SUMMARY:

Financial Accountant and Business Analyst with over 20 years experience in Business Analysis, Financial & Regulatory Reporting, Accounting, and Audit, mostly within the Financial Services industry. Diverse Banking/Brokerage product experience and strong knowledge of the technical applications, systems, and procedures which them. Proven track record reviewing, improving, and implementing Controlling and Operational policies and procedures resulting in improved MIS reporting to senior management and significant reductions in monetary costs and operational risk.

TECHNICAL SKILLS:

Microsoft Technologies, Databases and Software: MS Office Suite (Excel, Access, PowerPoint, Visio), MS Project, Visual Basic, SQL Server 2008 Integration Services (SSIS), SQL Server 2008 Analysis Services (SSAS), SQL Server 2008 Reporting Services (SSRS), MS SQL Server 2008 (SSMS), SQL Server Business Intelligence Development Studio (BIDS)

Other Applications: Informatica Analyst, SAP FI & CO Modules, Hyperion Essbase, Oracle 11g (OBIEE), Oracle PL/SQL Developer, Clarity, Navigator, JIRA, Mercury Quality Center (MQC), Business Objects Reporting (Infoview), SunGard Financial Packages (GMI, Loanet, Global One, Investran, Phase 3), Reuters Kondor, M&D, Summit, ADP, Bloomberg, Broadridge Impact, Loan IQ, COBRA, Euclid, Wall Street Systems (WSS), DTCC, T - SQL & MDX Query Languages

PROFESSIONAL EXPERIENCE:

Senior Business Analyst

Confidential, Weehawken, NJ

Responsibilities:

• Define authoritative data sources, data quality standards, data remediation, and quality assurance metrics.
• Compilation of Key Data Element (KDEs), Entities, and Data Lineage Workflows for WMA businesses as required by CCAR & BCBS 239 Data Governance & Data Quality Management guidelines.
• Assist in Master Data Management project to build "Gold Layer" of authoritative WMA Data Sources through identifying master data sources and arranging for ingestion into WMA 'Data Refinery'.
• Heavy utilization of Informatica Analyst to profile & scorecard KDE Data Quality performance of WMA business units. Also includes Use Case and Test Case preparation and execution.
• PM responsibilities include regularly updating weekly & quarterly DGO PowerPoint decks summarizing status of multiple WMA projects in which DGO is involved and reporting on status of JIRA-logged items.
• Participate in daily Agile Scrum meetings with IT Delivery team to monitor project status and issues.

Reference Data Business Analyst

Confidential, Whippany, NJ

Responsibilities:

• Wrote BRDs documenting CCAR Reference Data (‘RD’) & Data Sourcing requirements for CCAR 14A and 14Q schedules. Liaise with stakeholders in Finance, IT, and Operations to resolve open BRD issues.
• Liaised with Data Governance team to validate Reference Data Sources & report on status of RD DG issues.
• Assisted RD team in documenting Liquidity Coverage Ratio 5G reference data requirements.

Senior Compliance Business Analyst

Confidential, Jersey City, NJ

Responsibilities:

• Worked with Financial & Regulatory Reporting groups to draft and finalize their IHC BRD requirements.
• Drafted BRD and Functional Specification documents detailing requirements to streamline preparation & compilation of quarterly historic (and future) IHC “Pro-Forma” Financial statements (compared by management vs. similar balances in SEC FOCUS 17A-5 and FR Y 9-C Financials for consistency).
• Represented IHC-BA groups in weekly meetings reviewing IHC Data Governance Issues.
• Worked with programmers & vendors to elevate potential IHC solution systems (Oracle HFM & Axiom).
• Interacted with other IHC work streams (CCAR and Basel/Liquidity Coverage Ratio (LCR) teams) to manage overlapping BRD requirements and resolve Data Governance issues.

Senior Business Analyst

Confidential, New York, NY

Responsibilities:

• Drafted and periodically revised the Business Functional, Reporting, and Interface Requirements for Controllers and FX & MM (Money Markets) operations group.
• Assisted Accounting Systems IT group in drafting Functional Specification Documents (FSDs) & Functional Design Documents (‘FDD’) to design and build out Controllers Functional and Reporting requirements.
• Served as a liaison between Regulatory Reporting group & Development Team in managing the replacement of Data Sources for Federal Reserve Reporting packages including the FFIEC 002, FR 2900, and FR 2644.
• Managed Accounting report creation, replacement, and data sourcing from Oracle HFM, DWH, or other sources for reports to be lost due to pending legacy systems decommissioning.
• Led or participated in weekly and monthly PM meetings, reporting on status of Controllers’ open issues.
• Worked with Controllers on identifying & resolving the impact on functional requirements of various foreign regulatory & Compliance project issues pertaining to IFRS, Basel 3, and Dodd-Frank (LCR).
• Assisted IT and PM groups in preparation of Scenarios and Test Cases for Pre-UAT and UAT phases.
• Worked with Tokyo & Local IT groups and Data Warehouse department (‘DWH’) on creating current and future Business Process Model-based Workflows (in ‘swim-lane’ format).
• Utilized Mercury Quality Center to log project issues and defects.

