SUMMARY

• Strong Fixed Income and Financial Derivatives exposure while working in top bulge bracket banks and financial firms.
• Highly experienced in financial instruments within investment banking and brokerage (Derivatives, Fixed Income, Hedge Funds, Capital Markets, Energy trading, FX, Futures, Options, Commodities, Debt, Equity and Structured Products, Mutual Funds, Swaps, Asset Backed Securities) and wealth management environments.
• Well versed with Risk Management (BASEL - Credit, Market, Operational), Sarbanes Oxley (SOX); Portfolio Risk (Credit Risk; Market risk across all assets, Obligor Risk Rating, Facility Risk Rating, Statement Forecasting, Stress Testing, PD); Trading (Trade lifecycle, Straight through Processing and SWIFT) concepts.
• Multi-discipline experience spanning Project/Program Management, multiple areas in Compliance and Risk domain, strong database and application development skills.
• Strong Business and implementation skills in building compliance models spanning Trade Surveillance, Fraud (Payments) and Client On-Boarding compliance platforms.
• Assisted in identifying BSA/AML/OFAC compliance risk and ensures that proper controls, procedures, processes and training are in place to mitigate these risks.
• Worked closely with project stakeholders, SME & staff to understand requirements and specifications for new applications along with re-engineering the existing application.
• Strong writing skills in preparing Business Requirement Documents (BRD), System Requirement Specifications (SRS), Software Requirement Specifications (SRS),Use Case Specifications, Functional Specifications (FSD),Requirement Traceability Matrix (RTM) and Technical Design Document (TDD).
• Defined project plans then translated business requirements/user expectations into detailed specifications like Use case diagrams, flow charts, activity diagrams, sequence diagrams, use case document, test plans, and test case documents employing UML.
• Adept in data modeling, creating star/snowflake schemas and fact/dimension tables in addition to designing E-R models, both logical and physical, using Erwin Data Modeler.
• Proficient in conducting User Acceptance Testing (UAT), verifying performance, reliability, and fault tolerance issues.
• Familiar with testing tools (QC) to design as well as generate test plans and test scripts and their execution.
• Moderate to high proficiency in SQL Queries and MS Excel.
• A highly motivated, detail oriented and aggressive self-starter with integrative thinking & problem solving skills, capable of forming and maintaining positive and productive working relationships in an internal, external, independent, and team environment.

TECHNICAL SKILLS

• MS Office Excel
• Word
• PowerPoint
• Project
• Visio
• Access
• Publisher
• FrontPage
• Outlook
• Communicator/Lync
• MS SharePoint
• Lotus Notes
• VB 6.0
• Mainframes
• SWIFT
• Rational Suite Rose
• RequisitePro
• ClearQuest
• Rally
• SSIS
• SQL Server
• Toad
• Oracle 9i/10g
• Adobe CS3/CS2 Photoshop
• Illustrator
• Acrobat
• Dreamweaver
• HP Quality Center 9.2
• Atlassian JIRA v3.12
• Serena
• IRise
• Mobius.

PROFESSIONAL EXPERIENCE

Confidential, New Orleans LA

Business Analyst

Responsibilities:

• Extensively worked on various trading applications, credit risk management systems, market risk and Asset management systems.
• Lead the functional requirements gathering team in eliciting, verifying, organizing and documenting business, functional and non-functional requirements.
• Worked directly with internal customers to understand the business environment and needs.
• Extensively worked on version control and change control management.
• Generated Traceability matrix for high-level requirements through detail-level requirements.
• Provided user requirements analysis. Documented requirements using various tools, including Requisite Pro as directed.
• Generated various business process workflows using Visio.
• Run ad-hoc queries to provide data to users.
• Generated various documents for project maintenance and documentation.
• Generated clear business, technical, operational and user requirements using Rational Requisite Pro and System Design Specifications.
• Design strategies for capacity monitoring, short term and long term capacity planning.
• Worked with the DBA’s to tune SQL Queries to improve the overall performance of the database.
• Implement required security controls to meet audit requirements.
• Provide data from production databases to stage/dev environments for various testing purposes.
• Worked with the DBA’s to develop database monitoring strategies.
• Worked with the DBA’s to resolve day to day database related issues.
• Design backup and disaster recovery strategies.
• Worked with the DBA’s for failover test and disaster recovery.
• Standardize and document the naming conventions for file systems, instances for any new UDB applications.
• Mentored new comers with the current internal architecture.
• Provided 24/7 on-call support for various production databases.

Environment: UML, RUP, Windows 2000, Oracle 9i, Rational Rose, Requisite Pro, Clear Case, Clear Quest, MS Project, MS Word, MS Excel, Java, Web Logic, DB2.

Confidential, Chicago, IL

Business Analyst

Responsibilities:

• Involved in monitoring, investigating and reviewing Personal Employee Trading Accounts and Trade Requests. Perform Surveillance of Employees accounts to detect potential insider trading, market abuse, and/or violations of the Trading Policies forTrade Surveillance/Compliance.
• Involved in conducting JAD sessions to identify the source systems anddata needed by Actimize-SAM (KYC/CIP).
• Identified and documented Functional/Non-Functional and other related business decisions for implementing Actimize-SAM to comply with AML Regulations.
• Documented functional specifications for Enterprise level scale products for risk analytics, pricing models for strategic regulatory surveillancesuch as Markup, Front running, Off market, High delta, Insidertrading,market open/close, position limits, client due diligence, acrossfixed income, FX and commodityandequity asset classes.
• Generating reports and performed data analysis using Business Objects.
• Involved in UI requirements and creating Wireframes to help developers build the application in Visual Basic and data modeling sessions by developing DFD
• Performed Data Mapping and data migration from old system to the new one.
• Developed report layouts for Suspicious Activity and Pattern analysis under AML regulations
• Strongly influenced team to deliver the projects within aggressive timeline and enforce proven methodology to adapt to efficient quality control across systems and act strong motivator to reduce voluntary attrition in the team.
• Worked withFinancial Intelligence Unitin pinpointing appropriate test cases to addressbusinessconcerns and ensure coverage of required functionality.
• Coordinate efforts with UAT teams to ensureend-to-end system testing coverage.

