Summary:

Senior Business Analyst with over twenty-five years experience in hands on management in the financial services industry including all aspects of requirements gathering, design/wireframe mockups of user interfaces, data base design review, development supervision, quality assurance management, issue resolution, and risk mitigation within the Waterfall and Agile SDLC methodologies.

Employment History

Confidential

Senior Business Analyst

• Key contributor in the management of a strategic initiative to consolidate all banker/client relationship tools in a single web and mobile based application.
• Management of the implementation of an enhanced client web and mobile-based application to facilitate the ability to address informational needs and facilitate transactional activities.
• Leadership of implementation of a project governance process designed to optimize resource allocation and implementation of both roadmap initiatives and client feedback modifications through designing a program focused on four major and eight maintenance-related point releases annually.

Applications:

• In View Banker and In View Client Web and Mobile
• Citi Private Bank Client Web Site
• OneSource
• Project 1
• Various analysis, documentation and project management applications including Visio, HP Quality Center and MS Project

Confidential Senior Business Analyst Consultant

• General management and execution of an ongoing strategic security master data base to replace legacy data base through identification of effected consumer applications, determination of required attributes, performing gap analysis, and managing required remediation efforts.
• Supervision of the creation of a central data repository for capture of normalized static and dynamic data attributes extracted and/or derived from an array of internal systems and vendor data feeds.
• Facilitation of collaboration with various functional areas to ensure seamless availability of all instrument related data attributes required for consuming systems as well as related downstream applications.
• Extensive MIS reporting design, presentation, and review.
• Formulation of integration of appropriate methodologies related to data normalization, warehousing, mining, and presentation

Applications:

• Bloomberg
• Reuters
• Microsoft SQL Management Studio
• Various analysis, documentation and project management applications including Visio and MS Project

Confidential Senior Business Analyst

• End to end management of the implementation of an application tool for the tracking of client company compliance with bond and loan covenants including driving the business requirements gathering process, user interface design, formulation of business rules, entitlement management, enterprise architecture compliance, management of testing through the construction of use cases, and project/risk management.
• Hands on project management duties including risk mitigation, issue identification/resolution, accountability assignment, and decision support employing RUP and Agile SDLC methodologies.
• Design and implementation of modifications to financial reporting systems to allow seamless navigation between GAAP and IFRS accounting standards through gap analysis, requirements generation, and testing.
• Control of the capture of issuer reference data related to financial statements, compliance certificates, and credit agreements.
• Active negotiation and implementation of service level agreements between business stakeholders and both internal and external vendor support resources.
• Introduction of an annualized financial performance projection tool to permit quarterly projections through replication of desktop data capture and query generation from Excel spreadsheets to a standardized firm platform.
• Incorporation of additional features related to expected recovery rates for loss-generated defaults of client companies to an existing legacy application.
• Piloting and contribution of subject matter expertise of a newly designed SDLC and artifact depository program.
• Tracking and collection of all project related documents and artifacts in a dedicated Sharepoint site.
• Coordination and performance of global training related to the integration of new applications into the business process.
• Coordination of quality assurance activities including test planning, script review, and defect analysis.

Applications:

• Moody's Corporate Financial Metrics
• SQL Queries of Various Internal Data Bases
• MKS Integrity

