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Assistant Vice President Resume

Cary, NC

SUMMARY:

  • Confidential is a senior level Business Analyst / Systems Analyst / Quality Analyst / Data Analyst / Project Manager. She possesses around 14+ years of experience in the field of Investment Banking, Finance, and Information Systems.
  • She is an expert in Front - Office, Middle-Office, Back-Office trade processing and operations. She possesses knowledge of all the aspects of the trading life-cycle including initiation, execution, confirmation, settlement, post-settlement and cancellation of trades, transaction reporting to Confidential, SWIFT messaging categories 1,3,5 MT5xx messages and structure (category, group, type), Deltek Costpoint Human Capital Management, Time and Expense modules.
  • Experienced working with both buys side and sells side firms.
  • Participated in business requirements and design sessions to address specific needs. Gathered and documented stated business requirements and obtained agreement with business partners that stated requirements will meet overall business objectives
  • Produced/maintained artifacts required for stated development methodology artifacts (e.g. BRD (Business Requirements Documents), FSD (Functional Specifications Documents, etc.)
  • Translated business needs into functional requirements to support processes, organization and technology changes. Worked with solution architecture to translate business requirements into complete business solution design.
  • Worked with business and technology partners to document functional requirements and prepare use cases. Conduct use case review with business and technology partners.
  • Experienced with multi-tasking, trouble shooting, ticketing, tracking and change management.
  • Provided in-house and 3 rd party vendor application support in resolving the issues reported by the users.
  • Participated in project scoping and budgeting. Participated in the reviews and signoff of both system requirements and technical design documentation. Maintained issues list related to requirements and tracked issues to resolution. Participated in the analysis of current processes and recommendations for process improvements.
  • Participated in the review and validation of QA test plans, test cases to ensure requirements have been met.
  • Worked with business partners and technology teams to define, coordinate and execute User Acceptance Testing (UAT). Managed/developed content to support end-user training
  • Worked with business & technical support teams to plan/execute transition of new users, process, technology from "development" into the appropriate production support processes. Provided Production Support as needed.
  • Very good understanding of Performance Measurement, Attribution and Risk Analytics for various Fixed Income and Equity funds and securities.
  • Established relationships and initiated discussions with business users, product managers, architects, Portfolio Manager’s, Traders, SME’s, Market Data Vendors and internal and external groups to define project requirements and drive system design across complex platforms.
  • Have independently worked on multiple development project related to Fixed Income and Equity Trading Technology deliverables. Provided input on based on current/future project requirements.
  • Handled escalated issues or small customer projects/activities by directly interfacing with customers
  • Partnered with investment professionals, engineering, external divisions and vendors to coordinate the complex and creative portfolio of work.
  • Lead the strategy, business analysis and user adoption of multiple technology initiatives. Defined and managed scope, including change control with the business and engineering teams.
  • Prepared detailed requirements documentation and specifications including use cases, context diagrams, business process flows, etc.
  • Taken part in all aspects of the development life cycle for developing applications. Worked with development, QA, and backend database teams to ensure as a collaborative virtual team, the cumulative project work is a success and delivery is on time as proposed to the business
  • Documented and maintained progress of stories, iterations and releases for projects through use of project management tools like MS-Project.
  • Used Excel Pivot Tables for formatting the raw data and presenting reports to the higher management.
  • Reviewed/participated in defining test strategies, as well as coordinate functionality and user acceptance testing efforts. Expert in elicitation techniques such as interviews, questionnaires, brainstorming sessions, Prototyping, Focus Groups.
  • Experienced in creation of Wireframes, Use Case Scenarios, Test Plan, Test Cases, Business processes, work flow diagrams, state chart diagrams, Timeline and data process flows . Have played active role in Project Management. Very good understanding of Web Services.
  • Knowledge of Investment Management Security Master and Reference data for Equity and Fixed income instruments. Knowledge of market data services and data coming from vendors like Bloomberg, IDC, Markit, Reuters, etc.
  • Have worked on budgeting, Human Resources, Time & expense management systems like Deltek Costpoint, HR Online, Clarity, PPMC, etc.
  • Very good understanding of Dynamics CRM.
  • Very good understanding of SWIFT messages to do with (System, Customer Payments and Cheques, Financial Institutional Transfer, Collection, Security Markets, Settlements, Cash Management, etc)
  • Gained experience and very good understanding of SWIFT messaging categories MT5xx messages and structure (category, group, type).
  • Very good understanding of Moody’s Credit Risk Ratings. Very good understanding of Charles River IMS 9.1.4, Compliance (Pre-Trade & Post-Trade), BASEL II Credit Risk, Operational and Market Risk, Mutual Fund Compliance, and SOX Compliance.
  • Experienced with identity and user access management applications, authentication and RSA SecurID.
  • Very good understanding of Mortgage Lending.
  • Very good understanding of Trade Order Management (OMS) systems like CRD’s Charles River IMS 9.1, Latent Zero, Calypso, COMET, mainframe application (AS400), EAGLE STAR, Bloomberg’s Market Data Monitors, Desktop, Portfolio Tracker and Live Quote and Reporting applications like SSRS, Crystal Reports, etc.
  • Very good understanding of ACH, Wire Transfers and Check Deposit processes.
  • Expert in UML Diagrams, GUI Testing, UAT, Manual, Functional, Regression, Performance Testing of Web Services (XML, WSDL, .XSD), Client/Server & Web based applications.
  • Involved in Backend database testing in Oracle, Sybase, and SQL Server using SQL. Developed Test Plans, Test Scenarios and Test Script.
  • Proficient in all cycles of test life cycle from test planning to defect tracking and managing defect lifecycle.
  • Experienced in coordinating test effort, responsible for test deliverables, status reporting to management, issue escalations.
  • Designed and implemented SQL simple and complex queries using joins, unions, left outer join, right outer join, group by and aggregate functions to extract data from different databases (Oracle, SQL Server) for timely reporting, Data Analysis and Validation.
  • Very good understanding of Application Architectures and Database concepts like Data Warehousing, Data Structures, Schemas, Data Marts, Data-Entity relationships. Skilled in data mapping.
  • Possess a positive attitude. Ability to learn quickly and take up new tasks and responsibilities. Ability to lead a team.
  • Strong analytical skills, problem solving skills, Strong work ethics, taking ownership of all duties and responsibilities, efficient time management skills.
  • Excellent verbal and written communication skills and can work effectively in cross-functional team environments and experience of providing training to business users.