Environment: MS Office Suite (Word Excel, Access, PowerPoint, Project, Visio), Oracle SQL Developer, CRM Sales Force, SOA, UML, Visual Basic, Erwin 7.1, MS SharePoint, IBM Business Objects, Quality center

Confidential - Somerset, New Jersey

Business Analyst

Responsibilities:

• Understood the Bank Secrecy Act, US Patriot Act, Basel II agreement with help of SMEs
• Analyzed existing customer data and understood the necessary information that needs to be captured for each existing customer and prepared missing values, anomalies for the completion of the CDD
• Conducted JAD (Joint Application Development) sessions, gathered business requirements, analyzed and prioritized requirements using Rational Requisite Pro
• Developed scope documents, financial projections, budgeting and analysis for the project using IBM Cognos10
• Identified and validated high potential business opportunities for stakeholders and developed customized business strategies that are aligned with corporate strategic objectives
• Developed UML diagrams like Use Case Diagram, Activity Diagram, Sequence Diagram, and Class Diagram using MS VISIO
• Created Business Process Models which included the modeling of all activities of a business from the conceptual to procedural level
• Utilized SQL queries in Oracle SQL Developer in managing the database and assisted in making Data warehouse and doing Data profiling
• Prepared a Gap analysis of the existing data to fully comply with CIP with regards to AML regulations using Actimize
• Prepared interfaces to global databases such as Bankers Accuity’s, Global WatchList and Israel Money Laundering Prohibition Authority (IMPA) to link with Actimize to complete the EDD of the KYC/CIP
• Utilized several data mapping tools such as Actimize data mapper, for loading data
• Determined threshold parameters such as geography, customer source of income into Actimize along with the historical transactional data to categorize the customers with regards to AML standards of suspicion for monitoring purposes
• Assisted in translating the Dodd-Frank Title VI act requirements into executable tasks and developing defensible approaches to compliance against complex rules
• Defined and performed Test strategies and associated scripts for the verification and validation of all defined business requirements and associated functionality
• Reviewed and analyzed Use cases and created System design and Test plan Templates as well as developed test plans, test cases and test strategy
• Designed test plans and test scripts based on the user requirement specification and conducted UAT
• Provided training and assistance to business user

Environment: Rational Rose, Rational Requisite Pro, Clear Quest, Clear Case, Oracle SQL Developer, Nice Actimize AM suite, Software Development Life Cycle (RUP), SOA, UML, MS Project, MS-Visio (UI Mockups), MS-Office, Excel Macros, Erwin 7.1, MS SharePoint, IBM Cognos1

Confidential, Cranston, RI

Business Analyst

Responsibilities:

• Gathered business requirements pertinent to the pool of mortgages and their risk assessment criterion that are used to issue Fixed Incomes like bonds & Treasury bills and converted the same into functional requirements by implementing the agile scrum methodology and authored the same in Business Requirement Document (BRD)
• Maintained advanced knowledge of fixed income markets
• Involved in the process of understanding and creating business rules for analyzing the pricing mechanism of fixed income products (treasury bills/notes/bonds) to understand the credit rating criterion used by the credit rating agencies
• Designed dashboards using wireframes & mockups to generate results in form of graphs, which in turn helped the fixed income portfolio team to create credit enhancement strategies
• Created requirements document and user stories for the development and test teams using the Rational Jazz Suite - RTC and RRC tools
• Identified and removed blockers, facilitated frequent retrospectives and shared metrics to identify and implement improvements
• Involved in Scrum Sprint Planning Sessions, Backlog Grooming, Sizing, Sprint Retrospectives & Reviews, and Daily Stand-ups
• As Scrum Master, created and prioritized the Back Log in Rally, coordinated Planning Sessions
• Elicited business requirements and business needs as part of an Agile Scrum team
• Created functional requirement documents, system requirement document and business process flow
• Structured flexible test plans, test cases and test scripts to test entire application based on business requirements, technical specifications, product knowledge and use case scenarios
• Addressed all aspects of the loan life cycle, starting from identifying a prospective client to the loan closure
• Worked closely with loan orientation team (LOS)
• Participated in project review meetings to resolve defect related issues
• Revised existing documentation comprehensively to enhance the ability of the stakeholders to proceed with the next major phase of developing the application
• Performed User Acceptance Testing on behalf of end-user to ensure that the user requirements are satisfied and properly tested
• Assisted in implementation and deployment of the best SCM processes with seamless integration among various phases of Software Development Life Cycle (SDLC) such as Change Request and Product Life Cycle Management utilizing UCM component of Rational Suite

Environment: Agile Scrum, Rally, JAVA, Oracle, UML, OOD, Quality Center, VB, .NET, UNIX, Microsoft Office suite, MS Visio, Rational Jazz Suite - RTC and RRC tools, SQL server 2008,Fireworks