PROFESSIONAL EXPERIENCE:

Confidential, NY

Associate/ Business Analyst

Responsibilities:

• Client Statement Transaction and Activity processing SME. Business Analyst liaison role between Business/ Operations Users, and IT System Staff. Gathering of requirements, writing of business (BRD)/functional (FRD) specifications, process/end - user validation and problem solving are major functions.
• See projects through all phases of the application development process including analysis, scoping, design, development, quality assurance testing (guidance to QA team) and implementation. Running and evaluating various SQL queries through Teradata. Tracking of issues and enhancements for meeting reviews. MS firmwide in Agile and Waterfall methodology. Responsible for maintaining the mapping matrix of statement transactions processed on the Confidential client statement.
• Was instrumental in building the current activity mapping matrix for statement processing which includes 940 transactions and statement summary detail flows developed for statement renovation project in 2008. Transactions include all Trade, Cash and Security Movement and Settlement processing. This matrix is the current guide for all changes in the firm wide Data
• Alignment project across all platforms. Responsibility includes representing the statements group and acting as chairperson (300 members) at the firm wide weekly journals committee, which I have been a part of the last 15 years. Viewed by the journals committee and throughout technology as the statement leader in transaction knowledge and guidance.Requirement documents completed for Statement Processing include: ETRADE new transaction integration, Fixed Income Description Enhancements, Gain/Loss Gains Keeper changes, Return of Capital/Return of
• Principal, FX and Global Currency,Non Purpose Loan (Foundation), Open Order Processing, Security Transfers processing,CorporateAction and Reorg Processing,Cost Basis and VSP (part time BA with tax gain/loss team in ), Transaction Trade Date processing,Alternate Investment Transactions, Money Movement Processing, Data Alignment, Cash Sweep and BDP, Mobile Deposit transactions,Margin Interest enhancement, Cash Flow and Income Summary Processing.
• Maintaining all data for statement Footnote and Title note Processing, Lead BA for SOW (Statement Operation Workstation)statements operational group toolused for monthly signoff firm wide. Lead BA for weekly statements Ops/Business/Tech project review meeting.

Confidential, NY

Assistant Vice President, Business Analyst

Responsibilities:

• Liaison role between Business Users and Systems IT Staff for the implementation of a new inhouse Global Trading and Operations System Xenos .
• Areas of responsibility: Data Manager, Regulatory Reporting, Security Master, Data Integrity, Equity Trade Support and Settlements, Margin, Pricing, Options, New Accounts
• Gathering of requirements, writing of business (BRD)/functional (FRD) specifications, process/end - user validation and problem solving are major functions.
• Execute projects through all phases of the application development process including analysis, scoping, design, development, quality assurance testing and implementation. Data warehouse testing, and identification of data elements in report development. Conversion of data and vendor feeds.
• Facilitate user acceptance testing and production implementation in conjunction with the business users, application team, IT and vendors.
• Assist in establishing ongoing service through application development and process improvements.
• Running and evaluating various SQL queries via TOAD.
• Assistant Vice President, Margin Manager/Customer Service/ACATS Manager
• Maintain all cash, margin, institutional, option, and foreign margin accounts.
• Responsible for all reporting to exchanges and regulatory agencies.
• Control and maintain all system functionality pertaining to Margin, Options and ACATS systems.
• Responsible for daily reporting to management

Confidential

Data Integrity and Pricing (Market and Data Security Master) Manager

Responsibilities:

• 1Responsible for the data and operational integrity of the Security Master. Daily functions included tools Bloomberg, Reuters and IDC to verify and update market, security and pricing related data for all products.2 Designed all system and operational functions for creation of this area in July 1994.
• Tested, enhanced and modified product system to suit Nomura’s needs.
• Implemented the following vendor systems: IDC Equity Securities System, Valorinform Foreign Securities System, OCC Options System, Bond Board Government Securities System and GSCC Government Agency Securities and Bloomberg Market Data.
• In-house system enhancements include: Product relationship file, Product pricing file, Risk Management Classification, Rule 144A & 15C3 Securities, Reg S Securities, Foreign Currency and Country Codes, Auto ISIN Additions, Cross of Foreign Numbering Systems and Floating Rate Security Processing.
• System enhancements include spec writing, testing and interaction with vendor and in-house system communities.

Confidential

Business Analyst / Automation Management

Responsibilities:

• Responsible for all system modification, enhancement and correction in a liaison role between user and system IT. Areas of responsibility included: Data, Corporate Credit, Equity Trade Support, Corporate Actions, REORG, Stock Loan, Margin and New Accounts, Trust Bank, Taxation and Foreign Exchange
• Instrumental in implementation of Nomura’s current back office trading system NTAPS.
• Project work included spec writing, testing and heavy interaction with user and system staff.
• Daily responsibilities included reviewing all back office and equity trading system related problems, then coordinating with our systems area to resolve problems. Responsibility also included testing and verification

Confidential, NY

Credit Administration Analyst

Responsibilities:

• Maintain all cash, margin, institutional, option and IRA accounts; ACATS processing.