Confidential Senior Business Analyst

• Requirements construction and project planning for Middle Office Personal Wealth Management support group's migration to a new operating platform Pershing utilizing interviewing, shadowing, gap analysis, JAD sessions, process re-design, and outsource planning and implementation.
• Re-engineering of business processes related to the account opening and maintenance, KYC/AML, cashiering, transfer, and field support functions as well as associated organization re-structuring.
• Leadership of ongoing identification and mitigation of operational, financial and reputational risk.
• Control of criteria formulation, negotiation, and implementation of vendor service level agreements in collaboration with internal legal counsel.
• Impact assessment and implementation of client mandated business process re-engineering and enhancement including time and cost estimates within mandated quality standards.
• Redesign and deployment of global trade support and correction processes for all securities products as well as coordination of responsibilities among field representatives, operations, and trading desk support staff.
• Integration of changes related general ledger and stock record reconciliation as well feeds to link banking and brokerage activities.
• Validation of regulatory reporting content.
• Attribute identification, data normalization, and staging of pertinent data related to various warehousing requirements.
• Enhancement of transaction supervision in conjunction with the business line's OSJ representatives.
• Complete functional mapping and gap analysis between the legacy and replacement systems and support operations.
• External vendor outsourcing of functions related to mailroom, document quality control, tax form processing, and abandoned property disposition.
• Reengineering of retained operations related to account opening and maintenance, trade support and settlement, cashiering, transfers, voluntary reorganizations, and field support utilizing an automated workflow queue management system.
• Ongoing identification, evaluation, and formulation of mitigation strategies related to operational risk.
• Performance of triage services for the conversion command center servicing a global network of financial advisors, OSJs, market leaders, and regional call centers related to the conversion of 500 thousand brokerage accounts to the Pershing account servicing, trading, and asset movement platforms.
• Coordination of user acceptance testing and training support among field and middle office resources through construction of test plans and review/support of test script execution.
• Construction and maintenance of project plans, change controls, issues logs and risk registers on an ongoing basis for the various work streams on a Sharepoint site dedicated to the project.
• Formulation, assignment, and administration of user entitlement profiles to ensure optimal user access levels within established information security guidelines.
• Design of a user interface entitlement process to facilitate client web experience for consolidated access to banking and brokerage holdings and activity.

Applications

• Net Exchange Pro and Net Exchange Select
• Pershing Back Office Processing Applications
• Pershing Order Entry, Anti-Money Laundering, and Asset Movement Rules Engines
• Sharepoint
• Sales Force for defect tracking
• Pershing Entitlement Applications
• Various Citi Product Control and Accounting Applications

Confidential

Business Requirements Project Manager

• Directed a team of eighteen business analysts in a requirements gathering process, including process flows, use cases, and wireframes for the upgrading of a variety of enterprise level systems for the U.S. Department of Health and Human Services Center for Medicare Medicaid Services related to hospital and physician quality improvement initiatives.
• Managed requirements analyses for several data warehouses related to hospital, physician, and quality improvement organization reporting and benefit payments.
• Implemented a secure, web-based, dashboard facility for uniform enterprise level monitoring of leading and outcome measures according to time, accuracy, budgetary, and customer satisfaction dimensions.
• Perform a review of existing plans and provided recommendation for consistent improvement.
• Coordination of the assimilation of external contractors as fully integrated team members and be trained in the formal communication chain for scope, cost, schedule, and technical performance modifications as well as being incorporated into the quality audit process.
• Formulated a master integrated program schedule, focusing on assessment of potential changes to projects, assessment any resulting conflicts, and communication of decision support information to stakeholders for resolution and prioritization.
• Worked directly with program and contractor resources to communicate expectations through weekly status updates on all program level milestones for enterprise level consolidated reporting as well as enhancement prioritization, and change controls.

