PROFESSIONAL EXPERIENCE:

Confidential

Operational Risk Consultant

Responsibilities:

• Process Description: Consider what teh different components are dat make up teh Process in order to assign teh Risk
• Impact Filters: Financial Impact, Regulatory Compliance Impact, Internal/External Customer Impact, Percentage of Customers Served, Data Security, and Reputation Impact (includes Social Media)
• Privacy Filters: Process Operational Exposure, Process Access to Data, Non - U.S. Personal Data Impact, Nature of Data, User of Data, and Third Party Service Provider Controls
• Susceptibility Filters: Manual Processing, Third Party Service Providers, International Operations, Subject Matter Experts, Inter-Dependencies/Handoffs, External Data Feed Systems, External Facing Systems, and Business Environment Changes
• Control Environment Filters: Risk Assessment Results, Confidential Audit Services Results, External Reviews and Exams, Internal Loss Data, and Process Metrics
• Credible Challenge: Collaborative discussions between Subject Matter Experts, Process Owners and Operational Risk Consultant
• Data Compilation: A collection of specific information associating Risks to Controls dat are sound and can be tested and validated
• Monitoring Activities: Descriptions, Titles, Automation, Frequencies, Sources, Owners, Subject Matter Experts, and applicable Key Performance and Risk Indicators
• Policies: Categories, Titles, Descriptions, Types, Location, Sources, Publish Date, and Owners
• Review Activities: Descriptions, Titles, Types of Frequencies, Report Data, Assurance, Sources and Owners, and Subject Matter Experts
• Confidential Investment Institute - Global Alternative Investment Trades - (Direct Private Investment Program)
• Staff - Confidential Audit - Perform Revenue Accounting

Confidential

Senior Business Analyst

Responsibilities:

• Gather information from Business Partners, Lines of Business', Subject Matter Expert's, and Technology to document Issues and Change Requests in teh database; Data Issue and Change Governance. Map Processes using Visio and Business Requirement Documents for required Government Regulation as well as Audit purposes to show and track history and lineage. A contributor to Treasury Balance Sheet Management within an agile environment
• Set up and build 500 securities in In-Trader for Scottrade for a purchase worth of $8B
• Establish Data Quality rules for four derivative Critical Data Elements: Internal Trade ID, Maturity Date, Derivative Notional and Clean Mark-to-Market
• Research three derivative Critical Data Elements for Data Quality rules: Entity, Maturity Date and Notional
• Change Requests and Business Requirement Documents: In-trader Entity #201 (NA Asset Management Elimination), New Field needed to report Fair Value Hedge for International Financial Reporting Standards, Scottrade Bank, and (STB) Conversion.

Confidential

Senior Business Analyst

Responsibilities:

• Work in accordance with Federal Regulations to maintain a Risk Reporting Inventory of teh 21 Monthly/Quarterly reports: ACT Past Due Summary, Compliance Enhancement Program, Update Enterprise Information Technology, Operational Risk Management, Executive Risk Profile Review, Enterprise Information Technology; RiskControl and Self-Assessments/Review, Quarterly Control Assessment, Enterprise Information Technology; monthly Risk Report Update (Interim), Operations Review Report, Teh Nine Enterprise Information Technology Divisional Reports Top of Mind, Risk Report for Executives, Regulatory Report Updates requested by Executives, Operational Risk Profile Report, Quarterly Control Assessment/Rep Letter, ETGC Presentation, Risk Bi-weekly Status Report, Executive letter to Chief Financial Officer. Perform Quality Assurance to ensure proper documentation exists and is current showing where teh information comes from, how teh report is created, and teh distribution of teh reports within each of teh SharePoint folders.
• Work with Federal Regulations and Major Compliance Requirements; assist in assigning Summary and/or Detail Controls considering teh combination of Product Class/Activity to mitigate teh Major Requirement. Federal Regulations include FDIC Annual Audits and Reporting, Labor Management Reporting and Disclosure Act, Municipal Securities Rulemaking Board Rules, Recordkeeping and Confirmation Requirements for Securities Transactions, Regulation Fair Disclosure and State and Local Sales and Use Tax.
• Liaison with Attorneys/Proponents to document within teh Control Nomination workbook; Major Compliance Requirements, research Controls Catalog to apply Controls with MCRs and tan update teh Control Review Analysis System. Update CRAS+ included: additions and/or changes to Sub Sections (Citations, title and description), MCRs name and/or description, product class/activity associations and control additions.
• Perform reporting utilizing Operational Risk Information Store, (ORIS)
• Work in concert with Global Wholesale Lines of Business to meet Office of teh Comptroller of teh Currency audit requirements
• Document in Excel teh data linkage table and diagram in Visio Pro; High Risk Business Processes: Confirm Trades, Process Payments and Deposits, Service Customers and Accounts, Correspondent Banking, Foreign Item Processing and Treasury Management Operations; showing risks and controls for teh International Global Wholesale team. A contributor to Wholesale, within an agile environment.
• Ensure teh completion of Business Process Risk Management by analyzing and remediating responsibilities including:
• Coach and guide process owners to identify process risks and controls
• Validate previously unidentified risks, control gaps, and monitoring activities

