SUMMARY:

• Strengths and demonstrated expertise in Compliance and Surveillance systems, FIX Protocol, Business Analysis and Requirements Definition, Project and Program Management, Data Warehouse Development and Data Modeling, Object Oriented Design and UML, Legacy Systems, CMM and Agile methodology.
• A Proven Leader in Information Systems Development
• Specializes in Regulatory Surveillance and Compliance systems
• Developed FIX Protocol rules of engagement for several exchanges and ECN’s
• SME in Equities, Options, Fixed Income, Futures and Foreign Exchange
• Successful Legacy to RDBMS conversion at Confidential
• Implemented Syndicate Trading system at Confidential
• Proficient in MS Office suite and MS project in Windows 7 and XP environments

PROFESSIONAL EMPLOYMENT HISTORY:

Confidential, Jersey City, NJ

Systems Manager - Vice President

Responsibilities:

• Lead Business and Data Analyst team effort on 20+ banking risk and regulatory projects.
• Established standards and procedures for creating and maintaining data capture and extract mapping documents
• Provided project resource estimates and helped to create an estimating tool for consistency
• Defined and documented the scope of the Data and Business Analyst role
• Wrote the Charter for the DA role within the EDH organisation
• Led the effort to implement cloud based solution for the Analytix Mapping Manager
• Ensured adherence to risk management standards
• Enabled the transition of a large project specific BA team to an Enterprise-wide team
• Provided resource management and task assignment
• Tracking deliverables against project WBS
• Producing and reviewing design documents and test cases
• Interviewing candidates
• Conducting employee performance reviews
• Tools used: Sharepoint, JIRA and HPQC

Confidential, Jersey City, NJ

Senior Consultant

Responsibilities:

• Write business and functional requirements for a Cross-Asset Front Running alert system for an international banking client to comply with FINRA rule 5270
• Reviewed and validated alert systems for Grey/Watch Lists, Reg. T, Mark-ups, Rule 92 and Adjusted Trades
• Modifications to AML alert system
• Developed and presented an Ethics and Compliance class for consultants
• All surveillance systems developed utilizing Actimize

Confidential, Jersey City, NJ

Senior Technology Analyst - Regulatory

Responsibilities:

• Create project status reports for CRO
• Develop Functional Requirements Specifications for new/modify existing Surveillance Reports
• Manage and keep current bugs & enhancements tracking using Mantis
• Project/Program Management - Manage full software development lifecycle (SDLC) of new projects & reports/enhancements/software bugs
• Reviewer of Use Cases
• Develop Test Cases and QA testing of new projects & reports/enhancements/software bugs
• Development of Ad-Hoc Reports to support SEC inquiries, and other studies
• Audits:
• Quarterly regression testing
• Quarterly 605 review
• Quarterly Short Sale File review
• Supervisory role in setting up Compliance Science certification platform
• Managed document, certification and procedure archives using ServiceNow
• Research potential violations using Confidential and Confidential
• Create specifications for FIX Flyer real-time surveillance reports

Confidential, New York, NY

Consultant: Program Manager

Responsibilities:

• Manage IT projects supporting the conversion of middle and back office operations, for the Morgan Stanley Smith Barney joint venture and for the Confidential retained business
• Create project status reports for senior management
• Managing deliverables for Client and Tax Reporting, Futures, FX and Precious Metals and Alternative Investments work tracks and ensuring projects adhere to PMO governance standards
• Issue and defect management utilizing JIRA
• Deliver project technical walkthroughs for senior management
• Defining the PMO governance standards
• Responsible for program budgets and project headcount forecasts
• Specified requirements for project tracking tools utilizing Sharepoint
• As a Test Lead for the work tracks, ensured mock tests, dress rehearsals and live cuts were properly documented and executed

Confidential, Jersey City, NJ

Consultant: Business Analyst

Responsibilities:

• Review current FIX/FAST Specifications
• Review new business and functional requirements
• Perform delta analysis to support new Fixed Income products
• Assess impact on FIX/FAST messaging for order market data and post trade flows
• Identify and document message flows and uses cases across order, market data and post trade
• Identify and document new FIX tags and FIX messages to support fixed income products on the platform
• Participate in iterative review sessions with client
• Specifications defined for FIX 5.0 SP1

Confidential, New York, NY

Consultant: Business Analyst

Responsibilities:

• Defined the business requirements to enable trading of Carbon emissions futures and spot contracts for the Green Exchange, and the specifications of the EU and Kyoto Carbon emissions contracts
• Developed Human Resource Plan and contributed to the business plan to launch an exchange to trade Carbon emissions contracts
• Wrote the business requirements and issue escalation procedures for fee rebate and incentive program to bring clients to Confidential .
• Clearnet clearing house and MTF and ECM exchanges
• Member of integration team to migrate Confidential applications onto CME platform post-merger
• Conducted audit of all exchange systems to assess risk to trade data confidentiality
• Documentation created using MS Word, PowerPoint, Visio, Excel, Quality Center