Confidential Senior Business Analyst and Project Manager

• Provided leadership and guidance based on rigorous analysis for a program of projects designed to convert a traditional check and application investment company to a full service brokerage platform offering a full range of retail general securities products, wealth management, and financial planning services related to enhanced income, growth, and tax treatment including equities, fixed income securities, options, selected derivatives and mutual funds.
• Provided asset management processing policy recommendations to executive management regarding environmental assessment, business processing, and strategic objective fulfillment and communicated resulting directives and solution design to appropriate program resources assigned to the analysis, design, development, quality assurance, and project management disciplines.
• Extensive coordination with compliance and surveillance areas related to the identification and mitigation of operational risk.
• Implementation of a customer relationship management application to enhance the sales force experience related to proprietary and nonproprietary product marketing, and a recruitment information storage facility to assist in the tracking and transitioning of experienced sales professionals.
• Redesign of client statements to reflect new wealth management product set as well as testing of outgoing statement vendor transmission and validation of resulting output.
• Formulated and implemented processing flows for all back office functions related to the general securities asset management program including application receipt and validation, principal approval, managed account administration and portfolio management, asset consolidation, equity, fixed income, and mutual fund trade processing, customer service, and compliance monitoring based on the gathering of user requirements utilizing data flows and wire frame prototyping.
• Deployed new agent workstation processing platform equipped for all aspects of wealth management operations and analysis to a nationwide sales force.
• Formulated and documented methodology and procedures for the allocation of conversion and ongoing overhead maintenance expenses through the high net worth sales force hierarchy.
• Assembled requirements and implemented a data aggregation application for the provision of performance analytics through the field sales community with respect to asset balancing, investment strategy, and relationship management.
• Reviewed and approved project documentation through the creation and ongoing management of web based status reporting, documentation capture, and issues log maintenance.
• Controlled planning, scripting, and execution of quality assurance testing to validate the performance and functionality of applications and supporting utilities for the general securities wealth management platform.
• Formulated baseline procedures for the retention of legacy data from applications slated for decommission.

Applications:

• Net Exchange Pro and Net Exchange Select
• Pershing Back Office Processing Applications
• Pershing Order Entry, Anti-Money Laundering, and Asset Movement Rules Engines
• EZ Data Smart Office
• Microsoft SharePoint
• Albridge

Confidential Senior Business Analyst and Vendor Relationship Manager

• Served as the representative of the firm's broker/dealer in the development and implementation of an oracle-based enterprise data warehouse designed to identify asset management and cross-selling opportunities.
• Acted as program manager for a strategic initiative designed to institutionalize financial planning service, including education planning, charitable gifting, and estate planning, into the firm's product suite coordinating efforts among prospecting/marketing, recruitment/credentialing, plan processing, and brokerage operations related to plan fulfillment.
• Development of business rules to mandate compliance with all regulatory and legal requirements including the Patriot Act and the Sarbanes-Oxley Act.
• Process flow design for an imaging and workflow system to streamline a program of operational interaction among account opening, transfer, certificate and check processing, managed accounts portfolio management processing, equity, fixed income, and mutual fund trade execution and settlement, client services, and compliance.
• Management of the analysis related to evaluation and selection of vendor providers based on functional, scalable, experiential, and financial criteria for agent banking, brokerage, and clearing outsourcing.

Applications:

• AIMS AXA Image Management System Image and workflow
• FileNet Panagon
• SPARKS Securities Processing and Record Keeping System Level 4 mutual fund trade processing, account opening, and commission allocation.
• AMA AXA Management Account Level 3 and wrap account opening and stock record.
• Equifax Credit reporting
• Kingland Systems Compliance monitoring and reporting
• IBM Searchspace - Compliance monitoring and reporting
• Comprehensive Software Systems Back office account, trade, reporting, and transfer processing
• National Financial Clearing Fidelity Investment's back office processing
• Pershing Back office processing systems including account opening, check and certificate processing, trading, transfer, clearance, managed accounts, P I, and statement generation

Confidential Business Analyst - Consultant

• Lead business analyst for a program to ensure expense verification and proper allocation of costs related to agent banking, brokerage, clearing entity, and exchange fees for Morgan Stanley's global operating centers in New York, London, and Tokyo.
• Analysis of trade processing flow and development of algorithms for verification of fixed income, equity, futures, options, and ADR trade execution fees and their proper allocation among business units.
• Identification, capture, and evaluation of mined data to furnish pertinent information to data warehousing facilities.
• Utilization of business process flows to develop customer relationship management techniques resulting in maintenance, upgrading, study, or tabling of client services linked to financial capabilities and propensity to purchase enhanced services.
• Extensive vendor management related to maintenance and development efforts related to optimization of performance and incorporation of newly designed best practices.

Applications:

• TAPS Morgan Stanley trade analysis and processing system
• OCCAM Morgan Stanley trade expense allocation.
• OMEGA Morgan Stanley data mining and retrieval

Confidential

Business Analyst - Relocation Coordinator

Managed the transition of Bank of America's custody administration staff to the Bank of New York's custody administration division consistent with the terms of a previous business transaction between the institutions.

