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Project Manager Resume

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New York, NY

SUMMARY:

Project manager / business analyst with solid regulatory change experience with ability to interpret regulations, extract business requirements and assess impact upon the financial institution.

EXPERIENCE:

Confidential, New York, NY

Project Manager

Responsibilities:

  • Interface with traders, desk heads, business unit managers, operations and product legal representatives.
  • Develop and enhance control frameworks.
  • Resolve key Volcker issues presented by desk heads and the business.
  • Optimize daily, weekly, monthly & quarterly controls and processes.
  • Manage the BAU function across multiple Volcker regulation areas (e.g. Metrics, Covered Funds, etc.)
  • Manage desk and legal reporting processes and queries.
  • Coordinate and assist with independent testing and internal audit reviews.
  • Develop Volcker training materials for targeted audiences.
  • Provide RAG status reports, maintain project plan, and provide executive summaries.

Confidential, New York, NY

VP Senior Project Manager

Responsibilities:

  • Lead a team of 20 compliance officers across the Americas (USA and Canada) and collaborated with international partners (UK and France) to conduct testing.
  • Surveyed compliance officers across multiple business lines to gather business requirements and scope.
  • Researched capability of four (4) software platforms meet future state solutions vs. current state.
  • Conducted assessment of controls and enhancements. Conducted scenario based testing to assess gaps.
  • Deep dive assessment of reporting capabilities and workflow to ensure fit for purpose.
  • Chaired meetings with cross functional teams and vendors to drive issue resolution.
  • Reported status of testing to all stakeholders, published status reports and escalated issues.
  • Aggregated testing data to present up to steering committee for sign off of applications.
  • Interfaced with vendor and IT teams to ensure technical/functional specifications were implemented.
  • Managed project plans and ensure on - time delivery of project.
  • Established training sessions with compliance officers, testers and vendors.
  • Ensured platform meets audit requirements.

Confidential, New York, NY

VP Volcker Compliance Project Manager / Business Analyst (Consultant)

Responsibilities:

  • Within the Confidential - perform front to back change project management to implement the Volcker Rule.
  • Ensure timely completion of deliverables within multiple workstreams including: Proprietary Trading, Covered Funds, Policies and Procedures, Management Framework, HR, Data Retention, Independent Testing and SOTUS.
  • Engage senior stakeholders to define and document business requirements to support regulatory change.
  • Produce reports and executive summaries highlighting key risks, RAG status and progress for senior stakeholders.
  • Enhance the project plan by tracking and updating milestones, deliverables, dependencies, status, due dates, etc.
  • Draft agendas, prepare presentations and facilitate meetings for multiple working group forums.
  • Assisted Volcker program manager and compliance officers in designing CEO attestation model and certifications.
  • Collaborate with subject matter experts to design Compliance escalation framework to resolve desk level breaches involving Volcker metrics and thresholds.
  • Assess deficiencies in workflows across reportable desks such as Fixed Income and Credit, identify gaps and recommend appropriate controls.
  • Revised policies and procedures across all Volcker trading desks. Maintained Volcker policies and procedure database.
  • Ensured enhanced Volcker training was developed and released for new joiners and compliance officers.
  • Devise controls and develop strategies for retention of records with technology teams and records management.
  • Assess and enhance multiple software platforms utilized for reporting, metrics and issue tracking with IT.
  • Engage Audit requests and action plans and remediate issues across workstreams.
  • Developed management information framework with cross functional teams to meet reporting requirements.
  • Design principles for setting RENTD limits across market making desks that consider elements such as risk factors (IR Delta, Equity Vega, etc), calibration, utilizations, inventory and customer demand, etc.

Confidential, New York, NY

Equities Surveillance /Regulatory Analyst (Consultant)

Responsibilities:

  • Conducted for cause reviews as well as in-depth and timely investigations of trading in Confidential and Confidential MKT listed securities occurring on the Confidential and Confidential MKT. Investigate Freeze, LPS, Reg M and Reg Sho.
  • Performed analysis of trading activity utilizing OATS and Electronic Blue Sheet ( Confidential ) reports to detect possible violation of rules, policies, and procedures.
  • Analyzed large data sets and apply data mining techniques to examine order/trading patterns.
  • Interacted with member organizations to obtain evidence through information requests, depositions, and documentation.
  • Drafted investigative memoranda detailing investigative findings and recommending appropriate disposition to management supported by factual evidence and legal analysis concerning informal disciplinary actions (e.g. cautionary letters and summary fines) and referrals to the Legal Section.
  • Communicated with broker dealers regarding interpretation of Confidential and Confidential MKT rules and requirements.

Confidential, New York, NY

Compliance Project Manager / BA (Consultant)

Responsibilities:

  • Extensive Investor Services documentation authentication and remediation of the Custody and Fund Services, Clearing, and Prime Brokerage lines of business.
  • Performed project management on designated special projects managing a team of 20 attorneys.
  • Remediated several contractual agreements classifications and assessed risks, rights and responsibilities of JPMC within domestic and international jurisdictions including: Global Custody Agreements, Confidentiality Agreements, Master Securities Forward Agreements (MSFTA), Master Confirmations, Master Securities Loan Agreements, Tri-party Control Agreements, Prime Brokerage Agreements, Master Purchase Agreements, Global Master Repurchase Agreements, Credit Agreements, OTC Clearing Agreements, Margin Lending Agreements, and Equity Long Form Confirmations.
  • Managed project plan by tracking key risks, dependencies, and RAG status. Escalated issues as necessary.
  • Expanded milestones and deliverables through project progression.
  • Conducted thorough legal analysis of listed agreement classifications including the following provisions: closeout netting, setoff, terminations, collateral, enforceability, counterparty risk, etc.
  • Identify, record and escalated deficiencies and risks within agreements for those operating under USA and cross border laws.
  • Presented findings to senior stakeholders and consultants during meetings.
  • Conducted UAT pilot testing of proprietary software to be utilized in the remediation and implementation.
  • Defined and refined business requirements during UAT planning and test phase.
  • Enhanced communication channels between off shore IT development and testing and domestic teams.
  • Implemented change management protocols ensuring employees and impacted businesses within scope complied with policies.
  • Developed policies and procedures utilized by offshore teams concerning analysis, documentation, recording and retrieval of relevant agreements.

Confidential, New York, NY

Trade Surveillance Project Manager / Business Analyst

Responsibilities:

  • Gathered and analyzed data to create Functional requirements documentation.
  • Conduct systems analysis on current-state, assess deficiencies and make recommendations for future state models and controls.
  • Conduct walkthroughs and formal reviews to gain client stakeholder sign-off.
  • Managed stakeholder expectations and provided status reporting (RAG, executive summaries, etc).
  • Managed and enhanced project plan.
  • Drive and deliver initiatives to improve the team’s analysis processes, methods, and documentation.
  • Work closely with the development teams to develop functional specifications and technical designs.
  • Plan, script, manage, and execute user acceptance testing UAT.
  • Plan and execute user training on new systems.

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