Confidential, New York, NY

Consultant: Business Analyst

Responsibilities:

• Wrote FIX rules of engagement for Order Routing and Market Data messages for a the Electronic Liquidity Exchange (ELX), a Treasury Futures exchange
• Designed templates for implementing FIX over FAST for Market Data messages
• Comparison of functionality with other treasury futures exchanges
• Created test cases for FIX messages, performance and high availability testing
• Specifications defined for FIX 4.2, FIX 4.4 and FIX 5.0 using FAST
• Documentation created using MS Word, Excel

Confidential, New York, NY

Consultant: Business Analyst

Responsibilities:

• Wrote business requirements for various projects relating to the exchange membership system
• Worked on definition of new products listed on the exchange
• System deployed on Unix, SQLServer2000/Oracle databases and utilized object oriented architecture
• Documentation created using MS Word, PowerPoint, Visio, Excel, Quality Center

Confidential, New York, NY

Senior Business Analyst

Responsibilities:

• Wrote FIX specifications for Order Routing and Market data messages for trading energy futures on the Dubai Mercantile Exchange and natural gas futures on the Canadian Resource Exchange joint ventures
• Authored FIX Best Practices and Standards and Procedures documents to improve message throughput and reduce errors
• Wrote business requirements and managed project to charge for facilitation desk fees resulting in over $1,000,000 projected extra revenue per year
• Wrote business and functional specifications for Electronic Metals Delivery system which would eliminate paper warrants from precious metals contracts
• Wrote business requirements for, and managed, various projects related to futures trading
• Member of PMO group
• Assisted with resolving client on-boarding issues and acceptance testing using VeriFIX and CertiFIX
• Served as liaison between Confidential and FIX working groups
• System deployed on Unix, SQLServer2000/Oracle databases and utilized object oriented architecture
• Specifications defined for FIX 4.2
• Documentation created using MS Word, PowerPoint, Visio, Excel, TestDirector

Confidential, New York, NY

Business Analyst / Consultant

Responsibilities:

• Wrote functional and technical specifications for a Foreign Exchange Order Execution FIX 4.4 implementation, including comparison study of FIX engine vendors
• Created use and test cases for billing and order execution scenarios for the Confidential (NSX) to ensure reg. NMS compliance using FIX 4.2
• Provided data mapping from disparate data sources to industry standard xml schema for a travel services company
• Assisted with writing proposals for prospective clients
• Gave instructional seminar on Fixed Income securities to new employees
• Developed project plans using MS Project and Agile methodology
• Defined data modeling standards
• System deployed on Unix/Linux, SQLServer2000/Oracle databases and utilized object oriented architecture
• Documentation created using MS Project, MS Word, PowerPoint, Visio, Excel

Confidential, New York, NY

Vice President Software Architecture

Responsibilities:

• Designed, implemented and supported data warehouse for earnings estimates used in stock selection models for global securities
• Data modeling and data mapping for 120+ tables
• Designed software infrastructure to support web and data warehouse applications
• Managed project to convert all applications from VAX to MS Windows and SQL server database
• Managed corporate web site
• Chaired standards and procedures committee
• Made software evaluation and purchase recommendations
• Responsible for quality assurance of vendor supplied data and internal projects
• Made enhancements to back-testing tool
• Conducted study into use of data visualization tools
• System developed using Java, Jbuilder, TransactSQL and Visual Basic
• System deployed on Compaq Proliant, NT, SQLServer2000 database
• Documentation created using MS Word, PowerPoint, Visio, Excel

Confidential, New York, NY

Senior Technology Officer

Responsibilities:

• Participated in JAD sessions to formulate detailed business requirements
• Developed the prototype of this system and designed the GSTPA enhancements for the second release
• Managed up to 14 developers and QA analysts
• Coordinated development effort of off-shore development team
• Developed tools for testing the application
• Provided Technological Expertise
• Followed six-sigma and CMM methodologies
• Developed project plans using MS Project
• System developed using IBM VisualAge, Java, JSP’s, Servlets, and Rational Rose
• System deployed on IBM RS6000/S80 AIX utilizing WebSphere/Apache Web server, Oracle database, Blaze rules engine, MQSI and XML
• Data modeling for various custody projects
• Re-designed the Asset Maintenance sub-system to improve performance
• Managed development projects
• Provided operational support for Global Securities History system
• Supervised source code conversion to Endevor
• Coordinated EMU testing
• Responsible for Y2K compliance of Warehouse infrastructure
• Hired a new team and devised a training program to facilitate the relocation of the department
• Systems developed on IBM OS/390 utilizing DB2, MVS/COBOL, and CICS in an OS/MVS/LE TSO environment and Visual Basic in an Oracle/AIX environment
• Documentation created using MS Word, Excel
• Developed enhancements to the Securities Lending Systems of Chase and Chemical Bank, in order to merge the two systems.
• Systems developed on IBM OS/390, in an OS/MVS/LE TSO environment
• Utilized MVS/COBOL, CICS and VSAM