SUMMARY:

Business Analyst with 15 years of progressive experience in Finance and IT, focusing on Regulatory Compliance, Trade Surveillance, Hedge Fund Administration, Derivatives and Risk Management.

APPLICATIONS COLLABORATION & WORKFLOW:

Compliance: Actimize Risk Case Manager (ERCM), Actimize (MSE / ETS / TC / Sales Practices), Oracle Mantas, Nasdaq SMARTS

Atlassian: JIRA

HP: Quality Center, Test Director

Rational: ClearQuest, RequisitePro

Content Management: SharePoint, Documentum, Google Drive, Google Docs, MediaWiki

Reporting:

SAP: BusinessObjects, Crystal Reports, WebI

IBM: Cognos BI

DESKtop:

Databases: Oracle, MS SQL Server, Toad

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Senior Business Analyst, Consultant

Responsibilities:

• Create and maintain artifacts, standards and user templates: business requirements documents, UX matrix, functional and technical specification documents, CRAID logs, requirements traceability matrices, Visio diagrams and stencils. Write analysis standards and guidelines policy.
• Build and maintain Agile product backlog - including epics, features and user stories. Run Sprint Planning meetings, participate in daily stand ups and planning sessions.
• Define test plans, write test cases and test scripts, manufacture test data and manage integration and user acceptance testing. Review defects, recommend corrective action plans and retest. Create and maintain content of JIRA (Atlassian) tickets.
• Build and maintain project collaboration portals in SharePoint.
• Write SQL queries to analyze client and counterparty reference data.

Confidential, Hoboken, NJ

Business Analyst, Subject Matter Expert

Responsibilities:

• Implemented and maintained trade surveillance software for multiple clients on the Actimize MSE platform and ERCM.
• Multiple implementations focused on Brokerage Compliance, Trade Surveillance, Market Abuse, Sales Practices, Suitability, Asset Management Surveillance, and ERCM.
• Analytic models include Off-Market Trading, Wash, Marking the Open/Close, Parking, Front Running, Ramping/Hammering, Quote Stuffing, Cancel/Correct/As-Of Trades, Spoofing/Layering, Market Price Window, Historical Rate Rollover, Holistic/Communication Surveillance, Sales Practices and Policy Manager.
• Supported Instruments include FX (spot, forward, NDF, options), Futures (interest rate, FX, and equity), OTC and listed options, Derivatives (equity, credit, commodity, and swaps), and Fixed Income.
• Data Analysis and validation through SQL in the verification of data, code requirements and user display.
• Worked with developers on improving the User Experience (UX), User Interface (UI), Information Architecture (IA) and product quality. Advised on client and market requirements for future developments.
• Designed and developed custom code for client requirements.
• Created and maintained project artifacts, standards and user templates including business requirements, functional specification, UX guides, testing (including test plans, cases, results and error tracking), change requests, status reports, dashboards and issues logs.
• Provided user training on Risk Case Manager (RCM) and Actimize models and rules.

Project Manager / Product Manager, Consultant

Responsibilities:

• Managed and owned all Project Management Office artifacts, documentation and reporting. Point of contact for all DOB ELP project requirements, change management, escalations, project status communication, broadcast notifications, progress reporting, and deliverable document milestones.
• Created project collaboration portals in SharePoint and Google Docs to track all deliverables and SOW related documentation including status reports to the commissioner, senior management, external vendors, and working group members.
• Produced and delivered bespoke, proprietary project management methodology documentation, monitoring and reporting tools, system and business process training and developed a shared knowledge base to ensure the firm utilized best practices for new business, future projects and clients.
• Led requirements gathering workshops with subject matter experts, external vendors and DOB senior management to coordinate business requirements documentation, traceability, gap and impact analysis, collaborate on alternative solutions, and deliverable review sessions.
• Analyzed and monitored inter-project dependencies, maintained issue logs, business requirements prioritization, and hardware (tablets) / software deployment procedures.
• Worked closely with the system integrator, technical and functional teams to validate requirements, designs, and prototypes to the statement of work.

Confidential, New York, NY

Senior Business Analyst, Senior Consultant (AVP)

Responsibilities:

• Managed and owned all bespoke development efforts serving the firm’s largest external client in a forward facing role as the main point of contact for all project requirements, change management, escalations, user training, broadcast notifications, new platforms and releases.
• Coordinated and administered both project management, and junior account management duties which built and nurtured positive working relationships with our clients. Implemented a knowledge sharing platform for all financial products our clients traded.
• Provided front-line, independent, on-site support to external clients and staff (both non-technical and technical) to quickly identify and resolve any production, workflow, or technical issues in a complex, multitier environment, and coordinated across a multi-location team structure.
• Facilitated and assisted clients, shared services teams, application and infrastructure technology teams in the decision making process, through the selection and tailoring of approaches, methods and tools to support, implement and enhance the firm’s service offering, applications, and projects.
• Managed the project management life cycle on enhancements, implementation of new data stores, and production releases to the client’s derivatives operations environment, including the development of business and functional requirements documents, UAT plans, business process mapping and definition, maintenance of issue logs, initiation of corrective action plans, and establishing work breakdown structures.
• Provided progress reports to senior management and stakeholders, defined the relevant milestones to track progress, inputs and outputs for each phase of a project, and incorporated the SDLC approach with a clear understanding of our clients’ business environment and basic risk management approaches.
• Led requirements workshops with subject matter experts and business managers to produce and collaborate on business requirements documentation, gap and impact analysis, production of the business case for alternative solutions, and the release of enhancements and changes across the client’s derivatives business (including swaps, CDS, forwards and futures contracts).
• Assisted and trained clients in setting up and amending trades and derivative instruments in a live trades data warehouse and security master database. Production of trade settlement invoicing.
• Create periodic and ad-hoc reports for business users and senior management, including monthly inquiry summaries, entitlement reviews, billing and service reports.

