SUMMARY:

• Financial Services, Management Consultant, Vendor Implementations and Software Development
• Accomplished, hands - on and innovative leader in operations, consulting, client service, project management and business analysis. Strategic and results focused, with exceptional communications and project planning skills in both Waterfall and Agile methodologies.
• A process expert, who thrives on building loyalty; develops achievable plans and delivers solutions that improve profitability, make processes more efficient and initiate growth in dynamic economic conditions to capitalize on market opportunities. Outstanding manager excels in mentoring and coaching teams.
• Project Manager/Scrum Master/
• SDLC / Sprint
• Market Data Process Improvement and Workflow Optimization
• Enterprise Data Management
• Data Management
• Quality Assurance / Defect Reports, Metrics and KPIs
• Business Continuity / DR
• Compliance Risk Management and Regulatory Testing and Reporting
• Compliance Control Room and Information Barriers
• Sampling Methodologies
• Waterfall / Agile / CMM
• CHIPS /Fedwire /SWIFT /STP
• Pre-Sales Support/RFI/RFP
• Offshore Dev/QA Model
• Project / Portfolio Reporting
• Team Building / Mentoring
• Business Proc Analys./ Procedure Redesign/ Best Practices
• Market Data Governance
• Risk and Issues Management
• Client/Account Masters
• Info Security Risk Mgmt.
• Change / Release Management
• Asset Classes: Equities, Fixed Income, Derivatives, Cash
• Capital Markets / Mutual Funds / Wealth Management / Investment Banking
• Front/Middle/Back Office Interfacing
• Data Modeling, Marts and Warehousing
• RTB/CTB
• QA Test Script Development, Execution and Reporting
• Business Analysis and Requirements / Specification Writer
• Equity and Fixed Income Trade and Settlement Processes
• Responsible and accountable at Bank of America / Merrill Lynch Wealth Management for the coordinated management of a $10,000,000 Product Management project portfolio directed toward strategic business and other organizational objectives covering all asset classes. Established Project Management Office for the Product Master Environment (PME). Worked closely with Production Support Team to deploy three major initiative releases into Fusion, ML’s product master implementing new vendor feeds, revamped UI features and functions, industry mandated OSI changes, create securities of interests (SOI) lists for Capital Markets Trading Desks and several compliance related changes.
• Implemented at Bank of America Restricted List Processing on behalf of Surveillance Control Room (SCR); Current list of securities were processed (added and deleted) every 15 minutes to adhere to the very stringent SLA and accessible via User Interface Search Facility and Web Services Requests to support Investment Banking activities; Worked closely with SCR to record requirements and obtained signoff throughout the SDLC on functional requirements, UAT and production deployment cycles.
• Led Franklin Templeton Audit Review which resulted in new GoldenSource product licensing revenue of $1.75 M and the consent of client management to move forward with the Project Foundation upgrade program realizing $300K in consulting services revenue.
• Realized Professional Services revenues repeatedly in 2004 through 2008 of $750 K, $1.25 M, $1.5 M, $800 K and $500 K respectively for engagements with Confidential a Financial Software Developer.
• Led a Security Master Proof of Concept (POC) project for Credit Suisse First Boston (CSFB) Capital Markets. Designed and built IDC vendor process to handle American Depository Receipts. Designed and created an internal factor feed procedure that loaded 450 K records. Worked with Business User to create an equity and options models suitable for maintaining both foreign and U.S. domiciled securities that were used by Equity Trading Desks. Successful POC resulted in winning a $2.5M sale of Security Master Product for FTI.
• At Confidential . a Management Consulting firm in New Jersey specializing in productivity and improvement programs at a fixed cost, restructured Chase Manhattan Bank NA's U.S. Private Banking Division from a product based organization to a client market segmentation focus. Created procedures from process flows conscripted for Private Bank’s Fixed Income and Equities Trading Desks using in-house order management system (OMS) starting with portfolio manager orders, recording order details on pre-trade blotter, execute orders individually or through competitive quotes, aggregate or split orders and carry forward through post-trade activities. Implemented service delivery team providing domestic and global custody, foreign exchange currency purchases and sales, investment management, banking, lending and trust and estate servicing. Organization redesign resulted in a $3M annual savings.

