SUMMARY:

• 15+ years of Financial Services industry experience with more than 10+ years as a Project Manager /PMO, who has managed budgets of up to $10 million and been a part of projects with budgets of more than $50 million, spanning multiple years; Have supervised up to 25 direct reporting professionals, including managing application development teams
• Over the last 15 years I have: (a) worked for Confidential, three times (but not in the last 10 years), (b) Societe Generale, 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.
• Strategic thinker and problem solver who can think outside the box, to get the job done smarter and under budget
• Full understanding of trade life cycle from trade capture to settlement, for many financial products including: Treasury (Bonds, Notes, Bills), Mortgaged Backed Securities (MBS) (Real Estate Investment), Mortgaged Backed Derivatives (CMO, CLO) 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 & Market Risk and conducting analyses of end - to-end system workflows, business process and system modeling tools (data flow diagrams, process models, Entity Relationship Diagrams, Data Models, and Use Case Scenarios) system/process work flows to determine risk points & how to mitigate these risks. Also, experience within Data Governance (processing, monitoring, artifacts, approvals & signoffs)
• Proficient in several PM methodologies including SDLC, Iterative, Waterfall, Agile, Six Sigma & DMAIC
• Experience in creation of formalized project management & project management office (PMO) documentation including: project charter, project plans, duration estimates, financial costs, communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, risks, dependencies, constraints, project plans and release plans, project scoping, planning, estimating, scheduling, organizing, directing, budgeting, deliverables and drafting remedy procedures.
• 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) and Kestrel (Karousel: Confidential ), (RAPTr: Broker/Dealer/OMS)
• 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.

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Program-Project Manager (PMO) (Consultant)

Responsibilities:

• Program-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 (processing, monitoring, artifacts, issues, escalation, approvals & signoffs) 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 organizational 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.
• Projects included: Broadridge/Impact, upgrade to 9.4.1; Repo/Securities Lending in Martini & Loanet, Trading, Treasury, Risk, and Post-Trade Operations in Murex, My Compliance Office (MCO) and Golden Source for Client Data. Project was completed on time and on budget.

Confidential, New York, NY

Program/ Senior Project Manager (Consultant)

Responsibilities:

• 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; 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. Also, utilized Microsoft PowerPoint, Excel and Word, in the preparation and presentation of project documentation, to senior management. This was scheduled to be a short-term assignment to bridge the gap of one consultant leaving and the hiring of a full time staffer. Project was completed on time and on budget.

Confidential, New York, NY

Technical Writer

Responsibilities:

• 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, NJ

Compliance/ Regulatory Project Manager (Consultant)

Responsibilities:

• Created & formalized project documentation including: project charter, project plans, duration estimates, financial costs, and communications plans, among other things. Also responsible for reporting to senior management/stakeholders on topics such as resources, statuses, risks, dependencies, constraints, project and release plans (release management). Trained user on new updates.
• Responsible for building requirements (business & functional) and create process flow diagrams, for topics related to Capital Markets: Anti-Money Laundering (AML) Intermediate Holding Company (IHC), Basel III, Dodd Frank (VI/VII), Federal Reserve, FASB 133, Liquidity Reporting, Comprehensive Capital Analysis and Review (CCAR). Also exposed to the following reports: FFIEC002, FR Y-9C, Form FR Y-7N, FR Y-14Q and, Liquidity Reporting (FR 2052a)
• Built requirements, conversion & tested: (1) Broadridge/ICI/Impact Application (Back-office/ Prime brokerage/ Clearing/ Fixed Income: Treasury, Mortgage/MBS (Real Estate Investment), CMO, CLO &ABS), (2) Calypso (Cash Equities, F/X, OTC Derivatives, & SWAPs) 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 (Developing key controls) and Organizational Change Management
• Used (a) Microsoft Excel for data analysis and comparison, (b) JIRA for tracking enhancements/projects, (c) Microsoft PowerPoint for presentations to senior management//stakeholders, (d) Microsoft Visio to create process flow/mappings and (e) UBIX for listed derivatives. Worked with developers locally and offshore.

