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Click here or scroll down to respond to this candidateCandidate's Name
New York, NY Street Address PHONE NUMBER AVAILABLE EMAIL AVAILABLEhttps://LINKEDIN LINK AVAILABLEPROFESSIONAL SUMMARYFixed income securities, within back-office operations (settlements) and accounting was my entre into the capital markets arena, specifically within MBS, dollar rolls, repos and treasuries. Then I moved into technology starting as a QA Tester, then Business Analyst and concluding with Program/Project Manager positions. Most recently, I have spent some time in Compliance and Regulatory. With 10+ years of experience, I have a full understanding of the trade life cycle from trade capture to settlement, for many financial products. And finally, because I came up through the ranks, I can talk to the people in the mailroom as easily as I can talk to the professionals in the corner office.USER TECHNICAL SKILLSSQL Server/SQLiteChange ManagementBroadridge (Impact, BPS, MBSE)Salesforce/CRMClient OnboardingOTC derivative productsProcess Flows/Swim LanesData Governance (GRC)Fixed Income ProductsSecurities Lending/Prime BrokerageOperational RiskPolicies, Procedures, Roles & ResponsibilitiesPM: Waterfall/SDLC, Six Sigma/Lean, Agile, EPLCAtlassian: JIRA, ConfluenceMicrosoft Office/Visio/PowerPoint/Project/Word/Excel (Pivot Tables, Macros, V-Lookup & Advanced Formulas) Tableau & Power BISungard/FIS (Global Plus, Brass/Brut, Martini, Phase3, UBIX, Fidessa, Loanet, Horizon & Systematics)KEY `BUSINESS ANALYST: Created documentation related to technical and business writing, business process flows, business process modeling, and the various documents like: user guides, business, functional & technical specifications, use cases, test cases, user manuals, screen prototypes (GUI)/ screen mock-ups and wire frames.DATA ANALYST: Used various tools to extract, cleanse, manipulate data in spreadsheet and databases, using SQL, Excel (VLOOKUP, Pivot Tables, Formulas/Functions) and RPROGRAM/PROJECT MANAGER: Have executed projects in: Waterfall, Agile, Six Sigma/Lean Six Sigma, Enterprise Performance Life Cycle (EPLC). Project management/PMO documentation have included: Gantt charts, scoping, planning, estimating, scheduling, organizing, directing, budgeting, deliverables and drafting remedy procedures. Managed up to 25 direct and indirect reporting professionals, on and off shore, including developers and testers; budgets have varied from $500,000 to 8 million dollarsCOMPLIANCE & REGULATORY: Know your customer (KYC), Office of Foreign Assets Control (OFAC), Anti-Money Laundering (AML), FinCENs 314(a) PATRIOT Act of 2001, Foreign Account Tax Compliance Act (FATCA), Intermediate Holding Company (IHC), Basel III, Volcker, Dodd Frank, Federal Reserve Reporting (FFIEC002, FR Y-9C, Form FR Y-7N and FR_Y-14Q, Liquidity Reporting (FR 2052a), Comprehensive Capital Analysis Review (CCAR), LIBOR to SOFR and synthetic LIBOR.SUCCESS STORIESBy creating a user guide, which explained in detail, the 1500 lines of reference data to be collected/ validated, was able to complete the project in 4 months instead of eight and saved the client about $75,000.By developing an alternative action plan for all critical functions, was able to successfully complete my project on time and within the allotted budget; the remaining 11 teams were delayed up six months for NOT properly mitigating their risk. (Savings to client: $1,625,000)By instituting new policy (Car Service to the 5 borough after 8:00 PM; final destination after 10:00 PM) and centralizing firm wide black car service. (Savings to the client $9,000,000 on an annualized basis)By disallowing employees to order car service 30 minutes before the 8PM requirement. (Savings to the client was $3,5000,000)WORK EXPERIENCECitibank (Private Bank & Wealth Management), Various (Consultant) February 2023 to July 2023Project Manager/Business Analyst: Managed a team of professionals, within the private bank/asset management, whose responsible was to move clients facilities (loans, credit lines, CLO) from LIBOR to SOFR or synthetic LIBOR before the deadline. Liaised between bankers, legal, compliance and operations, to complete the project on time and within budgetary constraints. Also, working with Reg Z, Flexcube, and built dashboards and automated reports in, Excel/Tableau, to create data proficiently, visualization and querying/analysis tools, for reporting purpose. Data Analyst/ Validation: Used VLOOKUP to create a data warehouse with four data files, containing approximately 45,000 loans, over a period