TECHNICAL SKILLS:

PC Software: MS Project; MS Access (Desktop Database); MS Excel; MS PowerPoint MS Word MS Exchange and Outlook; MS SharePoint; Lotus Notes; Visio; Adobe Pro; MS OneNote; SnagIt; Skype

OS: Windows XP/2000/98/95; NT 4.0; MVS; UNIX; AIX; Solaris, Red Hat Linux

Programming Language and Enterprise Packages: COBOL; Assembler; SQL; PL/SQL; XML; Stored Procedures; UIX; MS SharePoint; Stylus Studio; XML Spy; Oxygen; Sunopsis, Altio, Java, Informatica ETL, Jira; IBM BPM and ODM, ClearQuest, Clarity, HP’s Quality Center, Cognos, Maximo, Confluence, Axiom, Solidatus, Others

RDBMS: DB2; Oracle; Sybase; SQL Server

RDBMS Tools: Quest TOAD; Embarcadero DBArtisan; Oracle SQL*Plus; Squirrel

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Project/Business Manager / Business Analyst

Responsibilities:

• Working for CGI a Canadian Global Information Technology Consulting Company and as a member of Confidential ’s Finance Change Project/Business Management Office (PMO/BMO) supporting CCAR and DFAST initiatives.
• Integrating Risk Identification into the Capital Planning Process. Working with the Treasury, Credit, Finance, Wealth Management, Asset Management Lines of Business (LoB) in an Agile setting to update the model environment platform and documentation to include Risk Identification based upon Q3 2017 Risk Scorecard compiled by Enterprise Risk Management. Testing the Risk Identification changes in the Model Environment through new Risk Identification Integration Report Views.
• the respective LoBs in taking their revised model documentation inclusive of the risk identification information and updating the Production system to reflect the changes for the forthcoming Reporting Form FR Y-14A.
• Managing Data Lineage initiative of acquiring data source files for Models and mapping file data attributes form source systems to models and through to output reports FR Y-14A/Q using the Agile methodology and MS Access for capturing files and building attribute data dictionary. Daily stand-up provided Scrum Team with updates on critical data elements that were integral as the sprint backlog items.

Confidential, New York City, NY

Senior Business Analyst

Responsibilities:

• Business Analyst working with the Global Bank and Markets (GBAM) and Global Corporate Bank (GCB) partners to determine the business needs and requirements of the Deal Management Systems and who details those needs as technical requirements in a Business Requirements Document (BRD) or a High Level Design (HLD) artifact for analysis by the software engineering team. Pulled via SQL statements various sets of deal information pertaining to companies, deal team members, wall crossings, currency details and types of deals. Conducted peer review of other colleagues BRDs, HLDs and other project artifacts identifying points needing clarification and recommending ways to improve the approach.
• Implement within GBAM/GCB the Enterprise Information Wall controls and procedures established by the Global Enterprise Information Wall Policy.
• Establish additional information walls, which may be “permanent”, or “temporary” and/or related policies based on the nature and scope of GBAM/GCB activities to manage potential conflicts of interest by restricting the flow of certain information, such as Material Non-Public Information (MNPI) or other Corporate Confidential Information.
• Working with the Global Control Room (GCR) on Private Side, Public Side and Above the Wall Employees and the Data Restricted List and Watch List of Securities in addressing business, regulator and compliance changes to the various systems regarding the aforementioned sensitive aspects.
• Developed Quality Assurance test scripts for each requirement, which required SQL to stage data and information for test case and then used SQL to extract and review results; participated and conducted peer review of each test script; executed test script, documented results and record QA outcome in HP’s Quality Center; Shared and walked-through the QA test scripts with Global Control Room Users for them to execute in the UAT environment and provide approval and signoff for deploying change and requirement in a Production Release.

