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Regulatory Project Management/team Lead Resume

Baltimore, MarylanD


  • Over 14+ years of experience working as a Project Lead, IT Project Manager and Team Lead.
  • Extensive experience in SWIFT Technology, AML Surveillance Systems (Prime BSA), and other IT skills.
  • Also worked on Trading Systems such as Longview etc... And communicated with Front office and Bloomberg users in case of any issues.
  • Closely worked with Deputy Head of Confidential (Anti Financial Crime) for looking into their daily Transaction Monitoring issues and initiated projects for IT to remediate their issues(as per Cease & Desist Order issued by Fed to Confidential )
  • Interacted with FCAI (Financial Crime Analytics and Investigations) group on daily basis to see the outcome of Risk Assessment from Transaction Monitoring perspective.
  • Managed high visible projects under DFS 504 Regulation for sending the Audit Data to the Regulators on daily basis.
  • Managed Prime Wires Data Quality Project (marked as very critical) to improve the quality of outgoing wires going to Prime BSA(Bank Secrecy Act).
  • Reported weekly updates to the Regulators and Fed as for the Anti Financial Crime Projects.
  • Based on the reports submitted by Confidential team/Regulators, projects were initiated within wealth management division based on the budget and Time Estimates.
  • Also managed projects which fall under Case Management (Actimize) in reference to the case which are opened in Prime BSA 10.
  • Acknowledged the requests from Custodian Systems and Vendors (FX4Cash, DBInternet, Global Plus, Banking System PBS on weekly basis.
  • Created budgets and forecasts for all current and new upcoming regulatory projects.
  • Managed all projects under Anti Financial Program.
  • Trained various Analysts, Developers and testers on the team.
  • Conducted various training sessions with Anti Financial Crime user community to explain about the WM Infrastructure and applications.
  • Have also supported London/Hong Kong Front and middle office applications.
  • Interacted/worked with various Back Office Applications such as Flexcube, GAMS, PEGA, Payment Tracker, Intellitracs, Opics, CALYSO, FED WIRE CHIPS, GSMOS and many others.
  • Assisted the team in implementing the changes during the weekends and coordinated the time for business validations (with line of business) based on the SWIFT ADW during weekends.
  • Also worked extensively on SWIFT products such as Swift Alliance Access, SWIFT Alliance Gateway and SWIFT Messaging Hub (provided by Arkelis).
  • Have strong business knowledge in Financial and Trade applications.
  • Gave presentation for SWIFT user community about SWIFT BIC and Logical terminals.
  • Conducted high level meetings with our SWIFT product managers, business architects to discuss about the current routing of message types (MT101, 103, 202 etc) to the back office applications.
  • Have excellent analytical and presentation skills
  • Experienced working in financial industry which includes banking and trade related applications.
  • Hard working individual, team player with excellent oral, written and good communication skills.


Languages: XML, Java Script, AWK, C, Perl, UNIX Shell, ANSI - SQL, CGI

Message System: Society for World Wide Inter Bank financial telecommunications (SWIFT), Swift Messaging Hub(SMH).

Tools: DBI/DBD, CVS, Visual Source Safe, VISIO, CRONTAB, UML, FTP, MS-Excel, Erwin, FIX Protocol, SWIFT

Operating Systems: Windows NT, 2000, Sun Solaris 2.X, Red Hat Linux, HP UNIX

Web Server: Apache, Netscape Enterprise Server, IS (4.0)


Confidential, Baltimore, Maryland

Regulatory Project Management/Team Lead


  • Assisted the team to create functional system design documents/other artifacts in reference to Anti Financial Crime Projects (such as Sustainable Data Controls, Data Procurement etc..)
  • Worked and managed Market in Financial Instruments Directive (MIFID II) EU Regulatory project and was responsible to deliver Daily, Annual and Quarterly Reports to support German American Business.
  • Performed impact assessment for all Confidential projects (as current Prime BSA is interfaced to Sybase WH) due to migration of current Sybase WH to RDM (Oracle).
  • Created detailed plan as for Resource Planning and tracked the progress of every tasks as per the project plan to meet the compliance date.
  • Managed budget and financials on monthly basis.
  • Updated dbclarity on Bi-Weekly basis and sent the reports to Germany PMO.
  • Ran Monthly forecasts in clarity for all EM and Regulatory Projects.
  • Estimated budgets for new upcoming projects
  • Guided and managed Analysts & Developers on the team as for their daily tasks and upcoming activities.
  • Created Road map and Milestones for all new upcoming projects ever year.
  • Interviewed several analysts and developers for hiring on the team.
  • Extensive knowledge in BSA/AML rules and also trained team members in reference to this subject.
  • Working extensively on Prime BSA projects and also with Confidential community for making decisions in reference to IT work etc..
  • Have tracked all CTB and RTB projects as per Confidential Transaction Monitoring US Demand 2020 book of work and reviewed with management and entire Confidential Community ( Confidential IT, Data Stewarts etc..)
  • Created detailed Risks and Dependencies from Project Management perspective and reported to the Germany team on Bi-weekly basis for all Regulatory Projects.
  • Working and managing several Confidential (Anti Financial Crime) and other Regulatory Projects as defined below:

