SUMMARY:

• Program/ Project Management Skills and Prior Responsibilities:
• Program Manager / Project Manager with extensive Business, Regulatory Reporting and Data knowledge. Managed Projects with Budget vary from $10K to 50 MM
• Tools: SDLC Methodology Waterfall and Agile, MS Project, JIRA/Scrum, Confluence, DOORS, Clarity, ReqPro, Enterprise Performance Life Cycle (EPLC) - Defined the cycle and outlines the goals/ objectives, SharePoint
• Management - Comprehensive Project Plans, Resource Utilization Plans, Assumptions and Risk Management Plan, Communication and Escalation Plan, QA Plan with Use-cases and scenarios
• Implemented Stakeholders and Sponsors communication Dashboards tracking status across task list for each project and entire ‘Book of Work’ for all Projects, FTE to Budget and “Time to Market” Matrix
• Implement processes of communication between teams and stakeholders to streamline the Work Prioritization, Scope Changes and planed activities, Scrum Calls and JIRA updates.
• Program Level Presentations - Budget estimates, FTE forecasting, Key Risks/Assumptions and Dependencies, Road Blocks resolutions procedures. Vendor Management

TECHNICAL SKILLS:

Documentation: - BRD, FRD/SRA, ICD / IRD /SDS, TSD, User Guides, System Flow Diagrams and others.

Data Specialist: - Experience with Data Governance, Data lineage documentation, Data Quality Standards implementation, DQ Remediation/ Reconciliation, Implementation build of Strategic Data Warehouse and Data Marts.

Payments Data SME: - SWIFT and ACH domestic and international, CHIP, FED

Data SME: - Customer/ Clients/Products/Static Data Standards, KYC REG Rep.

Regulatory Reporting and Internal Controls: - OATS, Blue Sheets, ACT, CAT, TRACE, MiFID I and II, FINRA Audit

Broadridge SME: Confidential - OATS Controls ( BAU Changes Data Mapping, Data Gaps Identification BPS vs Front-end (FIX) data, Finra audit, Rule review with OPS); EBS Remediation (FINRA REQ, Data Mappings, Data Gaps and Source on-boarding, OPS Rules review. CAT Prep (AOM / BPS key linkage id, data gaps)

PROFESSIONAL EXPERIENCE:

Confidential

PM/BA

Responsibilities:

• Deliverable: Documentation with Visio Diagrams of Current End-to End Process for all Financial Products- Equity, Options, FX and Futures, Syndicates, MBS, Stock Lending and Borrow; Recommendation on Process and Data Quality improvements, Creation of FTE Estimation document for process improvements and remediation/ reconciliation project along with summary project plan.
• Identification is B1 setup that is incorrect or missing which is caused issues with original submissions.
• Create complete list of requests for re-submission for 6 years and populate with correct data like cusip, td range and others. Verify all the details according to original email requests going back 6 years.
• Create list of Recommendations on how to correct B1 Setup and transactional data
• Contributed in data validation and verification between upstream systems and EBS. Provided Data Gap Analysis, recommendations document for future changes and estimates associated with recommendation.

Confidential

PM /BA

Responsibilities:

• Prepared PAR documentation for CAT initial phase - Current data flow capture and DQ cleanup.
• Prepared PPR presentation for business and technology steak holders
• Project Governance - Weekly/ Bi-weekly Management Dashboards updates; Mitigation and documentation of Stake Holders committee meetings. Integration of Confluence and JIRA to deliver single source of Project overview.
• Project Plans and estimates for BAU Regulatory Controls items and future projects
• Working on Identifying the Current State of data sources for Equity Options trading of around 55 data flows/ booking models and corresponding data elements within BPSA and starting from many OMS.
• Identifying and document Data lineage, Data gaps and Data Ownership for missing data sources that would be required for CAT Regulatory requirements
• Manage enhancements and production fixes for Controls Framework for OATS and EBS (Blue Sheets) reporting in preparation for CAT project.