TECHNICAL EXPERTISE:

Packages: MS-Visio, Rational Requisite Pro, Rational Team Concert (RTC), RSA AuthenticationSSO, UML, Lotus Notes, MS-Outlook

RDBMS: MS SQL Server 2008, Oracle 8i/9i, Oracle 10g/11g, Client MS Access, TeradataPL/SQL Developer, TOAD, SQL Assistant, Sybase, Rapid SQL

Operating Systems: Windows XP/NT 4.0/2000/98, UNIX Solaris, Linux

Office Suite: MS Office (MS-Word, MS-Power Point, MS-Excel, MS-Project, MS-Visio, Pivot tables) Acrobat, SharePoint, TFS, Clarity, Deltek Costpoint HCM (Human Capital Management), Time & Expense Management, Dynamics CRM, PPMC, Rational RTC, Discovery, and Quickplace, Confluence, JiRA

Reporting Tools: Crystal Reports, Microstrategy, BRIO, OBIEE, Cognos (Reporting Studio, Query Studio and Analysis Studio), Vermillion VRS, Equipos Coric

Defect Tracking Tool: Mercury Quality Center, ALM

Performance Testing Tool: Load Runner, Load UI, HTTP Watch

Functionality/Automation:

Testing Tools: QTP, Win Runner, SoapUI

SDLC: FSDM, Waterfall, AGILE/SCRUM, RUP

Trading Platforms: Charles River OMS (CRD) v9, Latent Zero, Calypso, COMET, AS400, EAGLE STAR

PROFESSIONAL EXPERIENCE:

Confidential, Cary, NC

Assistant Vice President

Responsibilities:

  • Worked on a broad variety of projects to do with Equity trading, Prime Brokerage, SWIFT messaging upgrades to do with different regions (US, UK, HK, TK), IETF’s settlement via Euroclear, French and Italian Tax Reporting, Markets Prime Finance Reporting, Confidential Reporting, etc using the Agile SDLC.
  • Gained a strong understanding of the trade lifecycle and equity clearing and settlements flows for US, UK flows.
  • Gained a strong understanding on various components like Trades manager, Instruction manager, Lifecycle manager, Booking Manager, Send Receive Manager, etc.
  • Reviewed and accepted BRD. Wrote FSD’s (Functional Specifications Document) based on the accepted and business signed off BRD.
  • Worked collaboratively with Dev and QA teams. Reviewed test plans, test cases, and test data & support test execution cycles
  • Provided project status reports and L0, L1 project estimates for upcoming deliverables.

Confidential, Boston, MA

Business Systems Analyst/Quality Analyst

Responsibilities:

  • Understood user requirements for the new Investment compliance rules and also for the changes to the existing rules and stored procedures.
  • Tested various types of investment compliance rules assigned to different funds relating to country, issuer, security, sectors, benchmark, High Yield Pooled Portfolio's, minimum and maximum range rules using simple and advanced SQL queries.
  • Tested various compliance business rules using Fixed Income, Equity and Derivative trading systems like MOM, DIVA, FITS.
  • Created User Guides for the in-house trading and compliance systems.

