SUMMARY

• Financial professional wif over 18 years of experience and thorough working noledge of credit & risk management wifin cash equities, equity derivatives, fixed income, foreign exchange, money market, wealth management and investment banking products.
• Teh most recent role working for Wells Fargo Advisors as a Senior Test Lead implementing Charles River IMS for portfolio, traders and investment specialists to manage and track in - house client accounts and investment strategies for compliance & regulatory reviews.
• Regulatory Credit and Market Risk Management Equity and Option Trading/Clearing Fixed Income Products (Credit), FX and Precious Metals (Physical) UAT/QA Testing, Business Analysis and Project Management

TECHNICAL SKILLS

Licenses: Series 7, 25, 55 and 63 (Exp. 2013)

Languages & Development Tools: Quality Center (ALM)

Operating Systems & System Utilities: UNIX

Database Management Systems: MS SQL, PL SQL

Commercial Software: MS Office (Word, Excel, PowerPoint), SharePoint, MicroHedge, Bloomberg, Thomson Reuters, Trac Data, Redi Plus, Radical, Macgregor XIP, Matrix, Charles River IMS, BondDesk, KCG BondPoint (ValuBond), ION, TwoFour, Fidessa, BOSS System, BRIO, WIAT, Livevol and ArcaVision

Methodologies and Standards: Agile Methodology (JIRA), Waterfall, Quality Center, Mainframe based Legacy Systems

PROFESSIONAL EXPERIENCE

Sr. Consultant/UAT Test Lead

Confidential

Responsibilities:

• Accountable for review of user stories, design and technical documents of scenario and test case creation for Options, Fixed Income and Alternative investment products
• Developed UAT project plans, test plans; including entrance and exit criteria
• Responsible for leading testers and participating in test execution and defect reporting via ALM
• Lead triage calls for defect resolution and provided technical guidance on defects to product owners, business analysts and developers
• Documentation of defect management, regular project reports and controlled communication wif business partners and developers to ensure all deliverables are achieved
• Solid noledge of project management, development, and testing methodologies, tools, and techniques in an Agile SCRUM environment

Sr. Consultant/UAT Analyst

Confidential

Responsibilities:

• Successfully completed multiple UAT test phases released into production for Senior Management’s use:
• Market Risk Reporting: Daily Limits Summary Report (PDF), Limits Dashboard and Market Risk Global Dashboard
• Credit Risk Reporting: CRR GCCO (PDF), PEX and GCCO Dashboards, CCAR 14a & 14q
• Developed test plan, test strategy, test cases, testing schedule, entrance/exit criteria and daily RAG status to upper management, highlighting any potential risks to teh project
• Managed defect triage calls wif both on and offshore teams (US, UK, Pune and Singapore) to resolve outstanding issues
• Reviewed BRD and FSD requirements for multiple projects wifin teh BCBS 239 and CCAR initiatives, test environment preparations, entitlements, test data, and provided analysis and feedback to key stakeholders

Regulatory Analyst III -

Confidential

Responsibilities:

• Managed a multitude of regulatory cases, including regular sweeps, investigations, and employee tips
• Conducted daily, quarterly, and annual reviews of member firms' submissions to teh Large Option Position Reporting system (LOPR), position limits, exercise limits for listed/OTC derivatives, and investigated OCC Adjustment Cases
• Drafted regulatory inquiries and corresponded wif compliance departments of member and member firms; including teh review and accuracy of risk policies and procedures

Sr. Consultant/UAT Analyst

Confidential

Responsibilities:

• UAT resource responsible for testing Merrill Lynch’s ‘Merrill One’ advisory platform on new and enhanced functionality, replacing Consults, Mutual Fund adviser (MFA), Personal adviser (MLPA), Personal Investment Advisory (PIA), and Unified Managed Account (UMA) legacy platforms
• Worked closely wif internal teams (Development, Project Managers, Business Analysts, and Production Support) to ensure highest level of quality for software releases. Involved in teh test case walkthroughs, assessment meetings wif business users and technology. Supported production environment validation on release weekends. Reported and tracked defects in Quality Center (ALM). Developed detailed Test Plans by analyzing Business Requirement (BRS) & System Requirement (SRS) documents.
• Expertise in preparing test case and test scripts taking into consideration of all possible positive and negative scenarios for system integration & functional testing. Validation of data in KD (CICS) mainframe system for client details including; client documents, partnering pools, proxy elections, strategies and investment selections.

Sr. Business Analyst

Confidential

Responsibilities:

• Enterprise Payment Hub (EPH): Phase 4
• Lead project deliverables related to Roles and Responsibilities / Job Descriptions (Future State) wifin Change Management identifying location and business impacts
• Created future roles and mapping across legal entities
• Supported teh documentation of scope for Final Migration and Co-existence Project Plan, and Global Utility Organizational Structure

Sr. Consultant/UAT Analyst

Confidential

Responsibilities:

• Responsible for UAT testing and operations for various projects related to Capital Markets wifin MSWM risk desk
• Administrated key integration projects related to Morgan Stanley / Smith Barney merger. Organized testing and helped lead Split Order flow initiative for teh FI products area including Corps, Agencies, Treasuries, CDs, MBS and Municipals
• Performed comparative data analysis of fixed income assets using yield/price calculations and derived values between Morgan proprietary FI platform and Bloomberg’s trading system
• Managed and administrated detailed interaction exercises wif third party electronic trading vendors and software (KCG BondPoint (Valubond) and BondDesk, on and off shore development groups, and multiple projects involving a broad range of technological architecture
• Tested complex Option and Equity Ticket enhancements for execution strategies based algorithmic trading surrounding teh firm’s EMS trading platform
• Responsible for project teams deliveries, weekly status reports, PMO analysis, project planning and management, interaction wif business users and resource management
• Responsible for Test Planning, Use cases, Test cases, Wireframes, Testing, Messaging, Defect tracking, Sign offs, Regression testing, User training and Trade Support
• Fixed Income/Credit Market (Agencies, Corporates, Currencies, Municipals, Preferreds, CDs, Structured Investments and Treasuries)
• Precious Metals (Physical)
• Applied advanced noledge of algorithmic trading strategies for buy and sell side firms, advising and monitoring traders by managing risk through equities, options and futures for such firms as Diamondback Capital, Millennium and Columbia Management
• Analyzed, tested and investigated order flow and trade execution quality between OMS/EMS platforms for both client and ITG’s trade desk
• Reviewed test execution quality of ITG’s equity algo suite against competitors such as CSFB, UBS, Citi, GS KCG and REDI