreign Exchange Spot, forwards, Swaps, Vanilla and first generation exotic options.
- Managed several working groups related to infrastructure development in front office credit department.
Project Manager (PMO)/ Technical Writer (Consultant)
- Project Manager/Technical Writer: Subject to the Project Management Framework (PMF), in Agile; was responsible for writing, reengineering, assembling and managing the collection of PMO related documents, from two work streams (6 projects total), to satisfy an internal audit/compliance/ data governance (processing, user authentication (Single sign-on (SSO)) directive.
- Each package of artifacts contains more than 30 documents related to project plans, expenses, timelines, risks, signoffs, process flows/ improvements, agile documentation (user stories, acceptance criteria, and story points), operating/user manuals and communication directives.
- Managed clients’ expectations, in terms of deliverables, timelines and future goals.
- Applications utilized including: JIRA, SharePoint, RSA Archer, HP Service Manager, HP Quality Center, Microsoft PowerPoint (for senior manager presentations/ steering committees ).
- Also utilized version control and change management principals, to keep the documentation organized. Used Excel macro’s to translate large quantities of data from PDF, to Word to Excel, to create customized reports. Used advanced functionality in excel to preform data cleansing.
- Projects included: Broadridge/Impact, upgrade to 9.4.1; Repo/Securities Lending in Martini & Loanet, My Compliance Office (MCO) and Golden Source for Client Data. Project was completed on time and on budget.
Senior Project Manager/ Technical Writer
- As a result of an OCC mandate (12 CFR Part 30), was responsible for driving seven (7) global/enterprise risk related, work streams to completion; writing/drafting mandatory documentation for completion included: (a) Policies & Procedures (b) Roles & Responsibility (RACI chart) (c) Effectiveness (d) Sustainability and (e) outstanding gaps
- Converted Treasury/OCC directive (12 CFR Parts 30 and 170) into functional/business requirements; also known as “Risk Governance Framework” and “Heightened Standards”
- Reconciled OCC mandate verses (a) Front Line of Defense (Line of Business), (b) Second Line of Defense (independent risk management) and (c) Business Unit Risk & Controls Officer (BURCO), in a matrix form
- Risk streams included: compliance, credit, legal, liquidity, market, operational, regulatory, and reputational.. Utilized Microsoft Powerpoint, Excel and Word, in the preparation and presentation of project documentation, to senior management steering committees.
- Project was completed on time and on budget.
Regulatory Project Manager/Business Analyst
- Created & formalized project documentation including: project charter, project plans, pert and Gantt charts, duration estimates, financial costs, and communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, operational risks, dependencies, constraints, escalation plans, project and release plans.
- Responsible for building requirements (business & functional) for topics related to Intermediate Holding Company (IHC), Basel III, Dodd Frank, Federal Reserve, FASB 133, Comprehensive Capital Analysis and Review (CCAR). Reports completed: FFIEC002, FR Y-9C, Form FR Y-7N and FR Y-14Q, Liquidity Reporting (FR 2052a)
- Built requirements & tested (1) Broadridge/ICI/Impact/BPS (equities) Application (Back-office/ Prime brokerage/ Clearing/ Fixed Income: Treasury, Mortgage/MBS, CMO, CLO &ABS), (2) Calypso (Cash Equities, F/X & OTC Derivatives) and (3) Martini (Front Office Fixed Income Securities, Securities Borrowing/Lending & Repo Trading based on ALD/ ALDOP). Managed the software development life cycle (SDLC/Waterfall), process from inception to delivery, for several projects. And participated in projects related to Data Governance (Developing key controls, user authentication (Single sign-on (SSO)), and Change Management. Used LIBOR to price securities.
- Used (a) Microsoft Excel for data analysis and comparison, (b) Used JIRA and SharePoint for document storage and tracking projects items. (c) Microsoft PowerPoint for presentations to senior management, (d) Microsoft Visio to create process flow/mappings and (e) UBIX for listed derivatives.