Confidential, Jersey City, NJ

Business Analyst

Responsibilities:

• Business Analyst within new global testing organization and program (Enterprise Independent Testing) - assessing over 4,400 compliance tests currently in the bank's inventory in accordance withnew regulatory EIT Policy and Standards.
• Execution of a thorough evaluation process towards Regulatory, Compliance, Risk, Surveillance,and Controls testing remediation, to ensure the data populations and samples are independently obtained and to certify that the proper sampling techniques are used and that sampling methodology and rationale are clearly documented.Wrote SQL to interrogate users’ databases to review transaction and information records and report findings.
• Advisory consultant to test designers and executorsto ensureappropriate data filtersare applied for specific business/product needs. Assisted test designers in creating the appropriate SQL statements for them to validate their test objectives.
• Track, report, and monitor effectiveness of key controls and escalate risk related issues to Senior Management.
• Develop and apply data access routines using SQL to extract data from source systems and resolve issues associated withsourcing accurate data.

Confidential, New York, NY

Project Manager / Business Analyst

Responsibilities:

• Working in dual capacity of Project Manager / Business Analyst in the Project Management Office (PMO) of the Chief Information Security Office (CISO) within the Enterprises’ Global Technology and Operations Division. Program entails addressing current information security risks, regulations and policies and recommending future target operating model, which includes redefining the roles and responsibilities of the Technical Information Security Officer (TISO), Information Technology Asset Owner (ITAO) and Business Information Security Officer (BISO) via the creation of process schematics capturing current state process activities and then revising the process flows to provide the future approach of the activity to gain buy-in for implementation phase.
• Created milestone plan and schedule; executed internal survey; compiled and analyzed survey results; created survey presentation and published results via internal website with continual updates; conducted focus group sessions interviewing TISOs, ITAOs and BISO; held workshops with key stakeholders to review and define current state and with emphasis on optimizing process and workflow for the target operating model (TOM).
• Prepared TOM conceptual proposal and business case for Senior Management inclusive of financials to implement proposed organizational changes and modifications to mitigate information security risks and to revamp key operating policies and regulatory practices. Structured and maintained SharePoint site repository for the various project artifacts.

Confidential, Jersey City. NJ

Project Manager

Responsibilities:

• Leading the Technology Team in revamping the mainframe legacy Corporate Actions infrastructure that will better position the Business with a state-of-the-art platform providing for future growth and process complexity. Program will encompass a three-year implementation schedule and a $21M budget through the year 2017 predicated on the Corporate Action Event Lifecycle of Announcements, Instructions, Entitlements, Distributions, Reconciliation and Market Data. Core Team is established with a complement of 12 and is envisioned to expand to 30 Technical Resources.
• Created workstream breakdown based upon DTCC’s Corporate Action Event Lifecycle and produced infrastructure plan to address some of the key deliverables and project goals:
• Adopt ISO 20022 for S.W.I.F.T.’s inbound and outbound message definitions
• Introduce systematic approach to Corporate Actions’ workflow via Business Process Management (IBM’s BPM) software
• Executed proof of concept illustrating manager and associate process interaction and resolution
• Mocked-up Equities Dividend Announcement Application Screen
• Enhance End-User experience by improving the usability, ease of use and providing dashboard features and functionality to day-to-day operational activities from both manager and associate perspectives via the process of User Experience Design (UXD)
• Created SharePoint with directory hierarchy, calendar event updates and action item monitoring and tracking.

