SUMMARY

• Technology specialist, experienced in delivering transformational change to organizations. Cross - functional experience in Program/Project Management, Business Analysis, SDLC, Risk Management, Compliance, and Quality Assurance. Excellent analytical, interpersonal, leadership and problem solving skills. Recognized for ability to work effectively under pressure.
• Managed transitions for multiple technology processes, from proprietary systems and support, to cloud services, vendor applications and ASP support models including data migrations, off-shore support models, business process re-engineering, and enhanced functionality with related governance models, SLA’s and metric reporting.
• Managed transitions for multiple business processes, from proprietary systems and support, to vendor applications and SaaS/ASP support models including, DST, Sungard, Metavante, Charles River, Latent Zero, Aladdin and other Investment Management business support products.
• Represented and managed business unit response to multiple regulatory requirements, including Sarbanes-Oxley (SOX), Anti-Money Laundering (AML), Know Your Customer (KYC), Gramm-Leach-Bliley (GLB), Suspicious Activity Reporting (SAR), FATCA, Payment Card Industry (PCI) and multiple internal compliance requirements such as short-term trading and employee trading monitoring and prohibitions. Initiatives included introduction of new or enhanced controls, new processes and systems, information security tools, and regulatory reporting.
• Managed development team delivering enhancements to proprietary Fixed Income trading systems including interface to Tradeweb, allocation matching modules, and other productivity and workflow enhancements.
• Managed design of multiple applications and application modifications to support new business, new or improved processes, new technology adaptation, and improved and hardened recoverability, fault tolerance, and performance. Included business analysis, design and development, software procurement, service provider analysis and selection, quality assurance/user acceptance testing, and deployment and implementation activities.
• Managed multiple technology functions including Infrastructure, Security, Application Architecture, DBMS, as well as Application Development and related SDLC functional teams such as Business Analysts, Quality Assurance, and Change Management teams.

PROFESSIONAL EXPERIENCE

Confidential, Malvern PA

Consultant

Responsibilities:

• Confidential Fund Financial Services, Responsible for PM activities and managing BA, IT Development, and QA resources in execution of multiple initiatives and application support for fund Compliance and Tax reporting.
• Manage CRD SaaS migration proposal for Post-Trade Compliance reporting, including Vendor Analysis, POC, TCO activities for strategic business decision.
• Managed projects in support of consolidation of compliance activities across multiple trading platforms to support GSD and FBO compliance reporting.
• Managed Kanban transition from proprietary ticket tracking system to JIRA, with enhanced dashboard and metric reporting.
• Analyze and document application architecture for data center transformation including cloud, Co-Lo, SaaS, and Service Provider solutions.
• Support Analysis and design of solutions for SEC Modernization initiatives, including N-Port, N-Cen, and Regulation S-X.

Confidential, Hatboro PA

Program Project Manager

Responsibilities:

• Confidential Affinity Services, Responsible for managing PM and BA activities for business operations and underwriting in close liaison with corporate and vendor technology resources, in support of web and backend processing for 30+ branded programs to provide multiple lines of coverage to affiliated groups. Initially engaged as a consultant, converted to employee status on 7/2015.
• Manage project portfolio pipeline across multiple product and platforms, providing business with project proposal estimates, risk, and resource metrics for project approval and prioritization.
• Manage project documentation, including BRD, project plans, and timelines using Waterfall and Agile SDLC.
• Manage all activities through vendor relationships with CSC, Accenture, Infosys and others.
• Design modifications to existing application environment in web and backend systems to interface with Salesforce, to facilitate a CX initiative.
• Managed application modifications for PCI and FATCA compliance initiatives

Confidential, Princeton NJ

Consultant

Responsibilities:

• State Street Global Services, Engaged in Business Process Management implementation of standardized process notation, workflow automation, rules engine, control repository, and SOA enhancements of banking industry functions across middle and back office.
• State Street Global Services, responsible for gap analysis, solution, planning and execution of data flow and process migration for support of client transition to Confidential ’s Investment Management Services for middle and back office functions.
• Provide project related timelines, status updates, and dashboards to PMO on a regular basis
• Participate in client-facing workstreams on regular basis
• Document client requirements in BSD/SLA contract addendums along with internal BSD/FSD documents for SDLC.
• Includes transaction mapping, with related enhancements for trade message enrichment, special processing, and reporting.
• Design of new data marts to link client specific classification and performance data to existing enterprise data model.
• Defined extracts from data warehouse to client, with specific client requirement enhancements.
• Includes delivery of portfolio transaction, valuation, performance, analytics, and attribution reporting.
• Includes enhanced controls, reconciliations, and sub-accounting across portfolio and product lines for equities, fixed income, derivatives, & OTC securities
• ETS, responsible for development teams supporting multiple cross platform educational assessment products including support, new functional development, and change management.
• Managed transition of application support from internal ETS personnel to Accenture off-shore personnel, with knowledge transfer phase and support model with related SLA implementation.
• Managed initiative to classify application data and address compliance requirements regarding PCI and PII (Personally Identifiable Information)
• Enterprise Iron, created application support transition plan with related governance plans, SLA’s, resource requirements, and timelines in support of vendor proposal to manage technical support of a large Investment bank’s Hedge Fund shareholder accounting systems thru end of life.

Confidential

Project Manager/Security Officer/ Director

Responsibilities:

• Security Officer for Morgan Stanley Trust FSB; responsible for SOX certification, SAR reporting, GLB compliance, SAS70/SAE16 reporting, AML processes and Physical and Logical Security including access control, systems entitlement, and incident monitoring. Managed Data Privacy education and enhancement initiative. Excellent record of teamwork and compliance with Internal Audit, external auditors, and regulatory agencies including OTS and FDIC. No significant incidents occurred during tenure.
• Responsible for identifying and tracking multiple application and process enhancements in response to regulatory and compliance requirements, including Anti-Money Laundering (AML), Know Your Customer (KYC), and OFAC, in support of Van Kampen and Morgan Stanley Advisors retail mutual fund distribution.
• Technical Architect; responsible for managing design of new platforms for web based application stacks for intra & internet. Managed transition of hardware/software environments to consolidated data centers with related modifications for application and DBMS support.
• Assisted in the development of AML monitoring system in conjunction with SAS as Beta site, including normalization of transactional data, creation of risk profiles and alert triggers.
• Designed and developed an automated NSCC interface to proprietary Morgan Stanley mutual fund shareholder accounting systems (Transfer Agency) including; trading and settlement, dividend and commission disbursement, and cash and share reconciliation, resulting in increased distribution channels for proprietary funds and enhancing internal broker/dealer product offerings thru portability agreements.