Summary:

Lead Data Architect with in depth knowledge of Investment & Brokerage IT, Oracle, Enterprise Data Modeling Standards and Best Practice, Conceptual, Logical and Physical Data Models, SQL, PL/SQL, Normalization, Data Warehousing, ETL, BI, Data Governance and Metadata repositories. An 18 year history of Brokerage and Asset Management Financial IT. Full SDLC systems development.

Confidential, Orlando, Florida. Enterprise Data Architect Nov 2011 to Present

Environment:Oracle 11 g, Java GUI, Business Objects Reporting, Informatica ETL, ER Studio Data Modeling tool.

The Program: Disney’s Next Guest Experience. A re-engineering of all guest ticketing, hospitality management purchasing, traffic control and messaging. The project is secret and I cannot give any further details.

Responsibilities: Data Modeling standards and review for the Data Warehouse, mentoring project level data modelers, PL SQL coding and Trigger coding. Coordination of Storage, Retention, Archiving and Purging requirements.

Confidential, Solutions Architect for their Financial Services Team Mar 2011 to Oct 2011
Based in MA

Engagement at Wells Fargo, Charlotte, NC. Performed data flow analysis on Vendor Securities, designed database tables to hold the metadata and data lineage information, designed data lineage and data utilization reports, wrote loading logic, worked with offshore team on the design of iGatePatni’s data lineage tool RADAR.

We produced reports on data overlap with a view toward Vendor cost reduction, reports on data utilization for Cost Allocation, detected badly tuned SQL for optimization and made recommendations for further investigation and design of a proposed Securities MDM.

2 months researched for a counterparty risk management engagement contract that was never implemented.

2 weeks training in Asset Control, an MDM tool for a Securities Master System similar to GoldenSource.

Confidential, Dec 2009 to Dec 2010
Denver, CO

Environment:Oracle 11 g, .Net and C# GUI, Cognos Reporting, Informatica ETL.

The Program: is an EIM system integrating various vendor application and feeds such as Charles River, DIMESION, SalesVision, SAP and Sales Connect to create a MDM of Advisors, and Product and to produce a Data Warehouse of Assets and Flows.

Product Master Data Management System The system takes a spreadsheet of the approximately 250 Mutual Fund Share Classes containing business approved master data and loaded it to a Golden copy area. The system, accepted feeds from four source systems and presented the data side by side with the master data. It has a GUI front end written in C# and .NET. Its ETL is written in Informatica and the database is Oracle 11g. As of this writing it is fully implemented and has been used to resolve over 1500 discrepancies of master data in the source systems. It is slated for expansion to other Product and additional source system feeds.

Assets and Flows Data Warehouse and Data Store The system is a data warehouse of Asset and Flow information with Informatica Feeds, an Oracle 11g database, and a Cognos Framework front end.

Duties Include: Data Modeling LDM and PDM of the Product MDM, the Product Data Warehouse area and the Product Dimension for the Data Stores. Both Star Schema and 3rd Normal designs were used for different areas. Authoring Source to Target Mappings for the ETL developers. Working with the Informatica ETL developers and the Cognos Framework Developers. Assist in ETL debugging and testing. Assist in Cognos Report development, advising on Framework structures and SQL Mentoring developers. Presentations to the business and senior IT management. Assist with BA and DA of source systems. Data Definitions and Data Lineage coordinated in a Metadata system.

Confidential, Data Architect (Consultant) March 2009 to Nov 2009

Wellington Management, Lead Data Architect July 2006 to Dec 2009
Our environment was a set of Oracle databases with Development, Test, Stage and Production instances hosted on Fujitsu Solaris Oracle 9i and Oracle 10g servers. We briefly migrated to IBM AIX but decided to go with additional Sun Solaris Oracle servers.

Day to Day Data Architecture Duties included:
Create, review and establish data models for various Wellington applications.
Review, perform impact analysis, publish to concerned parties and approve any data model changes to the applications
Requirements gathering with Application and Business teams.
Create standards and procedures for data modeling, data movement best practice, data governance, and related matters.
Review and approved production DML requests.

This is a partial list of Application Projects supported at Wellington:

Global Trading System Fixed Income and Equities Trading system, Global Execution System a system to evaluate the best execution routing for a trade OTS A Fixed Income Trading system (being phased out in favor of GTS), PMW Portfolio management Workstation. An application to view, measure and adjust portfolio weightings, Performance Attribution a system that measured the performance of Portfolios against a set of benchmark indices or Portfolios, Imports from and supplementary reporting tables for GENEVA General Ledger System, Imports from and supplementary reporting tables for CALYPSO Trading Software, Pricing an end of day and start of day pricing time series repository, Holdings Securities held by particular clients as broken out from individual Portfolios, Pre-Trade Compliance . A Rules engine that reviewed a proposed trade to ensure that it met our client’s trading restrictions, Wellington Compliance standards and Risk Management requirements prior to execution, DataMart the core DataMart for all enterprise reporting on performance, benchmarks and client holdings, Security Master The Instrument and Security master data system containing security descriptions, ticker symbol cross reference, analyst ratings, risk exposure measurements, and corporate actions, Vendor Data Framework: a generic Vendor data loading system. This is meant to be a functional development Pattern for all Wellington Vendor data feeds, Account Information Master Data, FI a variety of applications supporting Fixed income investments and portfolios, Hedge fund a system to implement the restrictions on Hedge Fund trading for our Compliance Systems, Application Inventory, Batch Cycle Control System

