SUMMARY

• Have worked almost exclusively in financial environments, working for commercial and retail banks, brokerage firms and investment banks requiring exact attention to details, deliverables, process and timelines.
• Started as a computer programmer, then progressing to a business analyst, project manager, and senior project manager/PMO in technology as well as working for business units on business processes and projects.
• Managed remote teams, vendors and clients Developed batch and online database systems in mainframe and distributed environments
• Operate under the PMBOK methodology using RACI governance Have a correspondent clearing background
• Responsible for client training efforts Build and maintain SharePoint sites for information, issue/risk gathering, document repositories
• Worked directly with business areas gaining scope agreements for system specifications and timelines
• Have operated under Service Level Agreements notifying the client and management of impending delays, their impacts and plan to resolution
• Worked in a full range of trading and back office areas including Basel II compliance
• Ran cost reduction efforts saving $10 MM USD in annual print costs
• Creating and working to budgets, business cases, including ROI estimates and SOW
• Created RFPs, scorecards, negotiated contracts with cost, SOW and SLA components.
• Managed vendor and client relationships
• Created Risk Registers for the identification, communication and resolution of risks and other impacts
• Gathered business requirements for the creation of business requirements and technical documents
• Published project status dashboards
• Responsible for diagnosing root cause, involving those needed, creating resolution plan, notifying business and IT groups of potential impacts and time to resolution
• Involved in Change Management for scope, contracts/SOW, application and infrastructure implementations/ changes
• Built and conducted User Integration Tests and User Acceptance Tests
• Created training materials, conducted in person and remote training sessions
• Participated in and managed remote offshore efforts with staff in; India, Singapore, Hong Kong and Japan

PROFESSIONAL EXPERIENCE

Confidential, Cherry Hill NJ

Project Manager II

Responsibilities:

• Operated under the Agile methodology
• Working with internal and vendor technical groups and representatives from the business groups, gathered requirements and testing methodologies, creating all design documents and communicating same to internal and vendor IT build groups
• Followed the firm’s SDLC completing standard project documents, templates, plans and dashboards
• Built and monitored project budgets and plans using Clarity and Knowledge Link
• Worked within Change Management framework to effect application and infrastructure changes
• Tracking an RFP effort for the selection of a Basel II RWA vendor package, planning for the new development, QA and production environments
• Creating an SOW and the completion of the RFP for the selected vendor to work under

Confidential, New York NY

Merger PMO

Responsibilities:

• Assessing testing preparedness, planning for and scheduling tests with all involved, working with testers, distributed and mainframe build teams, gathering and reporting on status of efforts
• Responsible for 24/7 production support, diagnosing root cause, involving those needed, creating resolution plan, notifying business and IT groups of potential impacts and time to resolution
• Assessing and developing data conversion needs
• Responsible for starting the change management process to effect corrections to testing faults using Quality Center
• Identifying issues and risk and their resolutions. Reporting and tracking issues via Quality Center
• Creating and maintaining SharePoint sites, requiring stakeholders to upload project documentation, approvals, issues and status, then extracting information creating dashboards and other documentation for local and senior management consumption
• Communicating upwards through dashboards; project progress, issues/risks, impacts and planned tasks, taking feedback for project improvement.
• Followed the firm’s SDLC completing standard project documents, templates, plans and dashboards
• Built and monitored project budgets
• Creating multi tab Excel workbooks utilizing Pivot Tables, formulas, conditional operations and automatic formatting for synthesizing results data for reporting.

Confidential, Providence RI

Basel IT PMO, Project Manager

Responsibilities:

• Working directly for the business unit, gathered requirements for data collection, risk calculations, reporting and testing, creating all design documents and communicating same to onshore and offshore IT development groups
• Creating and maintaining SharePoint sites, requiring stakeholders to upload project documentation, approvals, issues and status, then extracting information creating dashboards and other documentation for local and senior management consumption
• Developed ETL data conversion systems
• Worked within Change Management framework to effect application and infrastructure changes
• Followed the firm’s SDLC completing standard project documents, templates, plans and dashboards
• Managing the actions, risk, issues plans of project managers within the program utilizing the firm’s SDLC
• Implementing Basel II Pillar I, II and III business processes and supporting systems to mange the firm’s Credit Risk in compliance with the Basel II framework
• Integrating data to and from the parent company and data vendors
• Upgrading the reference databases with improved client and security information including Moodys. S&P and Fitch risk ratings
• Resolving audit gaps, creating and documenting business processes
• Working with the firm’s US and UK quants, implementing new statistical risk models (RWA, EAD, PD, LTV...)
• Using Excel for data validations and reporting, i.e. pivot table VLookup, Conditional Formatting, Validation/Lists, Macros, Data Filters, IF, Concatenate, CountiIf, multi tab workbooks
• Collecting and resolving effort wide issues and risks, including but not limited to Pillar I data feed integration quality and Pillar II EAD and RWA calculations, Pillar III feed integration quality

Confidential, New York NY

Project Manager

Responsibilities:

• Working with Europe and Asia business and technical resources, across time zones
• Working with onshore IT and business units, gathered requirements and testing methodologies, creating all design documents and communicating same to onshore and offshore IT development groups under an SOW
• Responding to an error ticket system, responsible for 24/7 production support, diagnosing root cause, involving those needed, creating resolution plan, notifying business and IT groups of potential impacts and time to resolution
• Planned for and managed weekend support efforts for global system and infrastructure upgrades
• Had input and review of updates to a delivery SLA
• Built and conducted UIT and UAT tests