Confidential, Jersey City. NJ

Vice President - Technical Project Manager/Scrum Master

Responsibilities:

• As Scrum Master I participated, ran and time boxed the following Scrum Ceremonies with the Feature Team and Product Owner: Daily Stand-ups, Product Backlog Review, Sprint Planning Meetings, Sprint Reviews with Stakeholders, Retrospectives, User Story Writing and Information Radiator; Sprint cycles were 10 business days; Capacitized team at Sprint Planning session and Held Planning Poker sessions during Product Backlog Review; Team tracked progress against a release plan on a burndown chart daily; Managed and resolved roadblocks and impediments to allow team progress. On occasion wore Product Owner hat; prioritized Product Backlog Items; created User Stories with Acceptance Criteria and Demonstrated to the Product Community a Shippable Product Increment (PSPI).
• Forward planned the release deployment windows and cycles across PME’s data portfolio applications in a J2ee environment; Managed risks and resolved issues that affected the release scope and schedule and quality; Coordinated release work between several teams at different locations (India, Singapore, Canada, United Kingdom); Conducted release readiness reviews, milestone review and Business Go/No-Go reviews; Participated in CAB meetings to discuss release scope and/or roadblocks; Produced deployment plans for implementation of release to UAT and Production environments; Lead and coordinated the Go-Live activities including the execution of the deployment plans and checklists and turnover plans and run books for the Production Support Team.
• Managed all aspects of the implementation and delivery of software initiative and maintenance data projects to Enterprise Units; Ensured the timely, high-quality and cost-effective delivery of the software projects from the inception of the business requirements gathering cycle through to the production ‘Go/Live’ cycles; Owned the overall accountability for the end-to-end delivery of these projects; Performed project review on a consistent basis to ensure project delivery is on time and on budget; Represent to the Enterprise Customers at business requirements reviews, quality assurance status sessions and other critical meetings, for the overall delivery aspects and quality of delivery using offshore resourcing model working closely with offshore firm TCS.
• Managed Fixed Income Migration major initiative for Capital Markets Division sun setting legacy fixed income platform Strategic Trading System (STS) migrating Market Data from Bloomberg ABS/CMOs/Corporates/Governments/Agencies/FRNs/ Money Markets/CDs/Private Placements/Preferreds instruments. Generated seeding file of gap securities from STS legacy application. Ran all vendor master files from Bloomberg, Reuters and VDF. Developed arbitration, conversion and business rules for all fixed income asset types. Developed loop back file to continually update legacy application STS before decommissioning it once fixed income instruments were in the new Fusion platform. Created SQL statements to continually monitor progress of migration scripts results ensuring quality and accurate instrument data and information were posted in the target system’s database. Cost saving realized $5M.
• Managed numerous equities and fixed income Market Data vendor releases related to Bloomberg, Reuters, IDC and VDF where new file layouts changed and data attributes were added. Also, managed Market Data for fixed income principal and interest corporate action announcements project for Capital Markets Fixed Income Trading Desk. Implemented regulatory changes Caveat Emptor on the PINK Sheets and European Union’s Financial Transaction Tax (FTT).
• Built credibility, established rapport, and maintained communication via weekly meetings and project status reports and risk reviews with stakeholders at multiple levels in a highly matrix environment, including those external to the organization. Collaborated with Watch-list Surveillance, Internal Audit, Compliance and Risk Management Areas throughout our project and system development life cycle to ensure we were operating in a controlled mode and proactive approach to delivering the project in a quality and timely manner minimizing risk at every juncture.
• Managed initiative data project budgets: Fixed Income Migration $3M; U.S. Listed Options Migration $2.5M; Migration of Mutual Funds $2M and numerous smaller initiative and maintenance programs ranging from $1.5M to $500K
• Presented periodic Dashboard reports on the current project portfolio, future deliverables, activities and project risks and issues and oversaw project financials tracking and reporting. All reporting and project related artifacts and materials were maintained on PMO’s SharePoint site.

