SUMMARY:

• Experienced BA with Order/Trade Processing, Risk and Regulatory requirements gathering.
• Extensive work writing BRD’s, FSD’s, gathering requirements, writing test cases/scripts and UAT
• Bank Custody, Wealth Management, Brokerage, Collateral Management, Clearance and Settlement
• Extensive experience assisting the business in identifying and documenting business process improvements
• Years of experience gathering project requirements using methodologies (Agile & Waterfall)
• Experience with Customer Reference Data, COB, Collateral Trading & Trades Processing
• Proven track record of excellence in communication, efficiency, leadership and teamwork
• Excellent relationship builder, great people skills, self - starter

TECHNICAL SKILLS:

System Development Life Cycle (SDLC), PLC Lifecycle Methodology and Agile training, Leading High-Performance Teams Training, Six Sigma Training, Management Productivity Training, Efficiencies in Project Management Training. Expert use of MS Office products. Handy with Access, SQL, XML and some Jira experience using CODE

EXPERIENCE:

Senior BA, Compliance

Confidential, Greenville, SC

Responsibilities:

• Delivered requirements artifacts for TILA-RESPA Integrated Disclosure Rule Final Amendments
• Artifacts included Context diagrams, RACI matrix, Requirements Strategy & Package
• Developed working groups (business, Compliance/Legal and Systems, held regular meetings
• Reviewed final rule amendment requirements, determined applicability, finalized requirements

Senior BA

Confidential, Jersey City, NJ

Responsibilities:

• Responsible for assisting Collateral team to mitigate exposure to counterparty risk on OTC derivative trades
• Responsible for Margin and Exchange Team operational process improvements with collateral trading
• Worked with Compliance to implement data capture and retention for derivative and SWAP transactions
• Liaise with internal and external teams around the world to capture and agree on requirements using AGILE
• Core artifacts for delivery include requirements, BRD, functional specifications, test cases and flows
• Host bi-weekly Grooming calls with business and technology users, Collateral requirements meetings daily
• Monitor daily margin for customers across various products (Rates, Equity, Structured Credit, Equity)

Senior BA

Confidential, Jersey City, NJ

Responsibilities:

• Work with Legal and Compliance departments to translate DOL rules into requirements
• Conduct regular working group meetings: Trade Processing, Actimize, FIS/Global Plus, Bank Custody
• Generate various artifacts based on requirements: BFSD’s, Project Request, Change Request, SWIFT MT54X and MT304 message mappings, wireframes, process flows/diagrams and screen mockups.
• Performed Actimize RCM and Trade Surveillance upgrades to run on Pershing’s NetX360 online application for Bank Custody clients. Consolidated and combined FircoSoft and OFAC scanning rules to capture bank custody transactions
• Held regular meetings with business, development and PMO to report statuses coordinate testing and gather requirements

Assistant Director

Confidential, New York, NY

Responsibilities:

• Ensure quality development of enhancements to Confidential for interface with 3rd party software
• Delivered accurate, well-structured business process requirements and workflow procedures
• Serve as a liaison between profit center management, business users, IT and vendors to support timely and accurate communication on new system implementations

Consultant / Senior Business Analyst

Confidential, New York, NY

Responsibilities:

• Performed detailed data analysis, process flows and current vs. future state analysis to compose BRD’s, FRD’s, Business Process Documents and Procedures for Client Onboarding
• Streamlined workflows by automating new functions by product group, LOB or trading desk.
• Provided new workflow diagrams/documentation to capture process changes due to streamlining
• Provided weekly scorecard indicating progress for management
• Tracked Issues, Actions and Risks using Quality Center (QC). Coordinated and documented testing and sign-off

Consultant / Business Analyst/Project Manager

Confidential, NYC

Responsibilities:

• Advisor Managed Portfolios (AMP), Advisory Services Wealth Management platform
• Wrote BRDs, test scripts, test plans. Developed pass/fail test results with SME’s; coordinated testing validation sessions for sign-off.
• Maintained project plans, set up bi-weekly status meetings with management to discuss project plan updates throughout the duration of the project
• Established requirements for AML and KYC as new clients were on-boarded.
• Wrote data warehousing requirements for 12b-1 credit eligible transactions.
• Provided reports from DW to payables group for payment of quarterly rebates
• Successfully implemented new pricing model with: standardized pricing across all broker-dealers for ticket charges, payouts and program fees for institutional & non-institutional clients including pricing for independent RIAs
• Supervise onshore / offshore staff consisting of BA’s, developers, QA, UAT and data warehouse personnel
• Managed third party vendor development, testing and implementation