Confidential, New York, NY

Compliance Project Manager (Consultant)

Responsibilities:

• As a project manager, within Capital Markets/ Confidential, it was my responsibility to report the statues, process flow these initiatives and drive a number of projects related to the screening of clients, sub accounts/clients, corporation actions, counterparties and securities from the perspective of: Know your customer (KYC), Office of Foreign Assets Control (OFAC), Foreign Account Tax Compliance Act (FATCA), Anti-Money Laundering (AML) (Mantas), SWIFT messages, Suspicious Activity Report (or SAR), Dodd Frank (VI/VII) Volcker Rules, and FinCEN’s 314(a) PATRIOT Act of 2001.
• Created & formalized project documentation including: time management, project charter, project plans, duration estimates, financial costs (estimates/ forecasting/ cost benefit analysis) and communications plans, among other things. Also responsible for reporting to senior management/stakeholders on topics such as resources, statuses, risks, dependencies, constraints, project plans (MS Project & SharePoint), release plans (release management), PMO related status. Additional Issue related to: Resolution and escalation, Stakeholder, Resource, Deliverable, Scope & Organizational Change Management.

Confidential, NYC

Compliance Project Manager/ Product Owner (PO) (Consultant)

Responsibilities:

• Within an agile project management methodology, was responsible for building artifacts/ requirements from several internal applications to the “FIS” system, from a domestic tax perspective, which includes Federal & State withholding and reporting for commercial and consumer (retail banking) clients. This was part of the Change the Bank (CTB) initiative. Also, worked with developers locally and offshore.
• Frequently created and exhibited PowerPoint presentations, to senior management/stakeholders on various topics including: resources, statuses, risks, velocity, dependencies, constraints, release plans, project scheduling (Gantt chart) and outstanding grooming details. Also used VLOOKUP, Pivot Tables, macros, charting and other Excel functions to create other customized documentation.
• As a Project Manager/Product Owner, was responsible for leading a team of business and technology leaders to create user stories, acceptance criteria, business rules, assumptions, process flows/ Data Flow Diagrams, Process Models, Entity Relationship Diagrams, Dimensional Data Models and impacted applications pertaining to: Tax Forms: W8, W9, W8Ben, W8BEN-E, 1099-INT, 1099-MISC, 1042-S, 1st B Notice, Tax-2nd B Notice, Tax-C Notice, Tax-C Notice Stop, Chapter 3 (NRA) and Chapter 4 (FATCA), Personally Identifiable Information (PII), Know your customer (KYC), Dodd Frank (VI, VII), Volcker Rules, Anti-money laundering (AML) and Client Onboarding attributes . User Software Applications: Rational Team Concert (RTC), BluePrint, Quality Center (QC)

Confidential, NYC

Requirements Engineering/ Technical Writer (Consultant)

Responsibilities:

• Gathered requirements and prepared documentation (user guides, business & functional specifications, use cases, test cases), from various global users, based on the project needs and international regulations, for a customer relationship management (CRM) application which is the “golden source” repository for electronic documentation (security master data/reference data/ data migration), loans/deposits, nostro and depot (depositary/Capital Markets) account information. Also, all of my team members were offshore.
• 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 and saved the client about $75,000.
• Created presentations, current/future process/work flows, authorization requests and usage hierarchy (Business & IT Governance), to determine access authentication & approvals.
• Responsible for conducting training sessions on how the new product is to be used
• User Applications: JIRA, HP Quality Center, SharePoint, Balsamiq Studio, MS Project, Lync & Office 2010

Confidential, New York, NY

Senior Project Manager/ Program Management/ PMO (Consultant)

Responsibilities:

• Responsible for evaluating the client’s organization for: operational risks, process improvements, capacity management and cost cutting/revenue producing opportunities. Conducted meetings with department heads, to determine current work environment, gaps in current processes and future technology needs. Compiled results into a presentation which was presented to senior management/stakeholders for future strategic implementation. (Non-Profit)
• Responsible for designing test cases / scenarios for financial products in “Capital Markets”/ Prime brokerage, exchange traded funds (ETF), listed indexes, cash equities (Fidessa/OMS), equity exchange traded options & interest rate derivatives, in the following disciplines: connectivity to exchanges, commissions, fees (SEC, Exchange, OCC, ORF), Compliance/ Regulatory related to FINRA: Short Interest Reporting, Large Option Position Reporting (LOPR) & OATS. Trade Surveillance (Actimize), security master data/reference data, and Operational Risk for an application called Shadow Financial & Sungard/GMI (NewEdge)
• Responsible for writing a strategic business plan for a private lender, whose collateral is secured by commercial real estate properties valued at $10 MM and below. (Start Up)

Confidential, New York, NY

Project Manager (Consultant)

Responsibilities:

• Managed/supervised/lead a development effort in Capital Markets, which attempted to create a daily reconciliation between the organizations (Global BAC/Merrill) internal market risk application and the sub & general ledger; variables included: operational, product, and market risk, monthly reconciliations, positions, scenarios, trading desks (Swaps/OTC Derivatives), Currencies (fx or f/x or foreign exchange) Mortgages, reference data, WAR Calculation and Aggregation, Enterprise Risk Management (ERM) and reporting concerns, due to a compliance directive (Dodd Frank Act VI & VII), Data Governance, Organizational Change Management, Volcker Rules in terms of clearing, execution, and data reporting.
• Conducted weekly status meetings to review project timelines (CA Clarity), risks, issues, dependencies, change management protocols and possible delays were escalated to senior management/stakeholders.

Confidential, New York, NY

Senior Project Manager/Program Manager/PMO (Consultant)

Responsibilities:

• Responsible for: Managing day-to-day operations as well as planning for strategic growth; creation and upkeep of complex documents such as “Service Level Agreements” (SLA), software licenses & service agreements; creation & implementation of new procedural manuals pertaining to: corporate policies, Organizational Change Management, corporate best practices, security policies, disaster recover, and daily operational guides
• Responsible for the creation of: (1) project plans with defined milestones that identify the project critical path; (2) detailed project charter that defined project goals, objectives, governance structure, scope, guidelines and release plans; (3) project schedule (Gantt chart) which defined, resources and the identification of scheduling conflicts; (4) capacity management, to manage information technology; (5) operational risk assessment report, to determine possible points of failure within the organization, new project assessments and process work flow to determine potential risk factors and how to mitigate risks.
• Supervised/ mentored 25 direct and indirect reporting professionals, related the implementation/ conversion of new software and multiple complex projects (i.e., several interfaces; in and out flow of market & reference data (Reuters/Bloomberg), traditional, Citrix hosted solutions, new client orientation (client onboarding and managed application development teams)). Utilized both SDLC and Agile, project management methodologies. Managed budgets up to $8 million, per project, across multiple functional areas.
• Conducted weekly status meetings to review project timelines, risks, actions, issues, resources, financial costs (variances/ estimates/ forecasting/ cost benefit analysis), dependencies, change management adjustments and possible delays were escalated to senior management/stakeholders. Also was accountable for Project Management Office (PMO); responsibilities included: budgets, time sheets, project plans (schedules/dependencies) meeting notes, client billing, test of plans and tracking compliance. Utilized Salesfore.com for all CRM related activities and Documentum for storage. Also, responsible for migrating data from the clients internal application to the new Karousel ( Confidential ) /RAPTr (Broker/Dealer/OMS) platform.
• Confidential was a front office, fixed income (Treasury & Mortgaged Backed Securities (MBS)) software organization which created two Capital Market, applications: (a) Karousel (Buy Side) and (b) RAPTr (Sell Side & OMS). In addition to processing fixed income securities, RAPTr consumed OTC derivatives including SWAPS. Also, implemented compliance applications related to: Trade Surveillance & Anti-Money Laundering (AML)

