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Quality Analyst Resume Profile

Experience Summary

  • Highly motivated, result driven business analyst with experience in ideating, developing, presenting, and implementing value added solutions at all levels of business, operations and systems.
  • 8 Years of Business Process Flows, Risk Analysis, Compliance and Regulatory experience.
  • Projects include: Portfolio Asset Management PAM , Portfolio Reporting, Portfolio Risk Management, General ledger operations, Treasury accounts controls and settlement. Securities Lending, Commodities, Brokerage, Equity, Trade Settlement Systems, Hedge Funds.
  • Highly skilled in gathering requirements and creating Business Requirements Document BRD and Functional Requirement Specification FRS documents, facilitating Joint Application Development JAD sessions, rapid application development RAD sessions, Disaster Recovery Plan DRP , developing Use Cases, Test Approach, User Acceptance Testing UAT , Requirements Traceability Matrix RTM .
  • Been instrumental in creating a new strategic market risk infrastructure, replacing existing Market Risk systems processes to provide single-scalable and flexible production process for VaR Value at Risk , aggregated risk reporting stress testing.
  • Facilitated process-wide change management from project conceptualization to testing through project delivery, Software Development Implementation Management in diverse business technical environments, with demonstrated leadership abilities with strong communication skills in engaging business stakeholders, SME's, and user.
  • Exposure to advanced forms of requirement gathering techniques including Mind Maps, rapid prototyping and Agile. Effectively document and communicate complex process and data flow situations through the use of process flow diagrams and UI. Strong knowledge in data flow diagrams/ERD, system overview diagrams, decision trees, simulations, business scenarios, etc.
  • Committed to highest ethical standards. Experienced Team Player and Leader with Customer, shareholder and employee focus.
  • Experienced in test plan, test cases, and coordinating pre and post UAT tasks


Business Analysis Tools: Software Development Life Cycle SDLC Rational Unified Process RUP , Agile, Scrum, Waterfall, Requisite Pro, Rational Rose, MS Projects, SharePoint, MS Visio, Lotus Notes

Case Tools: Software planner,Crystals Reports,QualityCenter

Investment Banking/Accounting COTS products : Fidessa-Latent Zero, Advent Geneva, Monte Carlos, Quick Books

Programming Languages and Web designing: C, C , Java, J2EE, HTML, DHTML, XML, JavaScript, CSS

Data Providers: Bloomberg Data License, Reuters, Thomson Financial

Database :MS-SQL Server, Oracle 9i, MS Access

Data Analytical tools : PLSQL Developer,Pivot tables, Excel macros, Excel VBA

Diagram Skills: Use Case, UML, Activity Diagrams, Data Flow Diagrams, Object Diagrams, Entity Relationship and Logical Data Models.



Sr. Compliance Officer

  • Compliance Quality Data Management Program for strategy and execution of the Transaction Monitoring, Risk Assessment, Sanctions and KYC streams for the firm wide Anti Money Laundering program. Development and tracking through Data Dictionary, Investigations and Remediation of Gaps.
  • Instrumental in formation of Sanctions Client Screening Gap Remediation and Metrics Reporting, initiating a root cause analysis of the gap to be remediated, walking through the errors with LOBs, Operations, Technology and the screening team. In order to evaluate a solution with a plan to make the AML Client Reporting System more robust.
  • Initiating policies and procedures and project plan for the AML and Non- AML groups.
  • Assisting with creation and administration efforts of governance model.
  • Creating Business Continuity and Resilience related documents BIA, BRP, etc.
  • Implementing and enhancing the SharePoint site and Site Permissions for the Compliance Data Management Team.


Business Analyst

  • Application of Global Compliance policies and remediation of External Relationship Risk Management Governance deficiencies as identified through vendor governance gap analysis, in order to fully be policy compliant project is pertaining to Policy Tracking through MS Project and SharePoint.
  • Provide ongoing oversight and monitoring relating to the Vendor Management Policy. Continue tracking, reporting, and assisting in ensuring that all gap items are remediated.
  • Data Analysis, trend analysis, data conversion, data masking and database restructuring.
  • Ensure accuracy of distributed reports through COGNOS reporting and assist in expanding the recipients to include non-enterprise connected applications.
  • Initiating a focal point, to drive Business Continuity Management issues. Assist in reviewing the Business Continuity Management action plan remediation activities.
  • Policy compliance and process improvements to enhance performance levels through KYC, AML, Acceptance Policy, Identification Procedures, Monitoring of Transactions for High-risk accounts, Implanting Thresholds, Risk Management.
  • Instrumental in formation of a Latin America Division Repository by assimilating data from the Global Directory Worldwide, the Identity Access Management System that contains IDs and the AIG company website.
  • Cost saving initiative to data-mine terminated employees in order to draft a documented procedure for requesting and disabling of telecommunication services to be concluded.


