SUMMARY

• Subject Matter Expert with 15 years financial services software experience with global investment banks as Senior Project Manager, Senior Business Analyst and Equity Trader specializing in the conceptualization and build of unique deliverables for financial risk and regulatory reporting, data governance and capital markets projects.
• Adept at evaluating, visualizing and creating breakthrough strategies. Proven track record of converting raw data into solution generating products. Superb communication and presentation skills in articulating ideas to technical and non - technical audiences. Able to lead by example and complete projects in a time critical and budget controlled environment.

TECHNICAL SKILLS

• PMBOK Project Standards
• Data Governance Controls
• CCAR / MiFID II / CECL Project Management Artifacts
• Project Risks / Issues Mitigation
• Intermediate Holding Company Business Analyst Procedures
• Capital Markets Projects
• SEC / FINRA Trade Reporting Agile / Waterfall / Scrum
• Regulatory Documentation
• Federal Reserve Compliance

PROFESSIONAL EXPERIENCE

Confidential, New York, NY

CCAR / DFAST / MiFID II / CECL Senior Business Analyst

Responsibilities:

• Member of regulatory teams for CCAR / DFAST / MiFID II and CECL compliance regulations.
• Documented Federal Reserve CCAR stress test qualitative assessment for regulatory requirements and internal audits. Documentation included BHC company-run stress scenarios, the material changes to bank’s future business plans and the market risk governance for trading portfolios and credit risk default.
• Performed audit of data controls, root cause analysis for control gap remediation and data governance for upstream applications populating Axiom generated CCAR FR Y-14A stress testing report. Worked with auditors and developers to correct data issues affecting stress test results and FR Y-14A schedules.
• Authored CCAR Capital Plan Narrative for steering committee.
• Documented bank’s MiFID II Market Structure and Order Execution operational requirements.
• Documented bank’s framework assessment for the Financial Accounting Standards Board’s Current Expected Credit Loss (CECL) regulation.
• Wrote BRD, FRD, UAT test scripts, test plans. Collected project documents for SharePoint repository.

Confidential, Stamford, CT

Liquidity Stress Testing / Liquidity Coverage Ratio Project Manager

Responsibilities:

• Managed regulatory compliance team for Federal Reserve’s Intermediate Holding Company (IHC) Liquidity Stress Testing (LST) and Liquidity Coverage Ratio (LCR) reporting requirements.
• Scope included interpreting and documenting bank stress scenarios, net stressed cash-flow buffers and effectiveness of bank’s contingent process for monetizing contingent funds into cash.
• Designed dashboard to monitor eligibility of “Level 1” and “Level 2” high quality liquid assets (HQLA).
• Team reviewed and updated documentation of upstream applications and golden sources feeding bank’s Treasury Cash Liquidity Application.
• Directed concept-to-completion of project to ensure on-time quality assurance. Managed scope, tasks, resources, timelines, budget, stakeholder communications, risks and issues.

Confidential, Stamford, CT

SEC / FINRA Data Governance Business Analyst

Responsibilities:

• Managed Data Governance for FINRA front office trader surveillance applications producing trading data for bluesheets, best execution, OATS and Reg. SHO reports.
• Interpreted and designed framework for SEC Rule 13h-1Large Trader Equity Aggregation requirement.
• Researched and documented SEC Rule 15c3-5 Direct Access Order Routing compliance procedure.
• Designed and managed development of new application, Data Quality Issue Management Portal, to capture data issues and document the process for remediation.
• Wrote BRD, FRD, UAT test scripts and test plans.

Confidential, New York, N.Y

Volcker Rule Senior Project Manager

Responsibilities:

• Managed team responsible for three of the six Volcker Quantitative Measurements: source of revenue, revenues relative to risk and trading desk compensation.
• This Waterfall Methodology project produced daily recordkeeping and monthly reporting trade data for executive management and regulatory agencies.
• Defined project tasks, scheduled project timelines, oversaw budget management, managed UAT testing and authored user manuals. Organized work sessions with disparate stakeholders to drive consensus.

Confidential, New York, N. Y

Wealth Management Project Manager

Responsibilities:

• Project scope was a re-engineering of wealth management retail investor portal.
• Managed project direction, conflict resolution, budget management, UAT testing, release management and product delivery. Authored scope statement, project plan, governance documents and project status reports. Supervised two Agile Methodology teams.

Confidential, New York, N. Y

Market Data Project Manager

Responsibilities:

• Managed requirements for firm’s portfolio of capital markets software products for market data, regulatory compliance and trade surveillance.
• Hired resources, analyzed product development costs and managed relationships with exchange venues and third-party market data vendors.

Confidential

Executive Vice President

Responsibilities:

• Institutional Market Maker and Section Manager of high touch capital markets trading desk that made markets in NYSE and NASDAQ cash equities, corporate bonds and used option derivatives to hedge position risk.
• Co-head of Enterprise Risk Management and Product Control Group. Directed IT resources for gap analysis project involving front / middle / back office to identify and rectify FINRA regulatory compliance control gaps.
• Designed regulatory compliance applications for position risk management, rogue trader surveillance, mark to market pricing, phantom transactions and counterparty risk.