SUMMARY:

• Focused results - driven professional with 10+ years of progressive experience as Business Analyst/Project Manager for Investment Banking and Asset Management divisions of leading financial institutions, primarily in risk, pre and post trade control monitoring. Quick and continuous learner with the ability to become SME in a short period of time
• Hands-on experience in building Regulatory Reports such as- BASEL, Liquidity Coverage Ratio (LCR), 4G, Volcker Rule (Dodd Frank), Disclosure of Interest, Funding Concentration
• Create pre and post unauthorized trade controls around SEC regulations such as 144A, Reg S, TEFRA, 15a6, short selling, book margins etc. Exposure on creating rule based reports based on other regulatory boards like MiFID (Markets in Financial Instruments Directive), FINRA (Financial Industry Regulatory Authority), FINMA (Financial Market Supervisory Authority), FSB (Financial Stability Board) and Audit and Compliance requirements.
• In depth knowledge of Financial Products - Equity; Govt., Agency & Corporate Bonds; Secured Financing Instruments- Repos, SBL; Exchange traded derivatives- Futures, Options; OTC derivatives- Swaps (Interest Rate(IRS), Total Return(TRS), Currency, Credit Default Swaps(CDS), CMO(Collateralized Mortgage Obligations), CDO(Collateralized Debt Obligations), Accumulators, Exotic Options; Structured products- ETN, MLN
• Extensive knowledge of standard market practices for trade booking, executions, settlement and allocations. Data privacy and sensitive client information
• Certified Scrum Master, Agility to utilize Waterfall and Agile project management strategies, depending on client needs. Excellent knowledge of software development lifecycle, framework and processes.
• Proven ability to engage with all levels of management. Effective at interviewing business users, SME’s (Subject Matter Expert); analyze high level requirements, collaborate with dev leads, conduct POC’s and present build solution options with control RAID matrix.
• Regularly engage with the stakeholders to plan, manage prioritization of backlog inventory and provide updates-RAG status and visibility into milestone delivery, transparency of risks and issues.
• Proficient in using SQL joins and nested queries to retrieve and analyze feed specific data quality. Create data lineage/data dictionary document for control data points
• Extensively worked with MS-Excel to conduct data analysis to identify and report data gaps and quality issues. Used Tibco Spotfire to visualize the data and present and highlight data analysis to business.
• Translate business requirements into concise functional, non-functional requirements and develop BRD, FRD, User Stories, Acceptance Criteria’s on deliverables. Regularly interact with dev and QA team to ensure delivery milestones are met within stipulated timelines.
• Review QA Test cases/ mind map on functional and data test plan.
• Conduct UAT - write UAT test cases, co-ordinate guided walkthroughs and conduct joint sessions with business and IT for defect categorization and socialize resolutions

TECHNICAL SKILLS:

Query Languages: SQL

Business Intelligence: Business Objects, TIBCO Spotfire, Tableau

Microsoft Tools: Excel, Power point, Visio, Word, Adobe, Paintbrush

Requirement: Confluence, Jira, BRD, FRD, User stories, Workflow

Testing Tools: HP-QC, ALM

PROFESSIONAL EXPERIENCE:

Confidential, NY

Lead BA/PM- Market Risk

Responsibilities:

• Lead sprint cycles as Scrum Master to develop and solution trade controls to meet regulatory, audit, surveillance and compliance requirements overseen under ERMF (Enterprise Risk Management Framework)
• Work with target working groups, SME’s to drive in-depth analysis on Trade monitoring rules in compliance with SEC, FINRA, MIFID - KYC, Client Classification and Credit risk requirements like 144A, Reg S, TEFRA, 15a6, Short Selling, FINRA-2111. Reports on OOH (Out of Hours) trades and CAL (Cancel, Amend and Late) trades.
• Conduct data analysis using SQL joins and nested queries to retrieve and analyze feed specific data quality. Liaise with data providers to cover trade booking to allocation flows for various asset classes- equities, fixed income, secured finance, derivatives - exchange, cleared & OTC.
• Present iterative exception reports as POC on agreed monitoring rules. Highlight data gaps and DQ issues. Lead data remediation discussions with data providers, on fix timelines and materiality to facilitate decision making.
• Convert high level MVP feature list into screen designs, case management workflow, verbiage and data dictionary- trade and data for control data points.
• Author, present and seek approval on business requirements- BRD, FSD, user stories.
• Work with dev team to solution and create additional data interfaces, where required and obtain LOE’s commitments to facilitate sprint planning and lockdown.
• Run Scrum meetings and planning sessions to constantly manage prioritization of new BOW and backlog inventory in an end to end agile model of project delivery.
• Created Supervisory dashboard in Tableau. Worked with business users to conduct user interviews to customize portal dashboard delivered under “Connect the Dot” initiative, spanning multiple user groups- FO Supervisors, COO’s, Compliance, Fraud and Risk users.
• Continuously work on portal wide enhancements on desktop and mobile interfaces- like delegation, entitlements, control admin screens-search dimensions and service options.
• Change management CR’s detailing impact analysis, present the signatories with change rationale and business impact of accepting risk to make informed decisions
• Review QA mind map on functional and data test plan.
• Conduct UAT - write UAT test cases, co-ordinate guided end to end walkthroughs, maintain test log and conduct joint sessions with business and IT for defect categorization and socialize resolutions
• Provide project updates (RAG), highlight risks, assumptions, issues and dependencies (RAID) to meet delivery candidate.
• Constantly engage with business to prioritize product backlog to utilize any spare capacities to optimize delivery solutions

Environment: MS Office Suite, MS-SQL, Agile, Certified Scrum Master, Jira, TIBCO Spotfire, Tableau, Java, J2EE, JSON, xml

Confidential, NY

Sr. Business Analyst

Responsibilities:

• Fit Gap Analysis against existing counterparty MI report and conducted feasibility analysis to determine golden data source for Template A and B of the requirement- based on reportable Legal Entity Consolidation and Product Scope.
• Organize and run review sessions with Accounting Policy Group on requirement interpretation and CS internal policy guidelines
• Conduct review sessions with Business (LMR-Liquidity Monitoring and Reporting team)to obtain sign-off.
• Develop BRD, FRD; run review sessions and obtain sign-off
• Develop Product and Sector mapping logic and prepare mock-up report templates.
• Use Excel (vlookup, pivot tables, functions) and SQL queries to analyze data and develop POC’s on global data coverage, product and sector logic.
• Asset classes included CD, CP, Repurchase Agreement(Repos), Structured notes, Bonds, Asset Backed Securities(ABS)
• Run working group sessions with trade and data teams.
• Document and debrief project RAG status to senior management & project steering committee, Liquidity Management Reporting (LMR), Corporate Treasury and seek guidance & escalations as required.

Environment: MS Office Suite, Business Objects, Embarcadero-Rapid SQL, SharePoint libraries, SDLC, Spotfire

Confidential, NY

Sr. Business Analyst

Responsibilities:

• Data Acquisition (DA) from multiple regional source systems, considerate of multiple risk platforms for Stocks, Depository Receipts, Fixed Income, Security Finance(SFT)- Repos, Rev Repos, SBL, Pledges, Derivatives- Exchange Traded & OTC -Option, Futures, Forwards, Swaps- IRS, TRS, CDS
• Conduct Data Attribute Gap Analysis with various IM, Wealth Management and Private Banking Divisions across multiple regions
• Analyze/Create(when missing) operational trade booking diagrams and process flows to determine golden source for data in terms of complete data attribution, possible data duplication issues are addressed and process can meet regulatory timeline. Address data privacy challenges from regions where data is masked.
• Provided feedback on requirement enhancements to solution for true data and process gaps. Ensure data points are unique and granular. Data acquired from various LOB's was acquired as one complete source of truth to report all Regulatory (DOI, LCR, 4G, NSFR) and MI Reports.
• Work closely with senior project sponsors, Compliance business users, SMEs and technology to author, maintain, publish and get business approval on source gap analysis and functional documents namely- SSRD-(Source System Requirement Document), SSRM (Source System Requirement Matrix) and SLA (Service Level Agreements)
• Extensively used Excel (vlookup, pivot tables) for sample data file analysis and qualitative reviews.
• Worked closely with LOB and technology teams(AD, Testing) to support SIT and UAT test cycles by analyzing root cause of the bugs discovered and assigning them to appropriate teams
• Used SQL queries to perform data analysis to determine root causes on data quality issues and procure corrected data from the source system as necessary.
• Ensuring requirement changes accurately transpire to the technical data requirement template -Interface Control Document (ICD) and coordinate changes between business, technology and LOB's.
• As member of PMO team discuss Business Validation rules, Overrides and defaults. Updating project dashboards and providing weekly status reports.
• Analyzing source specific suspense reports, Error Corrections and adjustments reports to refine operate model.
• Troubleshoot in an organized fashion by breaking down issues into components in order to solve the problem