Environment: Microsoft Visio, Power Designer, MPP, Agile & Hybrid Methodology, Blue Print Architecture.


Business Analyst


  • Worked on GlobeR application a loan based GUI system which processes all the counterparty details, facility, covenants in a single file.
  • Created functional documents to explain about the FX adjustment screen, covenants details.
  • Performed feasibility analysis based on the data present in the Oracle Datawarehouse.
  • Created high level design documents along with the use cases,use specifications and use case implementation.
  • Have written the business rules which are implemented by the authorities (Credit Officer/Lending Officer/GMT Head) present in the bank.
  • Created traceability matrix to document the functional and non functional requirements
  • Supported both SIT/UAT testing teams for integration/Regression testing.

Environment: Microsoft Visio, ALM, SWIFT, SDLC.

Confidential, Charlotte, North Carolina

System Support Analyst/PM/Project Lead


  • Worked on Flexcube for Non Urgent payments to send transactions (ACH) to Royal Bank of Canada as part of dispatch process.
  • Performed business and feasibility analysis based on the requirement from the CEO-ACH business partners and also from FX related to non urgent payments and deposits.
  • Have tracked and updated the tasks on day to day basis for specific projects as part of project management.
  • Have scheduled high level meetings with the product managers and user community to discuss and explained the process/ work flow of the projects.
  • Have created high level documentation for the team and also for various back office partners of the bank.
  • Also performed SIT/UAT testing by inputting the transactions and validated the outcome in the common payment gateway in Flexcube.
  • Extensively worked on payments and collections module to input the transactions to process through STP rules which goes through the GAMS (Middleware system), GABS and GSMOS (scanning system for payments) process.
  • Validation of Intellimatch, non urgent history files as part of end of the day process.
  • Worked with FX and GFX operations for cross currency transactions.
  • Worked on Flexcube (a core banking product- Payment and collections module) which processes various transactions such as Notice of change(from royal bank of Canada), returns, reversals, CEO-ACH receipts and rejects.
  • Worked on ODFI (originating depository financial institution) which initiates ACH entries as per the request and agreement with the customers.
  • Used RDFI (Receiving Depository Financial Institution) to receive the ACH entries.
  • Created various CEO-ACH batch files for credit and debit origination of files.
  • Worked on On US transactions for USD and CAD batches/ transactions.
  • Created various credit, debit and customer initiated returns of debit/credit and verified the DE entries in journal entry screen .
  • Worked closely with business operations to fix the failures of transactions to fetch and validate the new FX rate.
  • Actively involved with electronic window (EW) team and TIR (reporting team) to validate the business reports related to the credit/debit indicators and also the transaction codes related to the customers.
  • Created high level documents to explain the business flow and scheduled high level meetings with the stake holders to explain about the new products introduced by Oracle as part of Event 11 release.
  • Worked closely with the developers on TIBCO application and to create routing rules in the smart router (middleware).
  • Used SQL queries to fetch the date based on the view given by Midas application.
  • Provided 24/7 support after hours and weekends for any production issues and installations.
  • Validated the below statement files/notices as part of end of the day process across all environments:

Environment: Flexcube, Microsoft Visio, ALM

Confidential, Charlotte, North Carolina

SWIFT Administrator/PMO/Project Lead


  • Worked as a Business Analyst on various projects by writing FSD (functional system Design) which involves back office applications such as Pega, Payment Tracker, Flexcube (MT1XX, 2XX SWIFT messages).
  • Have supported various back office applications such as Flexcube, GAMS (middleware) for the USD and non USD payments to the other downstream applications.
  • Have also provided Flexcube support to the user to user testing and trouble shooted the issues based on the higher priority.
  • Have provide high level documentation to the automation team and also to the QA team which supports other FX applications.
  • Worked with various back office applications such as PEGA, Intellitracs to document business analysis/Feasibility analysis needed as per the requirements in the BRD.
  • Created various routing rules in SAA(swift alliance access) to route the sender and receiver BIC’s in Inbound, Outbound, output dispatch etc in order to route messages to the Great Britain/European market/Hong Kong customers.
  • Also performed message clean up, message archive (7 days live messages), MX system messages in both inbound/outbound production environments .
  • Created RMA authorizations to the correspondent depending on the requests.
  • Notified various customers for the failure of messages from SWIFT to foreign exchange London/ Hong Kong, money market, FX payments(Opics, PEGA back office applications), International implementation, International Communications, Hong Kong Support etc.
  • Created new routing rules for inbound MT 910’s received into PNBPIE2D% by creating a message copy and routing it to EW (application given by business group in Hong Kong).
  • Created new inbound routing rules for WFBIUS6S BIC where the Trade Works Naks are routed to Communications Printer, Mod text queue and Trade Works applications as well.
  • Cleared all messages which are live in local SWIFT Acks/ Naks, rejected locally messages without RMA (XRMA), MP authorizations, MP mod text etc in production environments.
  • Exported the configuration parameters from the existing alliance gateway and imported it to the new SAG GUI.
  • Performed failover testing for both primary/secondary SAGs in Swift Alliance Access (including test and Production environments) .
  • Validated the certificates on SAG associated with all the BICs as part of the new build out for the alliance gateway environment.(SAG)
  • Gave access to the browse users (London Middle office, Hong Kong Users) for the new SAG environements.
  • Performed/validated the LDAP authentication servers for all the SAG environments.
  • Worked as a technical lead for all Foreign Exchange projects and performed feasibility analysis for the routing of messages.
  • Designed high level diagrams (Visio diagrams) and communicated to the business users in the meetings to discuss the routing logic.
  • Performed the unit testing in SIT environment to test the routing rule created/modified.
  • Created the DEV/SIT hand off forms to the QA to perform the testing.
  • Supported SIT testing to resolve issues reported by the QA.
  • Performed the SIT/UAT build out in test environments.
  • Supported UAT testing for the issues raised with the business groups depending on the traffic of the messages.
  • Resolved all issues in UAT to make sure messages are drained from TIBCO to the back office applications.
  • Conducted meetings with our SWIFT user community to validate messages.
  • Created implementation plans and performed it in production on Saturday depending on the traffic.
  • Participated in verification plan meetings as well.
  • Conducted the post implementation analysis.
  • Performed many implementations during the weekend and also supported the verification issues as well.
  • Provided 24/7 production support which involved SWIFT messages going to Flexcube via GAMS and have also supported after hours and weekends for any production issues and installations.

Confidential, Austin, TX

PERL Developer


  • Has provided application support for multiple projects simultaneously on daily basis.
  • Have used PERL regular expressions to parse the incoming files as per the work requests documented in the technical documents.
  • Provided the second level of support working with the developers in order to make changes to the application depending on the customer requirement.
  • Responsible for matching the banking statements given by the customers to make changes in the account holder’s information.
  • Participated in production support.

Confidential, New York, NY



  • Analyzed the financial services provided by the customer.
  • Conducted other interviews with the customers and other groups for testing requirements and expected results.
  • Used various SQL queries to fetch the account numbers.
  • Supported shell scripts/PERL scripting for the incoming files.
  • Also monitored the high priority FIX financial information exchanges messages for the front the office users which undergoes straight through processing (STP) using the treasury management suite.
  • Provided the first level of support for the application provided by the clients.
  • Analyzed the requirements of new interface with the budget feeder system.
  • Deploying changes in packages and code into production environment.
  • Supported the application by providing after hours support.


Software Engineer


  • Performed the system analysis and testing for the financial information systems.
  • Has planned test schedules for completing the system operations given by the customers.
  • Created many ad-hoc reports depending on the user requirements.
  • Worked with end users and software developers to ensure technical compatibility and customer satisfaction.
  • Performed data handling and data archiving in flat files using UNIX/PERL shell scripts.
  • Developed e-mail modules in order to deliver to the upper management.
  • Involved in design, coding, regression testing and implementation.

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