Confidential, New York, NY

Business Analyst

Responsibilities:

• Implemented and maintained data integration and data mining (SQL) of global system usage and the billing history of data and voice networks across the various Confidential businesses and entities.
• Developed and produced standardized, periodic (daily, weekly, monthly, quarterly and annual) reports for cost benefit (CBA) and trend analysis fora firm wide, cost reduction and optimization initiative.
• Analyzed and developed enhancements to the current analytical model by grouping vendor-fed data by attributes, functionality and financial allocation, which resulted in a significant decrease in computational complexity, increased data granularity, and improved the effectiveness of the team’s estimates and reporting.
• Developed various tools to track completion of tasks and deliverables through MS Share Point and provided status reports to senior management and working group members.
• Coordinated the project management life cycle for enhancements and report automation, including business and functional requirements documents, UAT / test plans, business process mapping and definition, change management, maintained issue logs, alleviated issues in coordination with technology and business support, and prioritized system requirements

Confidential, New York, NY

Business Analyst, Consultant (AVP)

Responsibilities:

• Managed multiple integration projects to centralize and standardize Information Security Metrics for senior executive management reporting across all Confidential Information Security Programs.
• Completed the data mapping and conversion of manual system feeds into monthly automated data feeds through a MS SharePoint implementation for future business process workflow, including automated data loads and FTP feeds, notifications / alerts, entitlement permissions. Re-engineered the data validation and approval process.
• Improved reliability and efficiency of data reported by implementing automated monthly FTP feeds from qualified business sectors. Performed data validation and reconciliation (IBM WebSphere / Ascential / SQL queries) for data migrations and conversions.
• Produced and delivered system and business process training and developed process documentation for ITRDR and BAU knowledge base, creating the baseline documentation to utilize best practices.
• Create and maintain program artifacts: scope documents, master project plans, books of work, playbooks, issue logs, inventory matrices, status reports and dashboards.
• Lead cross functional requirements gathering sessions with program owners / users to identify and implement business level reporting for Information Security Risk Metrics in order to expose additional, detailed data for business sectors.

Confidential, New York, NY

Senior Business Analyst, Consultant

Responsibilities:

• Lead analysis of business and technical requirements for integration, migration, and conversion projects.
• Created and maintained project artifacts: business requirements documents, functional specifications, workflow / process diagrams, issue logs, test cases and scripts, status reports, traceability matrices, and corrective action plans.
• Design test cases and scripts. Participate in integration and user acceptance testing.
• Analyzed and monitored inter-project dependencies, maintained project risk and issue logs, mitigated and escalated issues in coordination with technology and business support, external vendors and internal clients
• Migrated and converted all existing trust accounts and portfolios from the Neuberger Berman entity to the Confidential broker dealer; including all implications associated with client, regulatory, documentation, legal, and tax reporting concerns.
• Implementation of MS SharePoint to streamline the list of projects, and efficiently establish work breakdown structures, share documents, track completion of tasks and deliverables, and provide weekly status reports to senior management, business and technology managers, and stakeholders.
• Completed the analysis (gap and delta), development, data reconciliation, and release of client performance reports, trust appraisals, Broker Statements, and Client Statements designed following the conversion of accounts from Neuberger Berman CRM systems to the Confidential CRM infrastructure (Seibel).

Confidential, New York, NY

Business Analyst, Production Support - Analyst

Responsibilities:

• Analysis of business requirements for Risk Systems Planning and Support changes to comply with Basel II Accord and USA PATRIOT Act.
• Functioned as subject matter expert to develop workflow and business process mapping, training material, templates and user training.
• Led the team to a higher level of efficiency, performance and client service by implementing a new SLA. Results include decreasing turnaround time by 40%, and an increase in systems supported from 7, to over 30.
• Consistently led all global Risk Systems Analysts in total billing since joining the group.
• Provided production support to over 8,000 global users of 30+ Credit, Market, and Operational risk systems, trade capture, trade booking, and Client Relationship Management systems.
• Involved in enhancements to Confidential ’s Risk Infrastructure (Operational, Credit and Market Risk Management) including requirements gathering, development of business requirements documents, functional specifications, change management, UAT plans, use cases, and issue logs.
• Prepared ad-hoc Operational Risk data metrics, reports and queries for business users and senior management utilizing MIS and proprietary query tools.
• Build department SharePoint sites, create project and production support artifacts and manage content.