Oracle 10g Migration Testing Coordinator and Performance Tuning

Trade History and Portfolio Performance Data Warehouse: Responsible for all additions and modifications to our Trade and Portfolio performance data Warehouse.

Created Data Models in support of a new SWIFT messaging function.

Data Warehouse ReDesign project. Our Data Warehouse, inelegantly and inaccurately named “DataMart” was showing its age and beginning to have scale problems. Redesigned the tables for more efficiency, added aggregated fact tables, reduced snowflaking and began to redesign the loading processes. Reviewed Aggregation Tool vendors.

Application Performance Task Force Served on a six member team to identify performance issues and ways to optimize the global performance of our application. Conducted research of common causes of Global performance shortcomings, and developed 24 improvement proposals, of which 12 were approved for implementation by management.

Cognos BICC Served on the Business Intelligence competency center for 18 months, assisted in the development of best practices and standards, and built Enterprise Framework models to be used to jump start Cognos development for Enterprise reporting. Certified in Cognos Framework Manager.

Oracle Globalization Best Practice Researched and authored a best practice standard for our development teams. The standard addressed such globalization issues as date/ time zones, multilingual support and data type issues that arise in a global environment.

SDLC Process Improvement At my instigation, we changed our engagement model from the late design stage of development to the later requirements gathering phase. This allowed us to do data sufficiency gap analysis, recommend best sources, recommend data model patterns for re-use, and have a voice in data movement and documentation. It had the added value that changes to the design encountered less resistance from the Development team because they had not already begun to code to it..

Data Object Ownership, Lineage and Dependencies Investigated and conformed theownership of Wellington Data Objects, our data object dependencies, and the application data flows which was recorded in MetaCenter. Gave presentations on Data Stewardship and got commitments to Data Quality from the responsible parties.

MetaCenter Metadata repository MetaCenter is a third party Metadata repository tool which we have loaded and customized with Oracle Express front end screens to enhance data discovery and data loading. This project was lead by another DA, I was his back up and participated in the selection, loading and customizing of this product. Managed our consulting resources and interfaced with the vendor.

Application Isolation Wellington’s main database systems have grown large and unwieldy. This creates business continuity and capacity issues. Engaged in migrating key applications to their own smaller servers to limit the damage caused by an outage, to make issue diagnosis easier and to ensure that key applications do not experience resource restriction issues. Identified the risk of data movement problems and acted to mitigate it with a planned Data Movement Policy.

Data Movement Standards Was key in predicting and remediating possible data movement issues caused by Application isolation. Engaged in developing standards and best practices for our ETL strategy.

One of the largest brokerage houses in the world with a global presence. DLJ, my former employer, was purchased by CSFB in Nov 2000.

Confidential,IT Data Architecture March 2002 May 2006

• Developed company wide standards for database models
• Developed Enterprise Data Model “blueprints”.
• Developed Enterprise Message Model “blueprints”.
• Design assistance for project data system designs
• Design assistance for project messaging
• Helped develop and maintain a standard data dictionary for messaging and database systems

The Data Architecture group supported Oracle, SQLServer, DB2 and Sybase models. The group also performed XML message modeling and design support for messaging.. We used ERWin, XML Spy, Rational Rose, UDS methodology, and UML.

SPIDER (Sybase) A portal system that supports all of Credit Suisse’s CRM, Loan Performance Metrics, Banker Training, Banker Expenses, Client Coverage, Client Performance, Bulk E-Mail, Document Control and other functions. Acted as the coordinator for all database changes, reviewed and provided design support for all new functionality and upgrades to existing processes.

AnswerBase (Oracle) A system for tracking the current state of all IT servers and applications including all ownership responsibilities, operational and dataflow interdependencies, development team contacts and disaster recovery provisions. Designed the database schema.

Unicorn a Metadata repository system later purchased by IBM. Vendor selection, functionality requests and bug reporting, loading the system with definitions, teaching developers how to use the system.

PMS (DB2) The “old world” Product Master System. Provided upgrades to tables and new structures to support integration of “old world” to new world”. Provided design support for all new functionality and upgrades to existing processes.

