SUMMARY:

• As a senior business analyst/project manager, I have worked in the financial services industry for a number of years, with concentrations in broker - dealer operations, asset management, customer/broker account management, custody and trust operations, and investment banking, with an emphasis on fixed income, equity investment and derivatives products. Areas of focus have included: front office transaction processing (for rates and derivatives products - including trade order management, trade flow analysis and processing), FO/MO data management/data analysis (with concentration in data logging, ETL, data base queries), middle office trade matching, reconciliation and PnL, back office clearance and settlement, operational risk assessment, and general ledger (GL) processing for books and records.
• My overall areas of expertise in the various roles are explained in further detail below:
• Over fifteen years as a Senior Business Analyst, specializing in equity and fixed income products for the broker/dealer industry, asset management, custody, trust and investment banking. In this role, provided business, functional, and systems analysis (including use of Agile/Waterfall methodologies in SDLC protocol), risk operational assessment, quality assurance (QA) and user acceptance (UAT) testing support for system application upgrades. This included full requirements gathering, technical documentation, design, testing, and implementation of back office clearance/settlement systems, front-office and middle office systems (including trade order management and transaction processing), messaging systems for securities clearance, corporate actions processing, custody asset management, funds transfers and cash payments.
• A strong background in business and technical writing also contributed to well-documented business and functional requirements, white papers on credit, market and operational risk (with specialization in derivative products, settlements and trade order processing) as well as thorough project planning in compliance with SDLC protocols.
• Using Agile/Waterfall methodologies, participated in full SDLC (including gathering business requirements, writing functional design specs, providing technical design, workflow, and gap analysis) to support new applications and system upgrades to improve performance processing and functionality for broker/dealer operations asset management, custody, trust and investment banking operations.
• Participated in extensive data analysis/management on relational databases to support front office trade processing, middle office reconciliation, and back office clearing, including SQL queries and reporting on relational databases during upgrades, conversions and ETL data migrations.
• Provided in-depth analysis of securities data via various analytic feeds, trade valuations and pricing to support the front-office trading desk. Extensive analysis was performed to validate data flow, setup of business and system work flows, system reporting capability, and QA/UAT testing, implementation and user .
• Performed extensive quality assurance (QA) testing for various system upgrades and conversions, following a full SDLC protocol, including project planning, requirements gathering, specification writing, test planning (test cases, test scripts), user, issues tracking and other system support initiatives.
• Managed several implementation projects (including use of Agile/Waterfall methodologies) for fixed income securities trade order processing and risk management systems (including global solution for securities & equities consolidated books and records), providing full gap and workflow analysis, cost-benefit analysis of project upgrades (including project plan review of the resource allocation for specific stages of systems upgrade implementation).
• Managed project to automate securities processing system for broker/dealer operations to improve efficiencies in global capital markets, with emphasis on front desk trading for fixed income products, including repos, commercial paper, and derivatives. Documentation also included support in the application of appropriate accounting principles to ensure compliance with Confidential reporting, FASB policy guidelines for agency trading and investment portfolios, capital reserve and liquidity reporting (for Dodd-Frank - Basel III including LCR, NSFR, CVA).
• Participated in system conversions to fulfill all data mapping requirements from client systems to firm applications, including interface requirements between client application interface and system applications, with attention and focus on trade order processing, trade matching, and settlement and clearance.
• Co-managed ongoing operational risk sessions, involving process controls for incident reporting, issues tracking, and remediation.
• Wrote business newsletters and quarterly reports for financial exchange
• Wrote white papers targeting client audience on various subjects related to securities industry, including market risk, global securities trading, GAP analysis, and clearance and settlement procedures
• Managed petroleum industry trade publication, (i.e., editing, business writing, layout, cover photography)
• Provided document fulfillment, including cataloging and data verification, for citation analysis studies
• Served in the Confidential (Submarine Service)

TECHNICAL SKILLS:

Business & Computer Skills: MS Office / MS Project, HTML/XML (Web applications), SWIFT, PL/SQL, Oracle, Java (Web-based applications), GSCX/BDC (Fed Clearing System w Confidential ), MarketAxess, FICC, SAP, PeopleSoft GL, (Broadridge) Impact/BPS, Bloomberg, Sungard, Charles River Systems (CRS)

PROFESSIONAL EXPERIENCE:

Confidential

Senior Business Analyst

Responsibilities:

• Maintain and update support cards for all issues pertaining to the daily running of back office clearance and settlement processes, including all auto sys jobs and daily feeds from upstream systems.
• Provide functional specifications and design support for all upgrades to the current MO/BO systems supporting global regions in the clearance and settlement of cash equities, derivatives, and financing for prime brokerage, principal and agency trading.