Compliance Project Manager
- Created & formalized project documentation including: project charter, project plans, pert and Gantt charts, duration estimates, financial costs, operational risks and communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, risks, develop the escalation plans, dependencies, constraints, roles and responsibilities (RACI chart), project and release plans. Used Enterprise Performance Life Cycle (EPLC) project management discipline.
- Responsible for reporting statues on a number of projects related to the screening of clients, sub accounts/clients, counterparties and securities from the perspective of: Know your customer (KYC), Office of Foreign Assets Control (OFAC), OFAC Reporter (Prime), Anti-Money Laundering (AML), SWIFT messages/ Federal Reserve Wire Instructions (Fed Wire), Suspicious Activity Report (SAR) and FinCEN’s 314(a) PATRIOT Act of 2001.
Compliance Project Manager/ Product Owner
- Within an agile project management methodology, was responsible for building requirements/artifacts from several internal applications to the system, from a domestic tax perspective, which includes Federal & State withholding and reporting for commercial and consumer (retail banking) clients.
- Frequently created and exhibited PowerPoint presentations, to senior management on various topics including: resources, statuses, risks, velocity, dependencies, constraints, release plans, data validation, operational risks and outstanding grooming details.
- As a Project Manager/Product Owner, was responsible for leading a team of business and technology leaders to create user stories, acceptance criteria, business rules, assumptions, process flows and impacted applications pertaining to: Tax Forms Tax Forms: W8, W9, W8Ben, W8BEN-E, 1099-INT, 1099-MISC, 1042-S, 1st B Notice, Tax-2nd B Notice, Tax-C Notice, Tax-C Notice Stop, Cost Basis/Tax Lot Accounting, Chapter 3 (NRA) and Chapter 4 (FATCA), Dodd - Frank Act, Personally Identifiable Information (PII) and Anti-money laundering (AML).
- User Software Applications: Rational Team Concert (RTC), BluePrint, Quality Center (QC)
Senior Business Analyst/ Requirements Engineering/ Technical Writer
- Gathered requirements, formulated solutions as well as prepared documentation (user guides, business & functional specifications, use cases, test cases), from various global users, based on the project needs and international regulations, for a customer relationship management (CRM) application which is the “golden source” repository for electronic documentation, data, currency/foreign exchange (F/X), nostro and depot (depositary) account information. Used JIRA and SharePoint for document storage and tracking projects items.
- By creating a user guide, which explained in detail, the 1500 lines of data to be collected/ validated, was able to complete the project in four month instead of eight and saved the client about $75,000.
- Created presentations, current/future process/work flows, authorization requests and usage hierarchy (IT Governance), to determine access authentication & approvals.
Project Manager/Senior Business Analyst/ Technical Writer
- Responsible for evaluating the client’s organization for: operational risks, process improvements, and cost cutting/revenue producing opportunities.
- Conducted meetings with department heads, to determine current work environment, gaps in current processes and future technology needs.
- Compiled results into a policy & procedural document and was presented to senior management for future strategic implementation. (Non-Profit)
- Responsible for designing test cases / scenarios for exchange traded funds (ETF), listed indexes, cash equities (Fidessa), equity exchange traded futures, options & interest rate derivatives, in the following disciplines: connectivity to exchanges, commissions, fees (SEC, Exchange, OCC, ORF), Compliance/ Regulatory (Short Interest Reporting, Large Option Position Reporting (LOPR), (FIX) protocol and Foreign Account Tax Compliance Act (FATCA)), Trade Surveillance, Data, and Operational Risk for an application called Shadow Financial & GMI futures. Used LIBOR to price securities (French Consortium).
- Used performance calculations to determine if the portfolios were achieving, the desired results
- . Responsible for writing a strategic business plan for a private lender, whose collateral is secured by commercial real estate properties valued at $10 MM and below.