Applications:

• GSCX Confidential government securities clearing system
• DTC Depository Trust Clearing System
• FEDWIRE The Federal Reserve's national payments system for funds and government securities.

Confidential

Business Analyst - Consulting Systems Engineer

• Full cycle quality assurance management including formulation of test objectives and scripts, validation of expected results, maintenance of issues logs, and creation of stable and controlled test environments.
• FEDWIRE The Federal Reserve's national payments system for funds and government securities.

Applications:

• SPEED Security Pacific Easy Electronic Delivery
• Confidential mortgage accounting and clearing system
• FEDWIRE

Confidential

Vice President and Operations Director

• Ongoing negotiation with the General Counsel office of the Federal Reserve Bank of New York and Federal Reserve Board legal representatives with respect to interpretation and implementation of the provisions of the Competitive Equality Banking Act of 1986.
• Regular resolution of audit exceptions through both procedural modifications and technological enhancements.
• Implementation of the first direct high speed transaction processing link between an investment bank and the Federal Reserve Bank of New York's national payments system FEDWIRE for the processing of fixed income securities settlements and funds transfers.
• Management of business continuity facilities for third parties including onsite support, testing coordination, and regular review of procedures.
• Development of foreign denominated FDIC insured certificates of deposit denominated in a range of foreign currencies.

Applications:

• SPEED Security Pacific Easy Electronic Delivery
• MAST Merrill Lynch mortgage allocation settlement and trading system
• GSI Merrill Lynch government securities processing system
• Hold and Move Merrill Lynch collateral management system
• SPEEDFunds Security Pacific funds transfer system
• SPEEDWay Security Pacific Multiple RTN processing system
• GMX General Message Exchange used as a communication vehicle among trading, accounting, and finance systems
• FEDWIRE

Confidential

Systems Administrator

• Managed the day-to-day operations for a large community of fixed income securities brokers and dealers including technical support, customer service, fail contingency securities lending, and inventory financing.
• Served on the development team which produced the clearing systems employed by the Participants Trust Co. for Ginnie Mae processing and the Government Securities Clearing Corp.'s Industry Owned Netting System IONS
• Served as the Confidential primary liaison to the Federal Reserve Bank of New York for all electronic payment issues.

Applications

• FEDWIRE The Federal Reserve's national payments system for funds and government securities.
• SPEED Security Pacific Easy Electronic Delivery used at Security Pacific, Citibank, Irving Trust Company, Bankers Trust, and Merrill Lynch
• PASSTHRU Participant's Trust Co.'s Ginnie Mae processing system
• FEDWIRE

Confidential

Systems Administrator

Managed the day-to-day operations for a large community of government securities broker and dealers including technical support, customer service, fail contingency securities lending, and inventory financing.

Applications:

FEDWIRE

Abilities:

• Construction of rigorously detailed analyses related to project execution, including readiness assessment, commitment attainment, team selection, organizational education, and key stakeholder consideration.
• Generation of in-depth organizational assessment of strategic company initiatives and their alignment with corporate values, operating philosophy, organizational culture.
• Formulation of strategic project missions reflecting organizational function, performance capabilities, client needs, and environmental assessment.
• Creation of project business modeling incorporating innovation, risk orientation, proactive futuring, and competitive approach considerations.
• Engineering of proposed and existing line of business processing and integration into retained best business practices.
• Performance tracking of critical success indicators, target date progress, and execution of project revisions to achieve resource optimization.
• Procedural training ensuring knowledge transfer of critical business and technical functions and their strategically consistent institution.
• Construction of significant gap analyses and implementation of both growth and retrenchment programs.
• Grouping of related initiatives to produce integrated implementation efforts including prospecting and marketing, finance and accounting, operations and technology, and legal and compliance project facets.
• Ongoing review of contingency and business continuity programs to ensure timeliness, effectiveness, and data redundancy.
• Implementation of major modifications including systems conversion, operational monitoring, controlled accounting, and fallback procedures