Confidential

Senior Business Analyst/ Project Manager

Responsibilities:

• Wrote functional requirements on transaction reporting, post trade transparency, transaction reconstruction/recordkeeping, costs and charges, sales digitization.
• Fulfilled project manager responsibilities, which included tracking of all project milestones, including Analysis and Design, Development, QA Testing, UAT, and Implementation.
• Additional assignment included work with the CM Finance group to define a ‘proof of concept’ for automating the current PnL Daily Reporting process.

Confidential

Senior Business Analyst

Responsibilities:

• Ongoing releases cover improvements and enhancements, which are tracked in JIRA, and assigned to dev team, which utilize functional requirements to build required changes.
• Other projects include replacement feeds for sec lending activity, which also involves global clearing activity; automation of liquidity stress testing reporting; and ‘living will’ requirements.
• Work extensively with business stakeholders to translate business requirements to functional requirements, which are maintained in a Confluence repository and attached to applicable JIRA’s.
• Apply Agile methodology for SDLC protocol in the implementation of changes and upgrades to system.

Confidential

Senior Business Analyst

Responsibilities:

• Establish run book template to build for all applications managed by GMIT Rates, including extensive data analysis on FO applications (including MarketAxess) for trade order processing and rates, derivatives trade capture, equity investment, portfolio management, and subsequent processing.
• Schedule and review with business stakeholders for approved methodology and approach to updating run book and operational risk procedures using Agile methodology (including new releases, daily incident reports, software issues and fixes, and daily checks, shutdown and startup procedures).
• Work with designated subject matter experts (SME’s) for each application to fulfill all operational procedure requirements, front office applications with concentration in trade order management, futures and options trading, derivatives and rates products.
• Set up knowledge base and for PS staff in fulfillment of operations requirements.

Confidential

Senior Business Analyst

Responsibilities:

• Using Agile/Waterfall methodologies, participated in extensive data analysis and database queries to fulfill ETL requirements on systems conversions, functional requirements for trade order processing and management, clearance and settlement, collateral management, and repo processing (for both fixed income and equity products).
• Wrote functional requirements for back office clearing and settlement procedures to support replacement of legacy FED clearing system. Requirements (using Agile methodology in SDLC protocol) included: front office trade capture (trade order processing), customer/broker account management, collateral management, asset management, tri-party repo processing, bi-lateral repo processing, upgrade and maintenance of securities pricing report.
• Led BA and QA team on preparation of test scripts for new requirements on Repo processing, including Tri-Party (w FICC as clearing agent), General Collateral Financing (GCF), Bind units, and Trust Receipts. Work streams included both the collateral management and funding of the repo process.
• Participation in UAT in preparation for data migration and conversion to new ‘active-to-active’ systems-based clearing and settlement platform, with connectivity to Tri-Party system.
• Participated and co-managed operational risk assessments during system implementation, and during ongoing client management roles in post-implementation phase, including compliance with Dodd-Frank, Basel III (LCR, NSFR, CVA).

Confidential

Senior Business Analyst

Responsibilities:

• Testing validation of data process flow, as follows:
• Validate through SQL query the trade and principal sum count on trade flow from debit, equity, and derivative trading engines to centralized sub ledger data base.
• Validate percentage allocation of gross process via appropriate tax region for 2010 and 2011 tax return submittals
• Validate appropriate maintenance and updates of customer address database, which supports trade allocation flow in sub ledger data base.
• Ensure appropriate allocation of trade income (PnL and Interest) to monthly and YTD FOCUS reporting.

