SUMMARY:

• Certified Project Management Professional. Offering advanced project management skills, developed through delivery of trading applications and migrations. Products supported include fixed income, cash equities, money market instruments, as well as interest rate and credit derivatives.

PROFESSIONAL EXPERIENCE:

Confidential

IT Project Manager

• PM on Equity Derivatives business initiative to issue SEC - Registered Structured Notes. Worked with business sponsor to approve Project Iniation Document (PID). And worked with Development leads to establish Soution Design. Estimated required effort and generated Project Plan.

Confidential

Business Analyst/Project Manager

• PM on 2018 Annual review of Market Access Controls that are built into UBS and vendor systems that provide direct market electronic access to the Exchanges.
• PM on expansion of US Equity Order Flow to include the new Mexican exchange (BIVA), with Smart Order Routing, Algo slicing of orders, and Best Execution rules as in scope. Also, functioned as BA to gather requirements and write BRD.
• Functioned as BA to gather requirements into BRD for Exchange Traded Derivatives order controls to be added to US OMS order flow.
• PM on 2017 Annual review of Market Access Controls that are built into UBS and vendor systems that provide direct market electronic access to the Exchanges.
• Capturing of business requirements for US order flow controls in Exchange Traded Derivatives.
• PM on project to establish market link to Dark Pool exchange in Canada

Confidential

Project Manager

• Migration of the Wealth Management Capital Markets trade workflow to a new trading platform, to include Pre-trade (price discovery, pre-trade compliance); Trading (order entry and execution); and Post Trade (booking, clearance and settlement). Documentation of Current and Future State scope of analysis included roles of: Client, Relationship Manager, Trader, Middle Office, Operations, and Counterparty. Products included Cash Equities, Fixed Income, FX, and Structured Products. Issued RFP for PMO services and functional support. Developed evaluation methodology for weighted scoring of vendor proposals. Focused on implementation of Trading MIS Data Warehouse with reporting capabilities (using QlikView and QlikSense BI tools).
• Enhancement to Charles River Investment Management System for Global Equities Desk. - Migration of US Securities trading to New York from Frankfurt desk for US accounts. Including test planning (Test Plan, cases and scripts) for SIT and UAT testing.
• Gather requirements for Dodd Frank regulatory changes needed for OTC Derivatives Margin calculations - Writing Functional Specifications Document for each business line that is impacted by the Dodd Frank/EMIR regulations for uncleared margin.
• Established project plans for evaluation of each region within Asset and Wealth Management as to the need for Dodd Frank/EMIR solution. Use Clarity project management tool for milestone and bi-weekly status reporting to PMO.
• Elicited business requirements within AWM for CSDR migration to T+2 settlements for range of Equity and Fixed Income securities traded on European exchanges. Identified impact to all trading systems and operations globally.
• Elicited business requirements for Volcker project involving writing AWM BRD for reporting DB investment positions in funds and calculation of actual positions against regulatory 3% limit. Developed functional specifications and worked with in-house developers to build the application and test it. Strategically, planned and designed migration to new Finance Data Warehouse which will act as golden source for DB regulatory reporting.

Confidential, New York, NY

Project Manager

• Migration of investment management order flow to the Charles River Portfolio Management System for Barclays Wealth Management product called “Investment Philosophy Portfolio Multiple Accounts” (IPPMA). Go-live date for the migration was June, 2013.
• Gathered requirements from BWA (Barclays Wealth Americas) advisory business unit and authored Business Requirements Document (BRD) as well as Functional Specifications Document (FSD) for application to be used to establish and maintain IPPMA portfolios, each consisting of a set of BWA client accounts. Additionally, gathered requirements for Client Reporting, and worked with client on-boarding team to establish criteria for establishing set of BWA accounts that are in scope for IPPMA.
• Configured the Advisory business rules for Compliance monitoring that were employed within the Charles River application.
• Environment: Java front end with Oracle database, using XML for communication between applications.

Confidential, New York, NY

Project Manager

• Project Manager for update of the Dreyfus.com fact sheets for all money market funds, to include new fields such as weighted average maturity and credit rating compositions from S&P, Moody’s and Fitch.
• Performed business analysis in 3-month Agile project to update the precision level for net asset value amounts stored by all Dreyfus applications, as per Securities Exchange Commission (SEC) regulations regarding money market reform.
• Project Manager in migration project to change the transfer agency used by Dreyfus from DST (outside vendor) to the internal asset servicing group.
• Migration of municipal bond and money markets trading applications, running the Charles River order management system (OMS), from the Dreyfus instance in New York to the Standish instance in Boston. Established and entered concentration limits into Charles River which was required by Compliance.
• Updating of daily money markets holdings reports to the Dreyfus.com web site, to include reporting of asset backed commercial paper separately from regular commercial paper.
• Update of Dreyfus.com fixed income and equity holdings reports to include all off-balance sheet positions such as options, futures and swaps.
• Re-engineering of the management fee process, whereby all advisors charge the funds for fees including management, 12b-1, shareholder services and administrative fees, to include waivers and reimbursements. Project included authoring of BRD, FRD, and high level design documents for construction of in-house web application. Scope included calculation of the fees, communication of the authorization for the transfer to the custodians and reporting back to the Dreyfus line of business.
• Re-engineering of the expense accrual process to optimize the processing of expense accruals. Project involved generation of Business Requirements Document (BRD), Functional Requirements Document (FRD) and high level design for the in-house construction of a new expense accrual system, automatic matching of payments against open accruals, and re-engineering of the workflow used to adjust the accruals used to calculate the daily net asset value of each Dreyfus fund.
• Leverage system capabilities to automate compliance testing of certain Cash Investment Strategies (CIS) policies. This involved designing an application that uses reference data from internal and external sources to scan transaction activity and account information to isolate exceptions that compliance personnel can use to assess the compliance with CIS procedures.
• Environment: C++ front end with SQL Server databases.

Confidential, New York, NY

Senior Business Analyst

• Facilitated client workshops with front office fixed income portfolio managers, analysts and Chief Investment Officer to compile requirements for a new fixed income front office OMS for managing over $110B in fixed income assets under management. Issued request for proposal and managed evaluation of vendor proposals, to include Charles River, Latent Zero, and Blackrock Solutions. Completed project and assisted in the decision making process to implement the Blackrock solution application. Obtained steering committee approval for the contract and designed the architecture for interfaces to/from the Blackrock solution, including derivative positions from the Murex and Calypso applications.
• As an interim solution, functioned as an Application Development Project Manager. Developed enhancements to current in-house asset management tool, the Global Portfolio Guidance Model (GPGM) using UML use cases to model the requirements. Used SQL for trouble-shooting and communicated with IT resources in Zurich and the data center in Armonk, NY.
• Developed business requirements for derivative orders (futures, options, swaps, swaptions) from Murex and Calypso applications into the Hi Portfolio accounting system.
• Contributed to development of the requirements related to compliance guidelines within Linedata's LongView trading platform.
• Developed business requirements for credit default swap (CDS) trading used for hedging purposes to remove credit risk from the Fixed Income portfolios.
• Developed business process workflows for hedge accounting, in which floating rate asset backed securities are paired with interest rate swaps to enable the asset matching with the cash flows of long term, 30 year, underwriting liabilities.
• Environment: SQL Server database.