Confidential

PM/ BA

Responsibilities:

• Work with the PMO office, stakeholders, regulators, compliance, Internal audit to provide required information at each point of the project, written plans, scope definitions, review process etc.
• Participated in Onboard New Product Approvals (NPA) - Review FI Products, Ensure Risk compliance from Regulators, Internal Audit and AML perspective
• Identified Data Requirements for ‘Look back” process and defined process to minimize the number of false- positives alerts, investigative controls, incomplete data identification, loosely defined monitoring rules, challenges with identification and monitoring of high risk customers.
• Establish process to acquire, validate data and generate an output report / alerts with transaction details in RCM. Consolidate alerts into customer level cases.
• Perform quality reviews, provide detail analysis and generation of look back reports with recommendations.
• Liaison with Business to define the rules configuration of the RCM policy maker, mostly exclusion rules.
• Manage the Actimize Developers to tune the AIS internal server for pattern recognition of the proprietary rules processing.
• Manage change release projects i.e. sign off all upstream changes which may have an impact / no impact.
• Working on data requirements for investigation and reporting on LCR (liquidity coverage requirement) which requires banks to hold an amount of high-quality liquid assets (HQLA)
• Run reports for operations/ business users on QZ trades using python query tools
• Project Governance for BAU Stream changes for Hellium application - Data Aggregation platform
• Provided data related research for UMR initial implementation project.
• Identification and reporting of breaks in Cashflow data for OTC Derivatives and futures
• Review and documentation of Global Treasury requirements

Confidential, NYC, NY

PM / BA

Responsibilities:

• Projects Outline for review by Steering and Stakeholders committee
• Maintained Book-of-Work (BOW) for Mantas team and establish a streamline process for project prioritization and approval processes with all Business and Tech partners
• Review requirements with Business and Product representatives
• End-to End implementation of Data Review process for BCBS 239
• Write BRD, FRD, IRD and assist in TSD creation, SAT and UAT testing
• Worked close on coordination with other Bas, teams and vendors on varies parts of the projects
• Liaison/ Coordinate between Business and IT - Review of documentation, sign-offs and delivery of changes
• Create templates for document and format the process for BA, SIT and UAT teams
• Create data mappings and hold workshops for BA, SIT, UAT and Dev teams on payment processing knowledge
• End-to-end implementation of AML Mantas Transaction Monitoring for Rule 504 (cert prep) of HK/CN Wires - Data sourcing, Mapping, Scenario customizations and documentation of Highlights/ Thresholds.
• Completed proposal of conversion of AML-C on Fortent to AML on Mantas scenarios. Completed Data Mapping of UK and Africa Corresponded and Corporate Wires and ACHs. Created Matrix between AML-C Rules and security blanket to AML Mantas scenarios
• Implemented AML Mantas Monitoring scenarios for Domestic and International ACH transactions.
• Scenario tuning, OBIEE reports, Design of special reports for Alerts and unusual cases.
• POC for Generation of Manual Alerts and Cases (in house project due to current version of Mantas limitations)
• Identification of proper Customer data used by OFAC process for AML Scenarios
• Sanctions and SAR Reporting with Lookback thresholds - Capture of Rules, Current process Gap analysis and recommendations. Define logic, Data Mapping, implantation coordination.
• Design, Data Gap Analysis and implementation planning of Data Marts for Customer and Payments Data for UK for AML Mantas processes.

Confidential, Jersey City, NJ

PM (Managed resources allocated for the project)/ Sr. Business Analyst/ Data Analyst

Responsibilities:

• Create and Update Project plan, Review SOW and manage Vendor resources and UAT and SIT resource allocation
• Track project progress and report on governance dashboards
• Coordinate with stakeholders and serve as liaison with UAT and SIT teams
• Track spending and financial report to governance
• Requirements gathering for Treasury Monitoring Dashboards:
• Basel III - Commercialization of Payment Liquidity monitoring and reporting
• Swift and non-Swift Liquidity Intra-day reporting and money movements monitoring
• Corporate Customer balances and liquidity usage monitoring
• Counterparty Analytics of liquidity usage reporting dashboard
• Market Place and Clearing houses Money Movements and Net Flow Dashboard
• Identification all Liquidity and Treasury reports required and write Proposal and Requirements for them
• Coordination of work among vendor / off-shore resource and other teams
• Documentation (BRD, FRD, ICD, Use-cases and Test cases review)Project Plans, tracking and monitoring progress, weekly status reports, issues tracking, meeting minutes and publishing information on project’s Share Point site.
• Communication with Business Sponsor, Vendor, Compliance and Security teams.
• Review of SOW and Licensing Agreement, Hardware Sizing and Data Security requirements documents.
• Data Warehouse Data Mapping documents and establishing proper connections.
• Business /Functional requirements (BRD, FRD) and Data Mapping and technical documentation (TRD, ICD)
• Requirements for Surveillance reports based on transactions and Actimize Alerts/ Responses.
• Writing Contingency plans, Exit strategy, Risk assessment and other docs required by SDLC process.
• Coordinate and support Wire and ACH Fraud Detection application SIT and UAT testing. Review of test scope and approve test scenarios.
• Coordinate implementation tasks and work closely with internal Compliance and Security departments.
• Write Pro/Cons document on vendor recommendation - Mantas vs. Actimize vs. Internal product - review use of each considering the goals and data availability

