EXECUTIVE SUMMARY:

• Automate the production of regulatory reporting and mandates for the global asset management business.
• Implement new technology solutions that automate corporate workflow and improve operational efficiency.
• Serve as primary IT communication hub between executive, business operations and technology teams.
• Manage Projects using Agile / DevOps and Waterfall software development principles.
• Prior Controllership posts held in Financial and Operational Accounting.

TECHNOLOGY PORTFOLIO:

Eagle Star / PACE, ePAM, Bloomberg AIM, Confluence Unity, Business Objects XI, Crystal Reports, Cognos Impromptu, Excel, Oracle, Sybase, Visio, TOAD, Jira, Agile, DevOps Waterfall, SDLC

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Senior Business Analyst / Project Manager

Responsibilities:

• Evaluated cloud - based regulatory reporting automation platforms to increase operational efficiency and minimize regulatory risk.
• Prepared RFP, TCO and presented Business Case for the automation of regulatory reporting to improve reporting accuracy, consistency and management oversight while reducing preparation time and cross-filing reconciliation.
• Created platform evaluation scorecards, managed stakeholder and vendor relationships and coordinated product demos.
• Analysed current manual filing preparation and validation workflows and data sources and identified future golden data sources for use on the new platform.
• The regulatory reporting automation project received widespread approval from the Executive Steering Committee in London, Compliance, Legal and Regulatory Reporting Operations groups.

Confidential, Islen, NJ

Senior Business Analyst / Project Manager.

Responsibilities:

• Reengaged for a third contract term and completed over eighty data automation stories on behalf of the Financial and Regulatory Reporting Group within the Fund Administration area to improve operational efficiency and reduce time to close.
• Automated the production and transmission of SEC Form N-MFP (MM funds) and MSRB Form G-45 (529 plan) regulatory filings to eliminate manual preparation workflow and risk.
• Automated sFTP data transmissions between the Confluence Unity platform, internal teams and external business partners.
• Completed UCITs and Nuveen integration-related data automation projects and served as Lead BA for the conversion of the firm’s General Account accounting and reporting workflow onto the cloud-based ePAM investment accounting platform.
• Also prepared vendor platform evaluations, RFP and TCO analysis for a centralized strategic Reconciliation Center of Excellence platform to enhance reconciliation capabilities and reduce operational support and software licensing costs.

Confidential, New York, NY

Senior Business Analyst / Project Manager

Responsibilities:

• Prepared feasibility study and documented business and functional requirements for the automation of US regulatory reporting to reduce preparation time and risk of error.
• Regulatory filing automation definitions included the Daily Reserve Formula, Net Capital, Leverage Ratio and Overnight Funding calculations, Stock Record, Liquidity Risk and monthly FOCUS reporting.
• Also prepared two dozen product-based Front to Finance process flow diagrams detailing the end-to-end processing of equity, fixed income and derivative security types in support of the firm’s strategic Rebanking initiative.

Confidential, Stamford, CT

Senior Business Analyst

Responsibilities:

• Analyzed treasury and investment operations and reporting, and prepared business and functional requirements ahead of the firm’s migration onto the Confidential Summit and Confidential Suite IMS platforms.
• Wrote functional requirements and prototyped new reporting formats for the Accounting Department to promote increased reporting transparency and improve management oversight.

Business Analyst / Consultant

Confidential

Responsibilities:

• Assisted two (2) hedge funds with testing ahead of their software upgrades onto the Confidential Development version 9.1.4.4 OMS and pre-trade compliance platforms to enhance processing and reporting.

Confidential, Islen, NJ

Senior Business Analyst / Project Manager

Responsibilities:

• Implemented bilateral and tri-party repo transaction-processing capabilities on the CRD OMS and Eagle Star/PACE accounting platforms to enhance short-term operational funding capabilities.
• Enhanced Assets Under Management (AUM) query and reporting platform capabilities which improved internal investment research flexibility and management reporting.
• Implemented GAAP reporting hierarchy and automated the production of sixty 10Q/10K regulatory, internal management and data integrity forms of reporting using Business Object XI report-writing software from a PAM-sourced investment data warehouse for the Confidential in Stamford, CT. The automation of regulatory, investment management and other reporting reduced filing preparation time and time to close and improved reporting accuracy, consistency and preparation workflow.

Confidential, Islen, NJ

Business Analyst / Lead QA Manager.

Responsibilities:

• Led the QA testing team and business units with UAT testing ahead of the conversion of fixed income portfolios onto the Confidential Development OMS and Eagle Star/PACE back-office accounting platforms to enhance trade order management, pre-trade compliance and front to back-office workflow and reporting capabilities.
• Prepared firm-wide catalog of test cases by business and IT areas, established WinRunner-based automation testing routines and provided SDLC and SOX artifacts.
• Tested internal and external MQ and SWIFT messaging, corporate action processing and portfolio investment reporting.