Business Analyst

Confidential, New York, NY

Responsibilities:

• Wrote Functional Specifications for Development team describing technical requirements of various Fair Value projects and assisted CFO Team in creation & updates of Business Requirements Documents.
• Performed testing (mostly through SQL Queries & Business Objects) to ensure solutions for improvements to firm’s FAS 157 & FAS 159 FROGS Fair Value global application were successfully implemented.
• Assisted Product Control teams in identifying high-risk “Level 3” transactions.
• Provided regular updates to main PMO team on Defect & Issue identification, documentation, & resolution.

Business Analyst

Confidential, New York, NY

Responsibilities:

• Wrote Business Requirement Documents detailing product controllers’ functional requirements and outlining migration procedures for Front Office, real-time trading systems to new Cobra P&L system.
• Organized weekly meetings with Development team, DWH, PMO, and Prod Control representatives to review project status and issues and prepared minutes highlighting items discussed and to be followed up.
• Provided regular updates on status of project issues and defects (utilizing JIRA tool) for Project Lead PM
• Heavy utilization of Excel, Access, Visual Basic, and SQL queries in extracting and analyzing test data.
• Assisted Development team in creation of Functional Specification documents to remedy defects and issues.
• Coordinated and performed testing and test plans for Pre-UAT and UAT data between FO, MO, and BO Trading systems (PeopleSoft, Impact) and providing continual status to project PM.
• Heavy Visio documentation of current & future work processes and utilization of VBA & SQL queries.
• Substantial accounting and operational exposure to multiple Equity & Fixed Income products including Exchange -Traded & OTC Derivatives (Options, swaps, ETFs) and Interest Rate & Credit Derivatives.

Product Controller Consultant

Confidential, New York, NY

Responsibilities:

• Worked as interim Product Controller performing Daily P&L calculations for Global Banking Middle Office for Credit Derivatives, Structured Products, Loans, Debt instruments, & Letter of Credits.

Financial Services Consultant

Confidential, New York, NY

Responsibilities:

• Provided Internal Audit outsourcing services in Federal Reserve Call Reporting, Basel 2, BSA/AML reviews, Fixed Income Liquidity stress testing, and Operational & Market Risk management reviews.

Confidential, New York, NY

Vice-President

Responsibilities:

• Acted as Risk Control Officer for the Investment Bank’s Global Commodities (GC) division, performed multiple reporting activities and provided governance, oversight, and quality assurance over the end-to-end control environment of GC Business Units, including Energy, Metals, Prop Trading, and Exotics/Hybrids.
• Ensured execution, review, & approval of the firm-wide, semi-annual Control Self-Assessment (CSA) Risk management process, evaluating Operational risk & areas of exposure for the Global Commodities group.
• Developed metrics to more accurately measure and quantify GC group’s VaR, Operational Risk, and Credit Risk exposure with emphasis on client account issues
• Coordinated the consolidated reporting of regulatory and accounting FASB issues (FAS 157 & FAS 133).

Confidential, NY/NJ

Senior Business Analyst

Responsibilities:

• Worked on SAP GL Integration project to decommission Chase Bank legacy sub-ledgers and ensure direct Reference Data mapping from Investment banking BO Systems to SAP value data sets. Assisted in BRD Functional Requirements creation and eventual sign-off and assisted in project test case creation and execution.
• Created customized MS Access databases (through manipulation of underlying SQL) which facilitated reconciliation of each Transaction Product System to SAP G/L, greatly reducing turnaround time to report and resolve issues & errors.

Business Risk Analyst

Confidential, New York, NY

Responsibilities:

• Worked with the firm’s Basel 2 Data Quality (DQ) team performing Balance Sheet reconciliations of the bank’s Commercial Lending and OTC Derivatives trading data from sub-ledger systems to Controlling’s PeopleSoft GL.