Confidential

Senior Business Analyst

Responsibilities:

• Test teh migration of production data and account balances from MBNA credit card vendor; FM to Confidential credit card vendor; Total Systems (TSYS) within teh Enterprise Data Warehouse - Teradata Assistant and Confidential Card Information - Netezza/Aginity. Document and resolve issues of missing data, data trends and data quality deficiencies.
• Update process/system documentation related to Data Hub governance and Global Data Hub Roadmap Application Inputs and Outputs
• Perform account balance analysis at teh Company and Cost Center level to determine if teh balances can be Move/Merged from teh General Ledger; Insight and teh Financial Data Warehouse to SAP. Teh detail information to perform teh Move/Merge is reflected on teh template.
• Create documentation for teh Account/Company and Cost Center balances dat could not be Move/Merged so dat manual journal entries could be performed
• Perform reporting in Excel using Pivot Table’s from teh target; SAP which would become teh book of record for teh Bank’s General Ledger system
• Research and analyze new, fixed and changed data feeding into Enterprise Credit Risk Information System (ECRIS)
• Create mapping document and perform data scrubs on Quarterly file feed, differentiating Individual from Corporation, creating a Fix file for teh FR Y-14Q Monthly process for Federal stress test reporting
• Perform reporting in Excel using Pivot Tables from teh source; PortSum which resides on Enterprise Data Warehouse/Teradata
• Create documentation with business logic and description of Fields for Consolidated Reporting Enterprise Stress Testing
• Based on Self-Identified Audit Issues findings of Severity 1’s & 2’s - ensure Applications are in compliance with Global Information Service Standards, Policies and Procedures by interviewing Application Owners and by identifying and remediating gaps
• Data scrub various Fields in teh Access Management Transformation Web Tool for Reporting purposes
• Perform and deliver daily Management reporting of account balances and statements dat are not current, which may jeopardize timely account reconciliation
• Follow up with teh Business Partner to contact teh applicable Bank or gain guidance for remediation
• Research for daily Management reporting project to be implemented. Import files into Excel, re-format teh data with use of formulas, V-Lookups and Pivot Tables.
• Review Project Charters (PCs), Business Requirement Documents (BRDs), and Change Controls (CCs) to assess impacts to teh Enterprise Data Warehouse
• Create Enterprise Data Warehouse work scope summaries so dat estimates in dollars and hours can be derived according to teh Six Sigma methodology; Define, Measure, Analyze, Improve and Control. Use of teh internal estimation database is used for presentation of estimate to client; including Card, Deposits, Mortgage, and E-Commerce for approval.
• Test data using SQL to validate expected results
• Follow and resolve defects in Mercury Quality Center for LaSalle Bank; Leasepak data migration to Enterprise Credit Risk Information System (ECRIS