SUMMARY

• An IT Professional 9 years of experience as business analyst in IT and overall 11 years of experience of Capital Markets domain. Including 2 years of work experience in Business Side.
• Business analyst with Cross Functional understanding and domain expertise of Capital Markets developed through work experience in Equities, Derivatives, Commodities, Mutual Funds, and FX markets.
• Experienced in the Finance domains with exposure to Investment Banking and Global Capital Markets
• Implemented and maintained Millennium Exchange platform for Equity and Commodity Exchanges.
• A Resource verse with Handling Business analysis, Requirement gathering, software Development, Gap analysis, UAT environment setup and multiple software implementation’s.
• Experience of working on different versions (4.2, 4.4, 5.0) of FIX protocol, analyzing fix messages and tag values to aid smooth order routing, refining data flow for various scenarios in specifications.
• Experience in preparing Business Requirement Document (BRD/BRS), converting business requirements into Software Specification (SRS) and doing Functional Testing for checking the specifications.
• Good understanding of Phases in Order and Trade life cycles, such as account setup, transactions generation, transactions executions and transactions settlement including Post Trade transactions
• Technical skills in MS SQL, oracle SQL, Databases, data and message routing, web servers, MS Access, application architectures and flow, data modeling diagrams(UML), MS Office, MS Excel and MS Visio
• Excellent skills in performing Gap Analysis, Feasibility Analysis and (SWOT) Analysis to check the compatibility of the existing system Infrastructure and server technology with new Business Requirements.
• Exposure in various projects for development of different functionalities and application’s through Software life cycle stages and encompassing different order life cycle stages.
• Exposure in development and enhancement of various applications for functions in trading, order and executions, market data, risk management, back office, delivery, funds transfer and clearing and settlement
• Experience of working on various front ends and trading system for different instruments and market types.
• Worked on development in Trading, Order management system(OMS), surveillance, clearing and Settlement, Market data, Delivery, ISV solutions and Risk systems(QRMS) for multiple software platform.

TECHNICAL SKILLS

Databases: Microsoft SQL Server, Oracle, Sybase 15

Operating System: Linux, Windows

Platforms: Data streaming, Order Routing, Exchange Solutions, Pre & post Trade Risk management &Compliance, ISV solutions, Accounting, Corporate Actions, Trading and Market Data gateways

PROFESSIONAL EXPERIENCE

Confidential

Lead Consultant

Responsibilities:

• Ascertaining Requirements from business users regarding processing of corporate actions, current process flow, pain points and Functionalities required in new Corporate action and accounting system
• Interacting with Vendor teams from Sim corp and AIM Software for explaining and freezing business requirements, understanding features of the product and tracking project status.
• Interacting with Data feed vendors for finalizing specification of data feed request and data delivery in swift format. Helping in conducting testing of feed delivery and Assimilation By CADM
• Helping in Conducting User testing by running full cycle of corporate actions. Event receipt/scrubbing, Elections, Entitlements and Account posting. Identifying issues in the product, tracking issues identified till resolution. Interacting with vendors for resolution of Issues.
• Made requirement documents covering security static universe creation based on current holdings, transport of security universe files to feed vendors, creation and transport of corporate action feed by vendor, Receipt of files by CADM and creation of golden copies of corporate action.
• Worked in different tracks supporting migration from GIM2 Accounting platform to Simcorp
• Performed Analysis for ascertaining the interfaces and touch points for pricing domain. Analyzed the data points and connections to ascertain the relevant interfaces and data points. Worked with the application SME’s to identify the core and periphery Attributes
• Worked with migration stream to ascertain the data to be moved from GIM2 2 to Sim corp. Worked on Requirement documents, SRS and data mapping sheets for this exercise. Created Technical documents which formed the base for creation of informatica Jobs for migration of data.

Environment: SIM CORP, AIM GAIN CADM, Swift Messages, Data feeds

Confidential

Responsibilities:

• Worked on defining and consolidating the requirements In Jira for development, updating the stories with relevant points for analysis and development.
• Keeping track of the development effort and time, working with the development team to increase development quality and reduce the development effort.
• Organized knowledge sharing session for the development team for imparting them knowledge about the concepts of capital markets and FIX protocol
• Defined various functional test scenarios for the stories and executed test cases to ensure the development met the acceptance criteria and didn’t affect other flows.
• Participated in story prep sessions and ironed out all the missing scenarios from the scope of development and testing. Brought trading and market understanding to the team
• Was involved in upgrade from fix version 4.0 to 4.2 and 4.4, helped in development of upgrades for crossing network and dark pools.