Confidential

Senior Business Analyst

Responsibilities:

• Writing of business requirements and functional specifications for the Accounting Finance (ACFI) group of SGAS, for delivery to technical development team (ITEC)
• Business requirements supported a series of downstream workstreams, which included balance sheet, P&L, securities pricing, GL interface on the accounting side; and other operational requirements, including 15A6 foreign equities trading and reporting, repo trading, corporate actions (including syndicate IPO’s), and commissions re-allocation to ensure STP of new processes to be implemented

Confidential

Senior Business Analyst

Responsibilities:

• Ensured timely deliverables were met in writing of ‘current state’ and ‘future state’ project artifacts, including ‘end-to-end’ data flows for all sub ledger activity, including cash trades, finance trades, cash flows, positions and valuations.
• Data sourcing and gap analysis of fixed income settlement/clearance system trade, cash and position & valuation flows.
• Writing of design specifications to fulfill requirements for the ‘decommissioning’ of sub ledger functionality in the firm’s central GL database.

Confidential - Hopewell, NJ

Senior Business Analyst

Responsibilities:

• This assignment involved support of SQA in creation of design specifications, integrated test plan, traceability matrix and overall testing management for integration project involving BAC and legacy Confidential wealth management and investment portfolios.

Confidential

Senior Business Analyst/ Project Lead

Responsibilities:

• Creation of Project Plan, including broad matrix of all milestones over an iterative phase SDLC; estimates on deliverables, resource plan, identification of key stakeholders and approvers.
• Upgrade of reporting application providing weekly and month-to-date reports on global capital markets asset management trading portfolios for fixed income products.
• Upgrade of credit surveillance and FX applications, including SWIFT message processing for FX accounts. The credit surveillance system provides risk assessment of pre-deal purchases, and continued credit monitoring of purchased deals.

Confidential

Senior Business Analst

Responsibilities:

• This assignment involved major conversion project from legacy securities clearance and settlement system to new Oracle-based system. Project team assignments included support of SQA via systems integration testing of all front office trading, back office clearance and settlement modules (including custody operations); issues tracking for system modifications and enhancements; and development of use cases for UAT process.

Confidential

Business Analyst

Responsibilities:

• This consulting position involved extensive technical specifications writing, UAT, and follow-up release notes on an upgrade to the firm’s front office fixed income and equities trading system to in corporate a full MBS functionality (including TBA processing). Downstream support also included connectivity to EPN for pool notification; external data feeds (BBG, analytics) for securities data updates, and compatibility with back office processing (operations, trade support, settlement /clearance).

Confidential - McLean, VA

Business Analyst/Specifications Writer

Responsibilities:

• This position was a contract assignment with Confidential ’s Securities Sales & Trading Group. Projects included a strategic re-engineering of the SS&TG accounting transaction repository to reclassify trading securities intended for the Investment & Capital Markets (I&CM); review of accounting principles per FASB policy guidance; and establishment of checkpoints for SOX 404 deployment. Project also included an evaluation of the GSE structured products for accounting and financial statement review.

Confidential - New York, NY

Business Analyst/Project Team Upgrades

Responsibilities:

• Worked with a team of business analysts in setting up automated process for the resolution of open item payables and receivables to the general ledger, based on Confidential impact system, in order to improve operating efficiencies in Balance Sheet and P&L reporting and achieve compliance with Internal Audit requirements.

Confidential - New York, NY

Business Analyst/Senior Writer, Application Planning

Responsibilities:

• Provided project management and support documentation for service bureau clients of financial services company, which provides online transaction processing systems and clearing engines for fixed income securities and equities trading. This included technical specifications based on processing of all fixed income products, as well as corporate action processing for the equities market.

Confidential - Wilton, CT

Business Analyst/Technical Writer

Responsibilities:

• Provided in-house support documentation for commodity trading firm. Documentation included: end user guides for broker trading systems (using PowerBuilder applications); finance and accounting manuals; treasury management system guides, and operations manuals for company’s IT Department.

Confidential - New York, NY

Financial Writer

Responsibilities:

• Wrote internal publications circulated to Exchange members, including a monthly newsletter, a quarterly magazine, and various marketing brochures on energy and metals futures and options. Reported on new systems technologies being developed for clearinghouse operations.