Confidential, New York, NY

PM / BA- Actimize SME

Responsibilities:

• Project and Budget management/tracking. Weekly and Monthly Management reports.
• Requirements gathering, research, business and data analysis, documentation.
• Direct Liaison to Business partners - provided demos and review of system documentation and test case.
• Identification of detection scenarios based on Business Rules; document the Detection Logic, Thresholds, Inclusion/Exclusion List depending on requirements. Work with Data Modelers and System Architect to research and identify the best data sourcing approach. Write all the supporting documentation, verify SQL or file formatting depending on data needs, verify data mapping, wireframe to data mapping, review the filtering criteria and participate in testing evaluation.
• System design with system Architect and system/data SME. Identified proper data sources for data acquisition. Wrote Use-cases for SIT and UAT testing.
• Working with on-shore and off-shore resources, internal/external data providers and vendors to deliver projects on-time.
• Compensation Module with 17 detection scenarios for various Financial Advisor and Representatives Comp.
• Domestic and International Regulatory Reporting project includes REG-ALO detection, Unauthorized Short Sales (detection of Naked Shorts), Front-running detection
• Detection of Risk Failure transactions includes Failure to Deliver on Long Sales detection, Failure on ETB transaction and Excess Borrow transactions
• Insider trading detection include projects like Compensation Module (that identifies FA that manipulate Compensation buckets for double and triple dipping), processing of the OFC list vs. internal controls
• International and Domestic Broker-Dealer transaction processing and generation letters on Open item Fails and Confirmation letters.
• Monitoring Module for International and Domestic Fully Paid Customer Stock Loan and Stock Borrow transactions and generation of the customizable Confirmation Letters and Monthly/Quarterly statements.
• Order Entry Monitoring and Alerting process.
• ACT, TRACE and MSRB transactions Surveillance and heart-beat monitoring with immediate alerting capabilities.
• Building of Reporting Oracle DB for Business Objects Universe based on Mainframe data or other Oracle DB that were outside of the Universe.
• Data Strategy and Analysis project - identify data deficiencies and discrepancies
• Fixed Income Market data project - the goal of the project was to collect Fixed Income Market data collecting price for all securities and identifying Fixed Income transactions that participate in price manipulation.
• Ad-Hoc reports for Risk and Compliance Surveillance department

Confidential, New York, NY

PM/Data Manager/Business Analyst/PMO

Responsibilities:

• Provided Technical Leadership and Business knowledge, Coordination between clients/users, vendors and other teams.
• Gathered Business and System requirements, wrote Functional (FRD) and Technical specs (TSD)
• Created bi-weekly and monthly system metrics for management meetings. PMO responsibilities.
• Coordinated large-scale and small-scale projects implementation according to SDLC standards.
• Provided Business, Data and Application analyses for Data Architect/ Database modeler

Confidential, Melville, NY

BA / Senior Programmer Analyst

Responsibilities:

• Asia Project (CICS/DB2). Supported RMDS reports and FTP. Full SDLC project cycle for multiple processes, RMDS report.
• Data model for orders DB2 Database, Functional Specs (FRD), DIT, SIT and UAT testing.
• BAU for AR/AP/GL, Ship& Debit and Inventory Management systems.

Confidential, New York, NY

PM/ Senior Programmer Analyst (Lead)

Responsibilities:

• Project: Mutual Funds Broker Trade Correction application on Mainframe/CICS front-end.
• Project: Choice Plus Accounts - product offering application on Mainframe with CICS front-end and MQ.
• Project: Conversion from DB2/Batch modules to CICS/DB2 and additional application enhancements.
• Project: Conversion of Mutual Fund application from Level 4 to 3.
• Participated in making Mutual Funds systems Y2K compliant. Provided production support.

Confidential, Weehawken, NJ

BA/ Programmer Analyst

Responsibilities:

• Documentation, Analysis, coding and Prod support of the Batch/CICS/DB2 with data via MQ Series