of 72 months, to identify the correct population of underperforming loans. Used Pivot Tables to detect underachieving loans. Created PowerPoint document to train users on how to process new transaction types.Israel Discount Bank (Private Bank), Business Analyst & Project Manager (Consultant) May 2022 to August 2022Assistant in the migration to JackHenry/SilverLake/Argo by creating process flows (Visio) and procedural manuals for the following private banking items: Trusts/Estates, Cash Management, Regulatory Reporting (FRY 14Q, FR 2052a), Exception item processing, Return Mail, Payment Processing (domestic & international) & ACH transactions. Worked with Salesforce, KYC, Change Management and ActimizeCreated documentation to reflect project plans, status updates, meeting notes, PowerPoint presentations, organizational change management protocols, scope, risks, open items, key accomplishments and project timelines.Also responsible for reporting to senior management on topics such as resources, statuses, operational risks, dependencies, constraints, escalation plans, and release plans.Charles Schwab, Business/Data Writer (Consultant) January 2022 to April 2022Observed and documented, front office, asset management procedures for the following applications: Spyglass, Everest (OMS), TrueMarkets, Bloomberg/Bolt, Bondpoint (ICE) & Blaze for portfolios containing these securities: Corporates, Treasuries, Mortgage Backed Securities (MBS), Municipals, Exchange Traded Funds (ETF), Common Stock and Equity Derivatives. Resulting documentation (business requirements, swim lanes/process flows, & management summaries) were posted in Confluence. Also utilized Blackrock's' Aladdin and Available for Sale (AFS) transactions.Used SQL Server to reconcile unique identifiers from the Security Master (reference data included: CUSIPs & ISINs) in tables comparing messages from MSG1 Bloomberg Message Mining to Neptune. Created data mapping methodology for Neptune & MSG1 messages.Amalgamated Bank, Project Manager/Business Analyst (Consultant) February 2020 May 2020Built business requirements and functional specifications for a trust/ custodian/administer, whose client (REIT pension fund) is changing how they charge, calculate, and bill fees. New requirements will be tested in FIS/GlobalPlus/Documentum/Horizon/Xamin. Utilized change management protocols and Microsoft Visio.Operational Risk Project: In Microsoft Visio, completed process flow diagrams/swim lanes for 60 applications, across 25 functions, within the organization, for global & domestic, equity & fixed income securities, related to for prime broker and securities lending, transactions (Loanet).Bank of America IT Project Manager V (Consultant) July 2018 September 2018In an agile environment, an F/X migration project, from several vendor applications (SunGard/Sierra & Bloomberg/ TOMS) to existing and newly developed internal application. Created documentation to reflect: status updates, meeting notes, PowerPoint presentations, process flows, change management protocols, developer toolkits, tutorial guides for JSON API platforms, specialized updates to Wiki (Atlassian-Confluence) and SharePoint. Financial products utilized: Foreign Exchange Spot, forwards, Swaps, Vanilla and first generation exotic options. Managed several working groups related to infrastructure development in front office credit department.Commerzbank AG Project Manager (PMO) (Consultant) October 2017 January 2018Project Manager/Technical Writer: Subject to the Project Management Framework (PMF), in Agile; was responsible for writing, reengineering, assembling and managing the collection of PMO related documents, from two work streams (6 projects total), to satisfy an internal audit/compliance/ data governance (GRC) (processing, user authentication (Single sign-on (SSO)) directive. Each package of artifacts contains more than 30 documents related to project plans, expenses, timelines, risks, signoffs, process flows/ improvements, agile documentation (user stories, acceptance criteria, and story points), operating/user manuals and communication directives. Managed clients expectations, in terms of deliverables, timelines and future goals.Applications utilized including: JIRA, SharePoint, RSA Archer, HP Service Manager, HP Quality Center, Microsoft PowerPoint (for senior manager presentations/ steering committees ). Also utilized version control and change management principals, to keep the documentation organized. Used Excel macros to translate large quantities of data from PDF, to Word to Excel, to create customized reports. Used