Environment: MS Office Suite, HP - ALM, Oracle, Toad, Java, SharePoint libraries

Confidential, NJ

Business Analyst- Market Risk and Stress- IT

Responsibilities:

• Responsible for migrating data sources for Firm- wide regulatory reporting from the current Legacy source to a new data source in order to enable a straight through process (STP) thereby improving the consistency, efficiency and accuracy of the data mart.
• The trade data flow was enhanced to STP Novation functionality. Live messaging was used for position and event updates to actively monitor exposure and event processing. Standard messaging was used for data, credit ratings and other market feeds. The end product delivered, gave user access to credit derivatives desk with single point of entry, process and control for front-back office.
• Conducted requirement gathering workshop with Portfolio Managers, Product Manager, Risk Managers, and Operations staff to understand current work flow and conducted Gap analysis between old and new systems.
• Customized workflows to manage scheduled tasks to map and trade & position data
• Reverse Engineer a legacy application through SQL scripts and gathering business information from the SME’s and the technical team.
• Prepared Data Mapping documents for multiple attributes for various product types; defining data sources, target, and Business Rules; performed Data Transformation and Data Conversion tasks
• Experience with creating screen mock ups, Dashboard mock ups, Report mock ups and contribute to functional specification documents
• Dashboard Reporting by settlement, product, positions and task status.
• Liaised with developers and users to clarify specifications as necessary.
• Resolved or maintained accountability for ensuring the resolution of issues identified during all phases of the project.
• Prepared FRD with Technology and report progress regularly to management.
• Created Use Cases, Activity Diagrams and Sequence Diagrams in MS Visio
• Involved in developing test case objectives to ensure accurate depiction and computation of risk of the securities, performed Functional and Regression testing and worked closely with development team to ensure testing issues are resolved, Conducted UAT.
• Liaised with other IT & business groups and project managers to ensure coordination of project affecting other functional areas.

Environment: MS Office, MS Visio, MS Project, XML, MS SQL, .NET, HP Quality Centre and QTP

Confidential

Personal Banker -Wealth Management

Responsibilities:

• Enhancements towards unifying client banking and trading accounts, transfers and giro payment setups.
• Develop metrics around key customer interactions used to drive marketing and sales events
• Worked on Day 2- build to enhance screen checks on Customer identification Procedure (CIP) that would help run background screening for sanctions and negative news where triggers met in-line with banks KYC (Know Your Customer) and AML (Anti Money Laundering) initiatives.
• Customer risk profiling and Enhanced Due Diligence (EDD), where required. The application delivered generated alerts based on account activity and investment transactions.
• Gather requirements from SME’s and Ops team to automate storage of client classification and s in central golden counterparty data source.
• Worked with senior BA, to document and contribute to BRD and FRD.
• Documented business process and rules.
• Worked with User Interface (UI) team to create mock up’s from wire frames to ensure that functionalities are captured and presented on the front end as per the requirement.
• Worked with the software architects / developers to ensure that the applications conform to internal and external user requirements.
• Helped technical team to understand and to convert the business needs (BRD) into system requirements (SRS) by coordinating with the business on a non-technical level, and with the System Analyst on technical level.

Environment: MS Office, Java, Oracle 9i, Windows

Confidential

Program Manager

Responsibilities:

• Increase organization effectiveness by identifying, analyzing and designing processes to improve information flow for a technically advanced service provider targeting students, for their in-class & online al and personality development needs.
• Business Requirement Gathering & Analysis, Generate Fit-Gap List, Recommend Process Improvement areas with Optimized workflow steps.
• Generating Customized solutions- by conducting market research and using customer feedback to analyze market and customer needs to contribute in planning; structuring and promotion of new and customized programs.
• Sales support & New Accounts Acquisition, Preparing electronic promotional material, proposals and quotations, finalizing sales deals and signing contracts.
• Promotional activities- Budget campaign costs evaluate profitability. Conducting and participating in road-shows to promote business.

Environment: MS Office (Word, Excel, Power point), Adobe, Paintbrush