Environment: Order & Execution management system, Fix Protocol, Crossing network, Dark pools, Brokerages

Confidential

Business System Analyst

Responsibilities:

• Defining the format for outbound XML to PIMCO for Corporate action information based on SWIFT MT 564 and ISITC documentation for corporate action communication.
• Defining the format for incoming elections on corporate action options for different account positions held by PIMCO, and source of data for constructing SWIFT MT 565 message to the custodians.
• Interacting with Corporate action team for understanding the requirements for corporate action platform changes for CA information and election.
• Coordinating with the State Street GCAS team to define the Incoming XML file data attributes in accordance with market standards and defining file delivery mechanism.
• Validated the inbound xml files with the corporate action notices to ascertain availability of different elements on the incoming xml files.
• Defining the solution for posting of accounting entries for corporate action transactions as a part of middle office setup.
• Validated the outbound xml files generated against the outbound XML format, and against the inbound xml file received from COE for corporate actions.
• Running queries in SQL to validate the incoming data being inserted into relevant tables, and updates to tables being done through the CAMEL UI.
• Made the test plan, designed the test cases and executed test cases to validate code changes in Alpha and Beta environments.
• Implementation of the release in different environments, coordination with users within IMS and PIMCO for ascertaining their inputs and feedbacks.
• Making changes to specification based on inputs by business users and getting the necessary changes developed and tested.
• Viewing logs on UNIX and windows servers for troubleshooting and analysis. Identifying issues if there are any discrepancies.

Environment: UNIX file system, XML files, Swift and ISITC specification, corporate action Platform.

Confidential

Responsibilities:

• Understanding the Fed rules for Liquidity Coverage Calculation for different classification of liquid cash, Inflows and Outflows
• Defining the attributes for different categories of inflows, outflows and cash/liquid assets in accordance with the regulatory requirements and feeds being received from various source systems
• Analyzing the data feed requirements from various source systems and extract requirements for LCR calculations, understanding the requirements and capturing the requirements in requirement documents.
• Defining the test execution plan and strategy, helped in writing the test cases for all the data capture and data extract requirements
• Helped in design of the solutions, reviewed the design with development team and technical architect.
• Ironing out issues in development with the source teams and LCR solution development team, giving inputs and clarification for getting the development done speedily and in line with the requirements.
• Worked with Project Manager for Project Planning, Project charter, Scheduling and project kick off meeting. Identifying business process and enhancing business processes
• Validate the development piece by helping conduct the SIT, UAT and Production validation.

Environment: Fed Rules for LCR, Asset and liability Data, MS office suite, SharePoint

Confidential

Business Analyst

Responsibilities:

• Worked with Project Manager for Project Planning, Project charter, Scheduling and project kick off meeting. Identifying business process and enhancing business processes
• Drove project evaluation, requirement gathering and scoping phases of new business initiatives.
• Interacted with the Subject Matter Experts (SMEs) and Stakeholders gathering business requirements to get a better understanding of the business processes.
• Interacted with key business users and end users for gathering the requirements and validate the current requirements against them.
• Gathering of Requirements from business users for various flows of existing applications for Research
• Provided status reports with the project team to track progress against plan.
• Documentation of the requirement as application processing flows and input analysis documentations
• Analysis of Feeds and Market data inputs and Software output files for finalization of information intake and output
• Analyzing pseudo code for determining the application functioning, processing of data, calculation logics and data filtering logics.
• Working with feed vendors like Activ, Factset, Bloomberg, Reuters and yahoo
• Making specification documents for development team to develop the application
• Meeting and discussing with business users and technical team the scope and running of application
• Going through legacy code and trying to find the processing and flow of information

Environment: SQL server, Investment research, Paradox system, Data feeds, Agile (Scrum) Methodology

Confidential

Responsibilities:

• Gathering of requirements for trading, surveillance, risk management and clearing solutions, project management for implementation of clearing solutions and integrations of data from various third parties into the matrix. Integration of front office, middle office and back office systems.
• Reviewing specifications for order management system and market data systems and checking their validity with required functionality and market practices.
• Creating and reviewing functional and business specification for trading, clearing and settlement, surveillance, post trade gateways and risk management solutions.
• Requirement gathering for Millennium IT solutions and implementation of solutions for equity trading platform and clearing and settlement solutions.
• Interaction with banks and depositories for freezing settlement flows and process, design and review of files for exchange of information on funds and stock obligations.
• Implementation and fine tuning of Smart Order Routing solution based on transaction cost analysis.
• Interaction with Market data vendor’s and ISV’s developing solutionsfor exchange, analyzing functional issues and giving clarifications.
• Validation of specifications of FIX,FAST, NATIVE, MITCH and DROP COPY gateways, testing of messaging to ensure compliance with the protocol specification and business messaging
• Validation of test cases prepared by the QA team and functional testing of key scenarios for trading, risk management, clearing & settlement and risk management
• Logging issues in JIRA and abacus applications, Analysis and trouble shooting of issues through simulation and log analysis. Ironing out of issues in solutions through interaction with Development team and Client.
• Fix gateway functional support and Fix connectivity support (version 5.0),Working on FIX for interactive data flow, identifying and analyzing messages and tags for issues and clarification of scenarios for smooth order routing and proper functioning of functionalities based on FIX.
• Testing various scenarios for fix order routing on new fix binary version releases, communication of the changes made to third party vendors, holding UAT session for Fix order flow testing.
• Workings closely with the exchange software vendors and third party software vendors to make the fix operations smooth and in line with the global standards of Fix functioning.

Environment: Oracle, Exchange solutions, Clearing Solutions, Risk Management Solutions, Surveillance solutions, Fix and ISV solutions, Trading solution, SOR, MS Visio, MS Project, MS - Office Suite, Oracle SQL

Confidential

Business Analyst

Responsibilities:

• Working on Millennium exchange solutions platform for trading, clearing, delivery management, exchange operations, risk management and surveillance. Coordinating with millennium team for various issues and enhancements in the current system and future releases
• Interacting with business users for collecting and finalizing the requirements for various components in exchange system, validating requirement documents for the functionalities to be developed. Ascertaining requirements across front office, middle office and back office sphere.
• Looking after ISV documentation and process, interacting with ISV vendors, market data vendors and members for smooth operations and trading in ISV setup, conducting software audits for vendors of IS
• Managing new releases and enhancements to the system, using test systems for testing of new release and changes in functionalities, conducting mock trading for members to get them accustomed to the changes, gathering feedback and results from various stakeholders to identify any issues
• Tracking issues being faced in the production environment, reporting issues through issue reporting and tracking application, and escalating them, testing in UAT environment for issue recreation and resolution tracking. Using UAT systems to check specific changes planned in production.
• Answering to queries on market data and exchange system functioning from vendors like Bloomberg, Reuters, capturing market data UDP feeds and analyzing them for any issues and clarifications
• Managing RFC’s and CMR’s for any operational changes to be done in the production system
• Deviation analysis and troubleshooting for issues reported and recommendations for solutions.
• Retrieving business requirement data from Oracle SQL tables by running queries in TOAD.
• Working on FIX for interactive data flow, identifying and analyzing messages and tags for issues and clarification of scenarios for smooth order routing and proper functioning of functionalities based on FIX.
• Testing various scenarios for fix order routing on new fix binary version releases, communication of the changes made to third party vendors, holding mock test and UAT session for fix order flow testing.
• Getting changes done in fix server binary and fix BRS for fixing issues and addition of new functionalities.