Confidential, New York, NY

Senior Business Analyst (Consultant)

Responsibilities:

• Created policies & procedures documents related to full trade life cycle from trade capture to settlement for the following financial products: Exchange Traded Equities, Options, Interest Rate Derivatives (IRD), Foreign Exchange transactions (F/X or FX) and SWAP’s in Capital Markets. Utilized MarkitWire (SwapsWire) and Agile methodology
• Developed requirements/documents (functional, business, system/work process flows, data models, screen mock-ups, FIX protocol interface, wireframe, prototypes, mapping incoming reference data, client onboarding, operational risk regulatory documentation & user manuals (security/pricing/product master)), from scratch, for a web-based (eTrading/online trading application), start-up middle/back office/ prime brokerage application.
• Created user guides and web-based training for new users; Developed reporting requirements for the regulatory body FINRA (OATS)

Confidential, Herndon VA

Project Manager (Consultant)

Responsibilities:

• Responsible for leading a team of 15 professionals and budget $5M, in the validation (relief & execution) effort of Two Major Work-Streams, of the restatement project, within the Confidential division.
• Created a customized methodology (document) to identify and mitigate risk, along with a validation approach procedure, which included Reports and detailed SQL Queries. Reported results to Executive Management Committees. Financial products included various types Mortgaged Backed Securities (MBS) (Real Estate Investment), Collateralized Mortgage Obligations (CMO), Collateralized Loan Obligations (CLO) and Whole Loan Transactions (including Origination, Processing and Servicing Loans)
• Used testing tools including Mercury Quality Center (Test Director) and ClearQuest (Rational) for the management of test cases/scenarios. Test cases were related to: FAS 91 (Amortization), FAS 140 (Re-Securitizations), FAS 157 (Fair Value Measurements), FAS 115 (Mark-to-Market & Impairment), FAS 133 (Securities Accounting), FAS 65 (LOCOM - lower cost of market), FIN 46 (Security Consolidation), Security Cost Basis and Tax Lot Accounting

Confidential, Minneapolis, MN

Senior Business Analyst / Technical Writer (Consultant)

Responsibilities:

• Responsible for gathering requirements, writing functional / business requirements/ specifications, related to the consolidation of two Brokers-Dealers into one organization from a (a) Compliance / Regulatory viewpoint, (b) Fixed Income/ Mortgaged Backed Securities (MBS/MBSE) perspective and (c) system conversion outlook (from Beta to Impact/ BPS/MBS Expert/ADP/ Broadridge).
• Responsible for evaluating several new software applications including (a) trade surveillance (NICA/Actimize) (b) Blackrock Aladdin (c) ION Marketview, from a functional, business and technical perspective.

Confidential, New York, NY

Senior Business Analyst (Consultant)

Responsibilities:

• Responsible for gathering requirements, from users (Traders & Risk Professionals) based in London, Zurich and New York, writing functional, technical specifications & use cases, for: (1) an in-house front office, trading application (GABS) who’s main products are related to ABS (Asset Backed Securities), CDO (Collateralized debt obligations), Whole Loan Mortgages and financing securities (Repo, Reverse, Dollar Roll & Tri-Party); (2) Risk Management Systems, which supplies users with intra-day and end-of-day speeds, status of modeled bonds, as well as market risk (Value-at-Risk) and credit risk (delta) information
• Also responsible for data mapping/validation/ analysis of market data feeds from several reference data systems (security/pricing/product/account master), including Bloomberg, to a number of in-house applications, including ION Marketview/Winfits/Polypaths, Martini, Global One, Addvantage, FIS (formerly Sungard) Global Plus & Phase3 (SUNGARD products), using Excel (nested logic, vlookup and VBA)...