advanced functionality in excel to preform data cleansing.Projects included: Broadridge/Impact, upgrade to 9.4.1; Repo/Securities Lending in Martini & Loanet, My Compliance Office (MCO) and Golden Source for Client Data. Project was completed on time and on budget.MUFG Union Bank Senior Project Manager (Consultant) April 2017 July2017As a result of an OCC mandate (12 CFR Part 30), was responsible for driving seven (7) global/enterprise risk related, work streams to completion; writing/drafting mandatory documentation for completion included: (a) Policies & Procedures (b) Roles & Responsibility (RACI chart) (c) Effectiveness (d) Sustainability and (e) outstanding gapsConverted Treasury/OCC directive (12 CFR Parts 30 and 170) into functional/business requirements; also known as Risk Governance Framework (GRC) and Heightened StandardsReconciled OCC mandate verses (a) Front Line of Defense (Line of Business), (b) Second Line of Defense (independent risk management) and (c) Business Unit Risk & Controls Officer (BURCO), in a matrix formRisk streams included: compliance, credit, legal, liquidity, market, operational, regulatory, and reputational.. Utilized Microsoft PowerPoint, Excel and Word, in the preparation and presentation of project documentation, to senior management steering committees. Project was completed on time and on budget.BNP Paribas Compliance Project Manager/Business Analyst (Consultant) November 2015 to April 2016Created & formalized project documentation including: project charter, project plans, pert and Gantt charts, duration estimates, financial costs, and communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, operational risks, dependencies, constraints, escalation plans, project and release plans. Used Treasuries/ LIBOR/Bloomberg/ Reuters to price securitiesResponsible for building requirements (business & functional) for topics related to Intermediate Holding Company (IHC), Basel III, Dodd Frank, Federal Reserve, FASB 133, Comprehensive Capital Analysis and Review (CCAR). Reports completed: FFIEC002, FR Y-9C, Form FR Y-7N and FR_Y-14Q, Liquidity Reporting (FR 2052a)Built requirements & tested (1) Broadridge/ICI/Impact/BPS (equities) Application (Back-office/ Settlements/ Prime brokerage/ Clearing/ Fixed Income: Treasury, Mortgage/MBS, CMO, CLO &ABS), (2) Calypso (Cash Equities, F/X & OTC Derivatives) and (3) Martini (Front Office Fixed Income Securities, Securities Borrowing/Lending & Repo Trading based on ALD/ ALDOP). Managed the software development life cycle (SDLC/Waterfall), process from inception to delivery, for several projects. And participated in projects related to Data Governance (GRC) (Developing key controls, user authentication (Single sign-on (SSO)), and Change ManagementUsed (a) Microsoft Excel for data analysis and Power BI, (b) Used JIRA and SharePoint for document storage and tracking projects items. (c) Microsoft PowerPoint for presentations to senior management, (d) Microsoft Visio to create process flow/data mappings and (e) UBIX for listed derivatives.MUFG Union Bank Compliance Project Manager (Consultant) April 2015 June 2015Created & formalized project documentation including: project charter, project plans, pert and Gantt charts, duration estimates, financial costs, operational risks and communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, risks, develop the escalation plans, dependencies, constraints, roles and responsibilities (RACI chart), project and release plans. Used Enterprise Performance Life Cycle (EPLC) project management discipline.Responsible for reporting statues on a number of projects related to the screening of clients, sub ledge accounts/ clients, counterparties and securities from the perspective of: Know your customer (KYC), Office of Foreign Assets Control (OFAC), OFAC Reporter (Prime), Anti-Money Laundering (AML), SWIFT messages/ Federal Reserve Wire Instructions (Fed Wire), Suspicious Activity Report (SAR) and FinCENs 314(a) PATRIOT Act of 2001.Citibank (Retail and Commercial Banking) Compliance Project Manager/ Product Owner (PO) (Consultant) February2014 December 2014Within an agile project management methodology, was responsible for building requirements/artifacts from several internal applications to the Fidelity (Alltel) Systematics (FIS) system, from a domestic tax perspective, which includes Federal & State withholding and reporting for commercial and consumer (retail banking) clients.Frequently created and exhibited PowerPoint presentations, to senior management on various topics including: resources, statuses, risks, velocity, dependencies, constraints, release