Environment: Oracle, Millennium Exchange Solution Suite, FIX and Market Data Gateways, Fix applications, CTRM (Commodity Trading and Risk) Oracle SQL, TOAD, ISV vendor systems, Operations applications MS Visio, MS Project, MS-Office Suite

Confidential

Responsibilities:

• Gathered and documented current & future state business process flows and recommended solutions.
• Determining the feasibility and deliverability of the project by doing analysis of the solution requirements and the proposed solution.
• Planning for project execution and application development, holding discussion and framing guidelines for functional and technical specification, deciding application functioning and application design.
• Making application guidelines, introduction documents, functionality specification, solutions design documents and concept notes for starting the application development process.
• Making detailed business requirements documents(BRS) and software having details of the GUI windows, design of GUI windows, messages being received, connectivity of the application, classifications and grouping of messages, reading and display of messages and calculations to be performed in display of data.
• Making application data and process flow diagrams, front end windows design and defining data to be displayed in the front end windows, linking of columns to various FIX tags for retrieving values.
• Defining the process and functionality requirements for the functionalities and process to be developed
• Design of various file formats for the providing the terminal information, consolidation of data for feeding, return file format for mismatches reported in validation of data
• Defining the scripts for performing various functions, getting the development done on scripts and testing the outcome of the scripts.
• Pilot test of the functionality and implementation through release of documentation to members.
• Options BRS design and system preparation for implementing options trading in exchange systems
• With the clearing team from compliance angle
• With network team from security angle,
• With the development team from the deliverability angle.
• Making diagrams for explaining all the transaction flows and process flows in the mechanism.

Confidential

Business Analyst

Responsibilities:

• Aiding in Implementations and installation of the solutions across various client places
• Meeting various clients and brokers for Demo of solutions and resolution of queries/issues
• Giving functional support to clients, handling Risk Management related queries in regard to use of the product, giving product training and pre sales presentations to Business users.
• Managing schedules/timelines, Issue escalation tracking and Resolution in a timely manner, Coordinating Product delivery/releases, Functional testing.
• Tracking Project status and New Requirements, Change Requests and UAT coordination with Business users.

Confidential

Responsibilities:

• Developed Use Case diagrams, business flow diagrams, Activity/State diagrams and Sequence diagrams to easily convey the projects process and requirements to developers and other stakeholders.
• Setting up trading and risk solution setup for equity, commodity and currency platform and implementing new structured products, making functionality documents for new features desired.
• Interacting with Multiple Exchanges for Market data and Interactive data specification changes, conducting mock trading and CTCL Audits. Coordinating with exchanges for connectivity and latency issues
• Business impact analysis of Requirements and Functionality Changes in Capital market solutions: Trading and Risk management (Stocks, Commodities, Forex and Equity derivatives)
• Client interaction with Business and IT teams for requirement finalization, GAP analysis, tracking issues reported and coordinating with development team for early resolution.
• Giving functional support to clients, handling Risk Management and surveillance related queries in regard to use of the product. Pre and post implementation support for product
• Collateral and cash management upgrades for RMS, Development of collateral upgrade utility which was taking equity for collateral calculation and updating haircut based on prices.
• Deviation analysis and troubleshooting for issues reported and recommendations for solutions.
• Implementation of new functionalities, features, upgrades and enhancements in Trading and risk management software. Managing UAT environment for testing and implementation support.
• Giving business logics and Functional specifications for Development of applications, making BRS for client requirement signoff, making SRS for aiding development process.
• Managing the entire project life cycle, duration and guidance, and preparing roadmap for implementation and deployment of the solution. Key role in ironing out of issues with the clients.
• Implementation of mutual fund module and asset management module (ALM) for online transactions.
• Getting development done for new functionalities like commodity limits and MTM calculations
• Creation of Test cases and Testing for functionalities of Trading front ends and Risk Management solutions. Testing of new patches and fixes being given by the development team
• Introduction of Horizontal Scaling and SQL database replication for performance improvisation, system load management and load balancing. Identification of problems in software code through analysis of information of stored procedures, functions being identified through SQL profiler.
• Managing changes in Different Exchange’s API and functionalities for 3rd party CTCL solutions.
• Tracking market data and Reference data through data tools, measurement of bandwidth of market data in TCP and UDP streams, testing of new components for optimization of market data streams.
• Using knowledge of SQL database, system architecture and various system components for effective migration, diagnosis for issues and new product enhancements to aid implementation.

Environment: MS SQL Professional, Trading, Risk Management and Market data systems, SQL and Communication networks, TRM (Trading and Risk), CTRM (Commodity Trading and Risk) MS Visio