Business Analyst

  • Worked on Client reporting application of the bank that facilitates generation of securities lending portfolio and performance related reports for various clients of the bank. The project involved enhancing the application to a uniform level of functionality for an additional lending platform and facilitation of client reports for that platform, using agile methodology and gap analysis
  • Understand the intricacies of the system architecture and reporting application along with the front and middle office systems that send data to the application.
  • Analyzed the gaps through creating a new lending platform top level logical data models while developing and documenting the Software Development Life Cycle SDLC
  • Examined the different enumeration codes unique to the new lending model and mapped them to the equivalent code values in the portfolio reporting system.
  • Mapped the portfolio reporting system data feeds to the new lending platform core database and created final source to target column mappings.
  • Identified all gaps in the current feeds and potential data feeds from new lending platform.
  • Liaise with the new lending system team to identify the gaps within the system and attempted to gain an understanding of any strategy in place to circumvent the same.
  • Documented impact on reporting due to gaps uncovered in gap analysis activity and the changes required in reports.


Risk /Compliance Analyst

  • MD SASS is a fund of funds concerned with Trade Settlement Systems with Trade Blotter and Trade Risk Management. Project scope encompasses targeting/ determining trade risk areas in both trade confirmations and client portfolio management. Analysis of trade and business at a high level and creating trade reports for client portfolios. Through migration of systems across the board, this would reduce duplication and errors while maintaining the fidelity of the existing functionalities and reports.
  • Conduct gap analysis for deviant processes and develop process frameworks to enforce conformance with the Enterprise BPM model.
  • System Integration through adapting Advent Geneva for a transaction and accounting analysis instead of Quick Books while keeping the front ends for business users closer to the legacy system with minimal impact.
  • Development of Client Dashboard within the reporting suite to provide a consolidated view of investment portfolio.
  • Facilitated implementation of Finance product as a new lending platform and facilitation of client reports from that platform.
  • Development of Fund based reports for invested collateral management with detailed design discussions to ensure and provide inputs on solutions that can implement all reporting functionalities in an optimum way.
  • Data Analysis and Restructuring of data feeds via Performance Explorer to ensure accurate reporting of trading activity.
  • Worked closely with Technical Lead to resolve all functional and technical queries related to data organization in the system through SharePoint.


Business Analyst/ Quality Analyst

  • Project focus involved Acquisition and revamping application to support the diverse data contents for Alternative investments Group, which covers broad range of strategies and structures that are designed for traditional equity and fixed income markets. In addition provide assistance and share responsibilities for Front /Middle / Back Office activities: Fixed Income, Credit, Foreign Exchange, Treasury etc.
  • Leading a team of business analysts to drive: requirements gathering, current environment analysis, identification of gaps, establishing target operating models, and selection of appropriate technology packages to support the operating model.
  • Worked on different project methodologies to influence and drive teams through all phases of project under Asset management data domains and data requirements of trading compliance and decision support systems.
  • Gathering Business /Functional requirements for revamping application used for Financial planning services, Securities Lending application and investment products purchased through 'managed accounts' which are not assessed a commission but rather are fee-based.
  • Provided combined documents for sophisticated risk analytics with portfolio management, trading and operations tools to support a consistent, efficient and controlled investment process.
  • Worked closely with Commodity Trading Advisors CTAs developing trading strategies for the purpose of investing assets directly for Managed futures funds which will allow investors to access these trading strategies without having to actively manage individual positions.


Business System Analyst

  • InGlobal Wealth Management team, project entailed aligning Fidelity's financial reporting systems, which will address Regulatory Managementreporting concerns more closely with traceability of financial information in Regulatory filings that will also mitigate risk of additional restatements.
  • Wrote documents to maintain Compliance Regulatory Reporting Procedures, and calculated for three major components of risk -credit risk standardized approach , operational risk basic indicator approach or BIA, standardized approach and market risk VaR Value at Risk .
  • Wrote Business Change Management BCM documents to build integrated platforms to accommodate new technologies and development methods to improve processing of derivatives and reduce operational risks. This involved business and system analysis design, specifications and development of workflows, UAT
  • Documented for COTS implementation, version upgrade, build infrastructure security rules, mapping records layouts from disparate sources for Disaster Recovery testing, readiness and Business Continuity test plans.
  • Performed GAP analysis to enhance the monitoring and reporting of control processes in Capital Markets dealings from front office sales and trading to middle office product control, to back office/operations, regulatory reporting and compliance as well as trade processing, including clearance and settlement. Worked with different data sets Market risk, yield curve analysis, Value at risk to gather and aligning documents.


Faculty and Software Developer

Customized software and websites for various offshore Banks and Hospitals initiated, structured and developed using C, C , Java, HTML, XML, Flash

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