Confidential, Boston, MA

IT/Finance Business Systems Analyst/Quality Analyst/ Project Manager

Responsibilities:

  • Participated in the CRD Implementation by defined application user requirements and made recommendations regarding system functionality of any pre-trade (What-If Tests) and post-trade (Update) compliance violations to do with Restriction, Aggregate and Fund Monitoring.
  • Did Web Services xml, xsd functionality, regression testing by using Soap UI for various trade scenarios including single, multi trade and basket trade requests for different clients trading in Fixed Income, Equity instruments.
  • Did business analysis and worked with business teams to get all the open questions answered on Repo & 2A7 Liquidity Testing project.
  • Responsible for the technical examining, designing and recommendations on this system. Gathered information, organized documents explaining existing processes.
  • Worked with business partners where applicable to help present and explain proposed solutions and issues. Worked with the developers to define and document proposed solutions.
  • Participated in preparation of Test Strategy and researched application problems as part of root cause determination. Build a great rapport and relationship with the clients.(FIL CRD & FCM)
  • Worked on mainframe application iSeries (AS400) & COMET Applications for compliance verification messages.
  • Ran simple and complex SQL queries for backend testing to verify the expected behavior of the incoming request and generate reports.
  • Worked on various OBIEE Reports. Created Wireframes for Fund compliance reports, Created Test Plan and Test Scripts for multiple projects.
  • Worked on CRD IMS v.9 trading system. Worked on Fixed Income and Equities data.
  • Defined the pricing logic, pricing factor and exchange rates to be used from the incoming request or local database or cache specific to client requirements.
  • Worked on multiple projects including compliance integration with Fidelity Capital Markets (FCM).
  • Created CRD & FCM Support model documents and trained the users on escalation procedures to different Alarmpoint groups.

Confidential, Boston, MA

Sr. Business/ Data Analyst

Responsibilities:

  • Conducted Gap Analysis, Data Mapping, Differences analysis
  • Identify data quality issues and follow up with SOR’s to correct them.
  • Reviewed SQL and Java code. Studied high level architecture diagrams to do with the project to better understand the systems, repository and downstream systems.
  • Extracted and reviewed the incoming vendor feeds coming from different sources. (Advantage, VMaster, Murex, Calypso, Aurora, Finman, Genesis, Investran, Martini, KTEK, ORCA, RAFT, Sierra, Summit, PDT, etc) related to reference data and security master data to do with Equities and Bond instruments like Swaps, Bond Options, Swaptions, Credit Derivatives, Debt FRA, Debt Opt, FX FWD, Equity Options, FX Options, etc.

Confidential, Boston, MA

Business Systems Analyst

Responsibilities:

  • Worked on data mapping of User navigation screen, Tasks to the Oracle database table and field names.
  • Worked on Test Plans for Fiscal Year End Tax (FYE), Excise Tax and Dividend Distribution.
  • Worked on Test Scripts for FYE, Excise and Dividend Distribution Taxes.
  • Worked on UI Testing for FYE, Excise Reports, features and functionality.
  • Reviewed BRD, Use Cases, EAGLE Star mapping documents to the Tax Efficiency Application Database.
  • Created wireframes for Confidential Dashboard and User Navigation Screens.

Confidential, Boston, MA

Systems Analyst

Responsibilities:

  • Worked on Support Models for different Equity and Fixed Income trading applications used by Senior Executives, Portfolio Managers, Traders and other users.
  • Worked on Support Models for Fidelity Capital Markets Equity Trading, Electronic Trading Applications, Prime Brokerage Services, Securities Lending, Portfolio Margin, Co-Location Project, International Trading Project, Client Commission and many more.
  • Gained knowledge on different Equity Investment Applications like FBSI, Active Trader Pro, Fidelity.com, RouteHub, CrossStream, The Brokerage Xchange, Fidessa EMS, Real Tick, IEQ, CCA, FBSI, etc. Prime Brokerage applications like Rate Management, Portfolio Margin, Advent Geneva and more.

Confidential, Boston, MA

Business Analyst/Quality Analyst

Responsibilities:

  • Provide Measurement System (DQS Application), Provide Metrics, Implement Data Quality Stewardship Program to drive ownership and accountability, Enhance DQS Application in alignment with overall Basel II Initiative Roadmap, Support E2E Testing Process, Partner and stay connected with other enterprise-wide DQ initiatives. In corporate the necessary enhancements or new data elements related Final Rules.
  • Experienced FSDM, Agile and Waterfall SDLC.

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