Confidential

Project Manager

Responsibilities:

• Operated under the Agile methodology
• Working with internal and vendor technical groups and representatives from the business groups, gathered requirements and testing methodologies, creating all design documents and communicating same to internal and vendor IT build groups
• Built and monitored project budgets
• Worked within Change Management framework to effect application and infrastructure changes
• Working with the firm’s statisticians created a Credit Risk Statistical Analysis Workbench for SAS credit risk modeling. Porting referential data to the new platform
• Built and conducted UIT and UAT tests

Confidential

Project Manager

Responsibilities:

• Created and ran a PMO to identify operational/technical risks and their remediating actions
• Sox Entitlements Security Access Compliance
• Created and maintained websites for this effort tracking SOX audits results, findings, issues and their resolutions and compliance evidence
• Conducted Sox compliance audits, working with 18 technical groups, internal and external auditors
• Comparing Observed Controls vs. the standard models and opening audit findings on deficient items
• Created training materials and conducted in house training sessions for SOX compliance
• Conducted SOX security access audits, collecting evidence of compliance and findings of non compliance. Worked with the application groups in creating specifications and project plans to correct findingsRisk Management
• Created training materials to introduce the risk, control, action identification process
• Conducted kickoff meetings to introduce the effort and its parameters, guided the workgroups in identifying their risks and risk scores
• Created a reporting mechanism for role up into the firm’s Risk Register
• Using the Risk Register’s Residual Risk ratings, prioritized remediation efforts to execute planed Action Items for weak or missing Controls

Confidential

Application Testing PMO

Responsibilities:

• Created and ran a PMO for building and testing an SEC mandated offshore mainframe and distributed data center with reference databases. Working with global; application, mainframe, distributed hardware and communications groups, creating an SOW
• Gathered budget components approving/tracking via Ariba
• Coordinated application testing for 60 applications, developed data conversion programs
• Identifying issues, their proposed resolutions and tracking these issues through resolution
• Prepared status materials for senior management and the SEC
• Created and ran the Investment Bank’s PMO overseeing 300+ Basel2 Pillar I Risk Management projects by coordinating the testing efforts of 14 project groups
• In preparation for an SEC audit, setting standards for and reviewing test plan documentation and test plan execution results for completeness, offering recommendation as needed
• Conducting weekly status meetings with each project group as well as program effort meetings for an open forum between the workgroups
• Enhancing and maintaining a SharePoint website for the dissemination of policy and best practice information, the collection and storage of project documentation and analytical reports on project deliverable
• Creating presentations, dashboards and RAG analytical reports for the firm’s PMO and senior management
• Managed merger efforts of the fixed income trading desks of Fleet and Bank of America
• Completed the analysis of both firm’s fixed income and branch systems resulting in a gap analysis. Conducted JAD sessions with traders and branch FCs for mapping sales and trading functionality for both firms working towards a consensus view for an optimal platform. Made recommendations for it.
• Followed the firm’s SDLC completing standard project documents, templates, plans and dashboards
• Identifying Risks and Issues, reporting upwards, creating and maintaining dashboards
• Creating and communicating policies and procedures by which project management offices (PMO) function and report upwards.
• Responsible for conducting SOX entitlement audits, opening findings and following up on remediation efforts
• Working with clients to determine priority of technology deliverables and budget spend
• Followed the firm’s SDLC completing standard project documents, templates, plans and dashboards

Confidential, West Palm Beach FL

Project Manager

Responsibilities:

• Created and ran a mortgage document imaging business unit with 100 staff, responsible for client account management, using Confidential ’s products.
• Responsible for 24/7 production support, diagnosing root cause, involving those needed, creating resolution plan, notifying business and IT groups of potential impacts and time to resolution
• Creating policies and procedures by which services will be delivered, exceptions identified and handled.
• Stabilizing the technical environment. Taking it from manually controlled to an automated environment.
• Designed and managed the implementation of a web based inquiry application for the presentation of tax lot/performance information to over 1000 branch based brokers
• Managed implementation and integration of Advent’s portfolio management system. Was the lead technical person for pre and post corporate sales efforts000 effort, developing data conversion scripts
• Ran the firms business and technical Year 2000 effort
• Conducted analysis for and the creation of several RFI/RFP(s) for staff augmentation, offshore development, COTS software selection, and service vendors. Managed offshore client server and web development effort
• Virtually eliminated internal and branch physical reports, completing SEC filing to use CD WORM in place of fiche as a primary archive realizing a five million dollar annual savings
• Cordinated data from the Stock Record, Security Master, Pricing and Corporate ActionsNegotiated contracts, statements of work and SLA, managed vendors
• Gathered requirements for and manager project; Correspondent Clearing, Automated FII source of Corporate Action information.Responsible for 24/7 production support, diagnosing root cause, involving those needed, creating resolution plan, notifying business and IT groups of potential impacts and time to resolution
• AML/Structured Deposit system. Built and conducted UIT and UAT tests
• Fixed Income (taxable and non taxable) trading systems, interacting directly with traders
• Developer and Business Analyst for financial systems; Transaction Edits, Sales Commissions, Interest and Dividends, Account and Security Master, Client account and tax statements, Security Pricing, Stock Record. Cage, Corporate Actions, data conversion systems and conducted UIT and UAT tests.
• Responsible for 24/7 production support, diagnosing root cause, involving those needed, creating resolution plan, notifying business and IT groups of potential impacts and time to resolution
• IBM mainframe developer supporting brokerage back office systems