plans, data validation, operational risks and outstanding grooming details.As a Project Manager/Product Owner, was responsible for leading a team of business and technology leaders to create user stories, acceptance criteria, business rules, assumptions, process flows and impacted applications pertaining to: Tax Forms Tax Forms: W8, W9, W8Ben, W8BEN-E, 1099-INT, 1099-MISC, 1042-S, 1st B Notice, Tax-2nd B Notice, Tax-C Notice, Tax-C Notice Stop, Cost Basis/Tax Lot Accounting, Chapter 3 (NRA) and Chapter 4 (FATCA), DoddFrank Act, Personally Identifiable Information (PII) and Anti-money laundering (AML).User Software Applications: Rational Team Concert (RTC), BluePrint, Quality Center (QC) and PlainviewCredit Suisse (Private Banking/ Wealth Management) Senior Business Analyst/ Requirements Engineering/ (Consultant) April 2013 July 2013Gathered requirements, formulated solutions as well as prepared documentation (user guides, business & functional specifications, use cases, test cases), from various global users, based on the project needs and international regulations, for a customer relationship management (CRM) application (Titan) which is the golden source repository for electronic documentation, reference data, currency/foreign exchange (F/X), nostro and depot (depositary) account information. Created Kanban dashboard in JIRA and used SharePoint for document storage & tracking projects items.MTM Partners Project Manager/Senior Business Analyst (Consultant) January 2011 to April 2013Responsible for designing test cases / scenarios for exchange traded funds (ETF), listed indexes, cash equities (Fidessa), equity exchange traded futures, options & interest rate derivatives, in the following disciplines: connectivity to exchanges, commissions, fees (SEC, Exchange, OCC, ORF), Compliance/ Regulatory (Short Interest Reporting, Large Option Position Reporting (LOPR), (FIX) protocol and Foreign Account Tax Compliance Act (FATCA)), Trade Surveillance, Reference Data, and Operational Risk for an application called Shadow Financial, GMI futures, FIS/GlobalPlus and ION Marketview/Winfits/Polypath (French Consortium). (Start Up)Bank of America Project Manager (Consultant) August - December 2010Managed a development effort, within Operational Change Management (OCM), which attempted to create a daily reconciliation between the organizations (Global BAC/Merrill) internal market risk application and the sub ledger & general ledger (Oracle Financial Systems); variables included: operational, product, and market risk, monthly reconciliations, positions, scenarios, trading desks: Commodities, Currencies (F/X), Mortgages Rates & Swaps (OTC Derivatives); reference data, Enterprise Risk Management (ERM) and reporting concerns, due to a compliance directive (DoddFrank Act (VII)/Volcker Rule(VI)), Data Governance (processing, user authentication (Single sign-on (SSO), Change Management, Volcker Rules in terms of clearing, execution, and data reporting.Kestrel Technologies Project Manager / Business Analyst (Consultant) September 2007 to April 2010Responsible for the creation of: (1) project plans with defined milestones that identify the project critical path; (2) detailed project charter that defined project goals, objectives, governance structure, scope, guidelines and release plans; (3) project schedule (Gantt chart) which defined, resources and the identification of scheduling conflicts; (4) capacity management, to manage information technology; (5) operational risk assessment report, to determine possible points of failure within the organization, new project assessments/ project timelines (MS-Project) and process work flow to determine potential risk factors and how to mitigate risks; (6) creating Disaster Recovery / Business Contingency Plans; (7) Used Treasuries/ LIBOR/Bloomberg/ Reuters to price securitiesConducted weekly status meetings to review project timelines, risks, actions, issues, resources, costs (variance on costs), dependencies, change management adjustments and possible delays were escalated to senior management. Also was accountable for Project Management Office (PMO); responsibilities included: budgets, time sheets, project plans (schedules/dependencies) meeting notes, client billing, test of plans and tracking compliance. Utilized Salesfore.com for all CRM related activities, Documentum for storage and Great Plains/ Microsoft Dynamics for accounting. Used SQL to retrieve data from an Oracle database, to verify that test data was correctEDUCATIONLong Island University, B.S., Business Administration |