CMS (DB2) “The Old World” Client Master System. Provided design support for all new functionality and upgrades to existing processes.

ODIN (Oracle) “The New World” Product Master replacement system. Provided XML message design assistance and database design support.

Product Master Enterprise Data Model. Analyzed “best of breed” features of all in house Product Master systems and devised a logical Product master model to be used as a blueprint for company PM systems.

Trading / Transaction Enterprise Data Model. Analyzed “best of breed” features of several in house Trading and Transaction systems and devised a logical enterprise model to be used as a blueprint for company PM systems.

Loan IT (Sybase) A vendor system for Fixed Income Loan performance that hjas been extended with in-house functionality for additional reporting features. Provided design support for all new functionality and upgrades to existing processes.

Clearing NTPA (DB2) The primary clearing system for all Equities and FI transactions. Provided design support for all new functionality and upgrades to existing processes.

BEM Business Event Message an Enterprise Message Design for all Trade and Cashflow transactions. Participated in an interdisciplinary committee to arrive at message standards and a standard template for Credit Suisse XML transaction messages. . XML message design. Committee Participation.

Confidential,Sales Core Data Systems for Securities Sales (CSFB London) November 2001 March 2002

Managed a project to rationalize Client data feeds for Sales and Research. The design included a data warehouse, data cleansing system and real time messaging using Java and XML. This feed was central to a CRM system supporting the sales and Research departments.

Confidential,Systems Development supporting Equity Sales and Research (12/92- 11/00)

Development manager for multiple international projects in support of the DLJ International Sales, Research Analysts, Product Marketing, U.S. Institutional Sales, Retail Sales and various trading desks. Full system lifecycle involving business analysis, management presentations, design, database design, documentation, coding, integration, data migration from legacy systems, data maintenance, international roll out and training. Managed a staff varying from 5 to 18 programmers, trainers and support personnel in an international environment. Part of the development staff was in London and Hong Kong. The software was rolled out and supported at 5 international offices and 11 US offices.

Data Repository: Participated in the development of requirements for a company Data Dictionary / Repository. We evaluated various vendor applications including CA, Rochade and Unicorn. Unicorn was selected. Participated in the migration of data models and data definitions to the repository and the training of Project team members in its usage.

Managed the migration from Erwin 3.5.2 to 4.1

Project Manager and Technical Lead on Account Interest Monitor (AIM): A proprietary CRM system. This multi-million dollar project that had a business life of over five years and supported over 700 users in the USA, London and Hong Kong. AIM was a tool for Account Executives, Research Analysts and Sales Traders to record and share client contact information and to allow for retrieval of relevant client data. Its primary purpose was to focus Sales calls by allowing call lists to be generated either by manually entered Tickers or by a list of Tickers that were discussed in the morning Research meeting that was entered by Product Marketing.

Global Business Database (GBDB): This project was an umbrella project covering a set of sub-projects. Each of these projects intended to generalize a data set for use by all development teams. These data sets include: Syndicate Deals, IOIs, and Allocations via SynDesk; Multi-Currency Trade History; Multi-Currency Revenues; User Authentication and Session control; Document “tags”; Client Interest Profile; and Spectrum 13f reported Client Holdings.

Client Trade Summary (CTS): A data warehouse project intended to produce a repository of summarized trade data regarding our clients’ transactions. The database was designed to allow reports by Settlement date, Sale Credit Totals, Account Executives, Ticker, Research Analyst Universe and Sales Office Regions. Implemented under Oracle 7.1

Block Trading Positions, Inventory and Allocation System (PowerBuilder 3.0 /Oracle 7.0)
This system provided a link into a real-time price feed which allows for up to the second Position tracking of our Block Trading Desk activities. It was written in PowerBuilder 3.0 and Oracle 7.0

EOD: And end-of-date Trade processing system that sent our allocated trades to Pershing our cleaning house. It was written as a series of Oracle Stored Procedures. The system processed clearing over 20,000 trades per evening. Provided robust logging, transmission and recovery methods. Written in PowerBuilder 3.0/Oracle 7.0, PL/SQL, C.

Syndicate Indication, Ticketing and Allocation System: This system allowed Operations to prepare an IPO or secondary offering for Trading. It allowed Indications of Interest, Ticket Entry, Branch Allocation and Client Account Allocation. Written in PowerBuilder 3.0/Oracle 7.0, and PL/SQL.

MS Computer Science
Bachelor of Science

Certificates and Courses:

• PMP Prep Course
• Prince 2 Project Management
• Oracle Internals
• Cognos 8 Framework I & II
• SDLC
• OO Design
• Oracle SQL
• Informatica
• CFA Level I (begun but discontinued)
• 2 weeks training in Asset Control, an MDM tool for a Securities Master System
• Oracle DBA Level 1
• Oracle PL/SQL
• XML
• Oracle SQL Tuning
• OO Analysis