SUMMARY:

• 15+ years of Financial Services industry experience, who spent the first 5 years on the business side (determination of profit & loss (PnL), accounting and operations) and the second 10 years in technology as a Business Analyst, Project Manager and Program Manager
• Over the last 15 years I have: (a) worked for Confidential, three times (but not in the last 10 years), (b) Confidential, three times, (but not in the last 10 years), (c) worked for Confidential twice and (d) worked for two different managers, at three different companies; when they arrive at a new consulting client, I’m the first call they make, to see if I’m available.
• Experienced within the compliance discipline has included: Know your customer (KYC), Office of Foreign Assets Control (OFAC), Anti - Money Laundering (AML), FinCEN’s 314(a) PATRIOT Act of 2001, Foreign Account Tax Compliance Act (FATCA), Intermediate Holding Company (IHC), Basel III, Dodd Frank, Federal Reserve, & Comprehensive Capital Analysis Review (CCAR).
• Full understanding of trade life cycle from trade capture to settlement, for many financial products including: Treasury (Bonds, Notes, Bills), Mortgaged Backed Securities (MBS), Repurchase Agreement (Repo), Asset Backed Securities (ABS), Interest Rate Derivatives (Caps, Collar, Floors), Corporate Bonds, Convertible Bonds, Foreign Exchange (F/X), and SWAPs
• Understanding of Operational Risk, Market Risk and conducting analyses of end-to-end system workflows, system/process work flows to determine risk points & how to mitigate these risks.
• Proficient in Technical and Business Writing, Business Process Flow, Business Process Modeling, Business Analysis and the various documentation (user guides, business, functional & technical specifications, use cases, test cases, user manuals, screen prototypes (GUI) and wire frames).
• Experienced in Project Management i.e. Project Scoping, Planning, Estimating, Scheduling, Organizing, Directing, Budgeting, Deliverables and Drafting Remedy Procedures.
• Experienced in various project management methodologies like SDLC, AGILE, & Six Sigma
• Experience in various vendor applications such as: Broadridge/ADP (BPS/Impact/Cage III), SUNGARD (Global Plus, Martini, Brass, Brut (Order Management System/OMS), Phase3, UBIX), Fidessa/OMS, ION (Aurora/WinFITS), Kestrel (Karousel: Wealth Management), (RAPTr: Broker/Dealer/OMS) and Calypso
• Experienced in popular software packages like: Excel (vlookup, macros, nested logic, pivot tables, IF-statements), Word, Access, Visio & PowerPoint
• HIGH ENERGY, Self-motivated, persistent, diligent; a team player who can hit the ground running and build relationships with everyone from the ground level to the corner office.
• By creating a user guide, which explained in detail, the 1500 lines of reference data to be collected and validated, was able to complete the project in four month instead of eight. (Savings to client: $75,000) (Credit Suisse)
• By developing an alternative action plan for all critical functions, was able to successfully complete my project on time and within the allotted budget; the remaining 11 teams were delayed up six months for NOT properly mitigating their risk.

PROFESSIONAL EXPERIENCE:

Confidential,New York, NY

Project Manager/ Technical Writer (Consultant)

• Project Manager/Technical Writer: Subject to the Project Management Framework (PMF), in Agile; was responsible for writing, reengineering, assembling and managing the collection of PMO related documents, from two work streams (6 projects total), to satisfy an internal audit/compliance/data governance directive. Each package of artifacts contains more than 30 documents related to project plans, expenses, timelines, risks, signoffs, process flows/ improvements, agile documentation (user stories, acceptance criteria, and story points), operating/user manuals and communication directives. Managed clients’ expectations, in terms of deliverables, timelines and future goals.
• Applications utilized including: JIRA, SharePoint, RSA Archer, HP Service Manager, HP Quality Center, Microsoft PowerPoint (for senior manager presentations). Also utilized version control and change management principals, to keep the documentation organized. Used Excel macro’s to translate large quantities of data from PDF, to Word to Excel, to create customized reports. Used advanced functionality in excel to preform data cleansing.

Confidential,New York,NY

Senior Project Manager/ Technical Writer (Consultant)

• As a result of an OCC mandate (12 CFR Part 30), was responsible for driving seven (7) global/enterprise risk related, work streams to completion; writing/drafting mandatory documentation for completion included: (a) Policies & Procedures (b) Roles & Responsibility (c) Effectiveness (d) Sustainability and (e) outstanding gaps
• Converted Treasury/OCC directive (12 CFR Parts 30 and 170) into functional/business requirements; also known as “Risk Governance Framework” and “Heightened Standards”
• Reconciled OCC mandate verses (a) Front Line of Defense (Line of Business), (b) Second Line of Defense (independent risk management) and (c) Business Unit Risk & Controls Officer (BURCO), in a matrix form
• Risk streams included: credit, market, liquidity, operational, legal, regulatory, and reputational. Utilized Microsoft Powerpoint, Excel and Word, in the preparation and presentation of project documentation, to senior management.

Confidential,New York, NY

Technical Writer

• Provide technical writing services to consulting clients including the development of business requirements, project charters, user, policy & procedural manuals, business plans and other assorted business documentation

Confidential,Jersey City, NY

Compliance/ Regulatory Project Manager/Business Analyst (Consultant)

• Created & formalized project documentation including: project charter, project plans, pert and Gantt charts, duration estimates, financial costs, and communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, operational risks, dependencies, constraints, project and release plans.
• Responsible for building requirements (business & functional) for topics related to Intermediate Holding Company (IHC), Basel III, Dodd Frank, Federal Reserve, FASB 133, Comprehensive Capital Analysis and Review (CCAR). Reports completed: FFIEC002, FR Y-9C, Form FR Y-7N and FR Y-14Q, Liquidity Reporting (FR 2052a)
• Built requirements & tested (1) Broadridge/ICI/Impact Application (Back-office/ Prime brokerage/ Clearing/ Fixed Income: Treasury, Mortgage/MBS &ABS), (2) Calypso (Cash Equities, F/X & OTC Derivatives) and (3) Martini (Front Office Fixed Income Securities, Securities Borrowing/Lending & Repo Trading). Managed the software development life cycle (SDLC/Waterfall), process from inception to delivery, for several projects. And participated in projects related to Data Governance and Change Management
• Used (a) Microsoft Excel for data analysis and comparison, (b) Used JIRA and SharePoint for document storage and tracking projects items. (c) Microsoft PowerPoint for presentations to senior management, (d) Microsoft Visio to create process flow/mappings and (e) UBIX for listed derivatives.

Confidential,New York, NY

Compliance Project Manager (Consultant)

• Created & formalized project documentation including: project charter, project plans, pert and Gantt charts, duration estimates, financial costs, operational risks and communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, risks, dependencies, constraints, project and release plans.
• Responsible for reporting statues on a number of projects related to the screening of clients, sub accounts/clients, counterparties and securities from the perspective of: Know your customer (KYC), Office of Foreign Assets Control (OFAC), OFAC Reporter (Prime), Anti-Money Laundering (AML), SWIFT messages, Suspicious Activity Report (SAR) and FinCEN’s 314(a) PATRIOT Act of 2001.