Confidential, New York. NY

Senior Management Consultant

Responsibilities:

• Re-organized The Clearing House business units and re-engineered its operational activities from capture of current process flows and practices resulting in an annual cost savings of $6,000,000. Conducted CRM vendor analysis and selection benefitting the organization with a central customer master repository storing all related client relationship information and critical metrics for the organization to better manage the overall relationship and capitalize on cross marketing and selling opportunities to their member banks to maximize revenue potential.

Confidential, New York, NY

Director / Engagement Manager / Senior Project Manager / Pre-Sales Engineer / Business Analyst

Responsibilities:

• Supported sales productivity and deal flow by responding to RFIs and RFPs from prospective customers, executing Proof of Concepts based upon clients’ use cases and securing the ‘technical close’ in complex business and operating solutions. Worked closely with GoldenSource Sales Team to align solution design with customers’ business requirements, which included Sell Side Broker Dealers, Buy Side Asset Managers / Mutual Fund Companies and Securities Processing Operations, such as Custodians and Depositories. Presented to senior management of varied financial services organizations to ensure a successful product launch and customer satisfaction. Provided coaching and to team members and sales associates in order to enhance their product knowledge and technical sales skills.
• Provided leadership for a team of 3, achieved objectives in a 6-month time frame and realized revenues totaling $500,000 under a fixed cost project for an enhanced SLA offering to Confidential ’s internal users, superior data quality, expanded product functionality and improved operational support handling.
• Led multi-phase accounting implementation of GoldenSource’s Position Product for IBM Securities Industry Services (SIS) Canada’s Revitalization Program. Designed accounting treatments for full trade (P&S) and transaction (Cash & Foreign Exchange) lifecycles which would include data seeding, cost basis reporting and depending on type of account (managed, advisory, self-directed,etc) for their outsourcing brokerage line of business. Program’s revenues totaled $800 K.
• GoldenSource’s lead on IBM-SIS’s Business Process Analysis (BPA) initiative for Security Master. Provided insight and recommendations based on their current data process flow capture as to how to best leverage and take advantage of GoldenSource product features, functions and process improvements in launching SIS’s new Security Master. Identified existing gaps in the future revitalized Security Master Processes and made additional enhancement proposals that would be implemented in later program phases. Created SQL statements for the instrument, client and account data necessary to close the gaps identified and to generate the results expected in the interim.
• Directed migration of Ameriprise Financial, Inc (formerly American Express Company) v 4.08 GS Security Master to v 8.3 under a fixed cost statement of work. Program focused on using GoldenSource’s on-shore and off-shore (Mumbai) Professional Services methodology and worked closely with PwC advisory consultants when onsite in Minneapolis. Successfully completed analysis, design, build and unit testing phases. Worked with client team onshore and offshore (Infosys) during their system data testing efforts.
• Spearheaded the Investors Bank & Trust Company (IBT) Project Team in implementing the Mutual Fund Administration’s (MFA) new security master data running under a Sun Solaris, Oracle 8.17 and NT workstation platform. Project scope entailed:
• Creation of IBT’s starter set data encompassing security types, industry class sets, currency and country codes, exchange records, audit tables capture, domain values, and statistic definition values.
• Design and automation of 7 market data vendor feeds for processing equity, fixed income and derivative instrument market data from vendors Bloomberg, International Data Corporation and JJ Kenny.
• Testing all facets of the data flow from the initial loading of starter set records written with SQL statements and a shell script, vendor file imports, manual set-up and maintenance using the front-end applications, running the audit process and verifying results and generating user output reports using SQL statements and benchmarking performance.
• Developed POC project plan for American Express Financial Advisors (AFA) consideration in purchasing FTI’s Security Master Product. Implemented successfully 28 project activities during the 30 day POC timeline resulting in a $1MM sale for FTI.
• Conducted presentation and boot camp session for 30 Deloitte Touché and KPMG advisory consultants and analysts. Installed the Security Master front end and led business analyst team in understanding and designing market data issue type models based on FTI’s software enterprise platform.