PROFESSIONAL EXPERIENCE

Business Analyst / Rules Specialist

Confidential, Tampa, Florida

Responsibilities:

• Created a governance process in accordance with information governance component framework including Data stewardship, data management, data quality, metadata management, privacy / security and information lifecycle in accordance with BCBS 239. Creation of CCAR filings for FRY14Q schedules J, K, F and H using rules based approach
• CCAR submissions Rules were substantially simplified enabling reusable rules and data in conjunction with an ETL tool (Ab Initio with a custom front end called Harmony).
• Interpretation of FED requirements and translation into rules for FRY9C, FRY 14,A,Q,M
• Slashed process time by 33% by improving interaction with technology on data analysis, data demand. Improved turnaround time for corrective action. Created a data governance process incorporating BCBS 239 requirements
• Managed a team of 30+ project managers, business analysts and quantitative analysts with a budget of $20 Million across activities in Commercial (CRE), Assets held for sale (AFS) and Held to Maturity (HTM).
• Team lead for the assessment of Corrective action plans (CAP) and IT audit validation team for FRB 2052a 2052b report.
• Developed and implemented a data governance process that generated a FED audit response “This should be the next industry standard”.
• Program managed a team of 6 project managers focused on the implementation of KYC and AML client profile integration. Worked with the Mantas case management workflow process.
• Ensured coordination with stakeholders, IT, Operations, Treasury, Trading and internal audit during the FED MRIA response and implementation of CFR part 30 requirements, including communication to senior management in each respective product group, treasury, legal and finance .Collate, organize, maintain and coordinated a project list of 72 concurrent projects.

Program Manager

Confidential, New York, NY

Responsibilities:

• Managed 12 project managers /18 business analysts documenting FRY9C,FRY14M,Q,A.
• Produced a weekly high - quality, clear and concise power point status report to help in the effective management, prioritization and oversight of program projects.
• Partner closely with IT and business partners on ensuring reports, processes, timeliness and accuracy were maintained at the appropriate levels.
• Set up project portfolio management tracking using SharePoint.
• Completed program structuring dividing CCAR effort into six program segments for delivery.
• Initiated, planned and delivered response to MRIA while incorporating BCBS 239 compliance.
• Designed a new counterparty credit risk architecture incorporating AML and BSA data.
• Meet with Federal Reserve board auditors to review comments (MRA, MRIA) and the associated Capital Action Plan

VII program manager

Confidential, New York, NY

Responsibilities:

• Designed the interface for the swap execution facility (SEF) incorporating a liquidity solution for client SEF transactions
• Identified work flow problems impacting revenue generation, raised challenges, and presented solutions to the steering committee.
• Improved and maintained operational risk and permanent control reporting for the business line in the U.S. and Canada and business continuity plan for New York City. Created a rules based profile that was later adopted as a strategic direction for AML case management integration with Mantas.
• Met the regulatory deadline within allotted budget of 15MM.
• Planned integration of client data at on-boarding(KYC,AML,BSA,)

Program Manager

Confidential, New York, NY

Responsibilities:

• Reviewed the tactical solutions implemented to meet Dodd Frank external business conduct rules as they impacted work flow.
• Conducted workshops with the COO product managers to develop a strategic solution for the tactical implementations.
• Performed weekly and bi-weekly progress reports of the US Dodd Frank program with the overall regulatory program operated in the U.K.
• All tactical projects were assessed for optimization and strategic redesign to create a new strategy resulting in more effective AML strategy with reduced false alerts.
• Cost reduction recommendations included changes to trade capture and streamlining workflow. Strategic improvement recommendations by using new information and relating it to KYC, AML, FATCA.
• Create counterparty profiles and a unique modern transaction environment to produce automated recommendations for the sales group.

Program/ Project manager

Confidential, New York, NY

Responsibilities:

• On-boarding for the private bank integration with investment bank systems. Investment bank on-boarding.
• Implemented the initial planning phase for the Volcker rule including preparation of the general compliance manual, decision on trading and underwriting, determination and preparation of data capture and storage.
• Preparation of the market-making exemption, underwriting exemption and the hedging exemption.
• Preparation of a push out plan including entity structure.

Project manager

Confidential, New York, NY

Responsibilities:

• Complete execution of strategic initiative to Re-architect the workflow and front to back processing system architecture of this large international wealth management / Hedge fund. Project management approach using agile methodology.
• Full documentation of business requirement, business case, and functional design analysis with user groups used to select vendors, and negotiated contracts (Total annual savings of $2.5 Million over 5 systems Misys, Navision, Princeton, Charles River and Asset Control).
• Major interfaces included Numerix sell side analytics combined with Charles River development order management system forming the trading platform. Princeton financial portfolio accounting system interfaced with Microsoft Navision general ledger package completed the accounting infrastructure.
• Misys Opics plus is used to process exotic derivatives, fixed income, market risk scenario analysis. Asset Control Data warehouse and data management system linked to a Composite middleware layer and Cognos business information system formed the technology infrastructure.
• Full software development project life cycle.

Project manager

Confidential, New York, NY

Responsibilities:

• Responsible for day-to-day affirmations, clearing and settlement operations.
• Monitored market data service levels and SLA agreements.
• Recruited and formed a team of 14 professionals.
• Anti-Money Laundering Compliance
• Complete Basel II reporting for market, credit, and capital and operations risk.
• Strategic planning of US Equity technology initiatives.
• Develop project proposals, plans, and budgets.