Consultant / Business Analyst

Confidential, New York, NY

Responsibilities:

• Contracted to document functional gaps between applications providing streaming data prices
• Enhanced Global Broker Dealer entitlements system to include two new primary keys
• Delivered multiple high quality BRD’s for phased system integration
• Managed all testing, software promotions and status meetings through sign off (BRD)
• Liaised with UX team to design and finalize screens for the web version of the application

Consultant / Project Manager Analyst

Confidential, Santa Fe, NM

Responsibilities:

• Perform project management and analytical duties for client on boarding and maintenance
• Met regularly with SME’s and management to gather automation requirements
• Standardization of chart of accounts, account mapping and G/L analysis
• Composed FSD’s, liaison between business and IT, compiled test cases
• Performed UAT, tracked issues, actions, enhancements and change request. RAG status reporting. 25% travel

Consultant / Business Analyst

Confidential, New York, NY

Responsibilities:

• Performed business analyst duties (three-month implementation and documentation only)
• Delivered use-case and business requirement documents to automate data capture for new issuances of International Fixed Income Securities
• Held regular meetings with Operations and IT to review and understand current process flows, business requirements, update stakeholders then execute test plans and scripts

Consultant / Business Analyst

Confidential, New York, NY

Responsibilities:

• Managed all regulatory reporting and compliance projects under Regulation SHO
• Updated internal procedures for back office operations by line of business, then by functional area
• Implemented regulatory changes for Short Interest Reporting as required by stock exchanges and SEC
• Worked with Compliance, Legal and various SMEs to implement automated solutions for regulatory reporting
• Automated process to report Confidential ’s holdings in US Securities (SHLA).
• Compiled and submitted corrections to Federal Reserve Bank through their web-based portal. Documented step by step procedures for future SHLA Reporting

Project Manager/Business Analyst

Confidential, NY

Responsibilities:

• Responsible for managing the conversion of all US Treasury business transactions from heritage Chase and heritage Confidential systems to ADP/Impact's Fixed Income settlement system
• Liaison/IT Business Partner:
• Met regularly with subject matter experts, middle-office and back-office users to gather system and business requirements.
• Tracked issues, actions, project milestones and processed change request items daily.
• Worked with Operations and Technology groups to obtain sign-offs on project lifecycle documents
• Negotiator: Successfully negotiated with AS400 Operations team for testing time, machines, disk space, separate test regions and support throughout weekend dress rehearsals through implementation to production
• Manager/Leader: Effectively managing multi-department, high-performance work-streams. Coordinated and attended regular conversion team meetings, delegated responsibilities between my team of ten (on-shore and off-shore)
• Coordinated conversion Dress Rehearsals during weekends

Data Team Leader/Senior Business Analyst

Confidential

Responsibilities:

• Created bi-directional messaging via MQ Series to auto populate customer reference data and settlement instructions creating a single point of entry for all customer data
• Supported MBS, Government, Short-term, Corporate, and Municipal’s customer accounts
• Analysis and Coordination: Mapped data between heritage Morgan and ADP/Impact in Excel.
• Compared all customer data and settlement instruction fields documented any issues.
• Set up bi-weekly meetings with ADP and Confidential to review findings and document any differences in use
• Business Liaison: Met individually with users/owners of the heritage data to resolve any field level discrepancies
• Document Delivery: Authored and delivered functional specification with data mapping
• Obtained sign-off from all business users and stakeholders
• Testing and Implementation: Compiled and executed test cases. Project was completed ahead of schedule

Consultant - BA/PM

Confidential, New York

Responsibilities:

• Performed business analyst & project manager duties for current and future systems development
• Used methodology based systems development from project definition through implementation
• Completed conversion of all customer reference data and settlement instructions for Confidential /Chase merger
• Completed mandatory AML and KYC training for COB and New Account implementations
• Delivered the Central Customer Database (CCD) to the heritage Chase suite of systems
• Consolidated multiple system entry into single point of entry system using one customer number across all front-end and settlement systems

Senior Planning Manager

Confidential, New York

Responsibilities:

• Responsible for business analysis, managing projects, coordinating testing and implementations with project teams from definition through implementation. Met regularly with senior management, marketing, operations, audit, compliance and legal to produce requirements, functional documents and testing plans
• Created project plans, assigned roles and responsibilities and managed projects
• Lead analyst on Settlement Netting projects, managed S.W.I.F.T. implementations, performed production support functions, enhancements management, system efficiency and database archiving projects