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Click here or scroll down to respond to this candidateCandidate's Name
PHONE NUMBER AVAILABLE EMAIL AVAILABLESummarySenior Financial Management Professional specializing in all areas of operational processing with an emphasis on conventional and derivative product processing in the trading and Private Wealth Manangement arenas encompassing every task required for success and the related accounting, treasury, tax, and risk management functions.Extensive experience in the finance/banking industry as well as risk management, regulatory requirements, BRDs and reporting.Experienced in problem resolution, systems and process integration.Excellent written and verbal communication and interpersonal skills.A self-starter with a mind for detail and follow-up with a strong commitment to excellence. Vendor management of the PORTIA, Charles River, Longview Trading System, Aladdin, Portfolio Plus (A Charles River joint venture). Tasks in all cases center around the Security Master build for all asset classes, Portfolio Management attribution, report writing, risk management, portfolio rebalancing and order execution, and data warehousing. The software depreciation over the defined time frames by the SDLC related to the development work and all budgetary aspects were handled with the Finance departments.Successfully executed System Conversion through various System Developmental Cycle (SDLC) utilizing Agile and Waterfall methodology.Expertise in developing User Stories, creating Back Log Items, facilitating Daily Stand-ups, Grooming Sessions and Sprint Retrospectives as required by the team.Daily RAID items and standard project management plans and artifacts are tracked in HP QC, Sharepoint, JIRA, Microsoft Project, and Excel. The Business Requirements cover any request from the Trading and Private Wealth Managers as related to the functionality mentioned above. Extracts from these systems are taken each day for daily updating as well as presentation to Senior Management for continual prioritization occurring either weekly, bi-weekly, or monthly depending on the direction from management and the point in time of the project life cycle. Gap analysis leads to the costs estimates that help determine the prioritization of the work requests.EducationMaster of Business AdministrationFordham University - Graduate School of Business, New York, NYMajor: Finance with a concentration in International Investment Banking.Awarded a Graduate Assistantship based on academic merit.Extensive studies of the London Metals Exchange.Bachelor of ArtsStonehill College, North Easton, MAMajor: Economics with a minor in Business Administration.Affiliations:The American Legion.New York Athletic Club.New York Athletic Club Rugby.Applications:VisioExcelMicrosoft ProjectWordPower PointShare PointJIRAHP QCExperienceUBS - Broadridge, Newark, NJ Sep 2021 May 2024Senior Consultant / Business AnalystConsultancy High Level Global Private Wealth Management Implementation Daily meeting attendance for SIT (Systems Integration Testing) integrations and senior level evaluations, producing commentaries related to streamlining the processes up to global standards and industry norms.Helped implement Liquidity Calculation Ratio regulation to monitor the health of financial assets. Parlaying both existing client efficiencies and industry wide acceptances leading to global uniformity of timely upscaling learned from straight through initiatives already proven since industry existence.Bank of America New York, NY Nov 2018 Aug 2021 Technical Business Analyst - Private Wealth Management SpaceAnalyze the decommissioning of the legacy ARCTIC system and the crossover to the new ZINC platform target state for the Global Markets Provisioning Point (GMPP).Organized and Facilitating SCRUM ceremonies like daily Standup, Sprint Planning, Sprint Demo and Sprint retrospectives.The goal is enabling a data warehouse to distribute data to roughly 60 downstream systems of consumption across Markets, Operations, Enterprise Risk & Regulatory Capital, and Finance. Facilitates requirement sessions with stakeholders and creates comprehensive work products documenting requirements, including validation and traceability of requests.Project Managing to the following scorecard milestones; identification of data gaps, requirements completion, development/QA completion, user testing completion, release to production. Calculated daily & 14-week forecast corporate-wide liquidity position & long-term liquidity forecast Establishing the priorities of the tasks or features by using Agile methodology. Business Analysis of the Target Operating Model across the following work streams; collateral, un-cleared margin rule, counterparty risk, central regulatory reporting core finance, finance, enterprise credit, market risk, counterparty credit risk, prime brokerage risk, treasury capital, treasury funding, treasury liquidity, global banking and markets, global wealth investment management, anti- money laundering.Employ JIRA for reporting metrics. SharePoint is utilized for RAID management and extracts are taken into Excel and prioritized with Senior Management in weekly meetings.UBS Union Bank of Switzerland, Weehawken, NJ Feb 2017 Nov 2018 Business AnalystBRQM (Business Risk and Quality Management) group of the Wealth Management Americas (WMA). Basel Committee on Banking Supervision revised standards to the Minimum Capital Requirements for Market Risk.Project Manage the IT, Market Risk, Legal and Compliance, and Trading work streams. Business Analysis of the Target Operating Model Desk Structure from the Volcker Rules as a straw man for the Fundamental Review of the Trading Book (FRTB) Desk Structure (Basel Rules). Create a local BRD for the regulatory requirements of policies and procedures for a Front to Back control framework.Publish the teams agile metrics to management and stakeholders.Model & setup simulation and stress test scenarios for CCAR and Liquidity Risk Reporting, setup of Liquidity limitsMeet with the Head Traders, Heads of Legal and Compliance, Heads of Market Risk, and Heads of IT weekly to gain status updates leading to issues and risks mitigation, and RAG status. Liaise with colleagues each day from Europe on working group calls to build and implement strategies.Ensure the rollout of new technology/development work meets the requirements and receives sign off.Employ JIRA for reporting metrics and RAID items management each week. Report into the globally run PMO, handling all of the WMA reporting.Spearhead the Records Management retention project across WMA for 17-A3/4 compliance.Raymond James Financial, St Petersburg, FL Jul 2015 - Feb 2017Business Analyst - Private Wealth Management SpaceCreated BRDs for the regulatory requirements for NAV mutual funds from a Business and Reference Data perspective.Established governance for the rules changes in the future state for both business rules and reference data related to the rules.Coordinated with the users and stakeholders to gather requirements and document user stories. Met with the Head Traders supporting the Financial Advisors to create a Gap analysis between Bond Wave and Trade Web/Bond Desk.Implement/deploy enhancements and new initiatives required by the business, inclusive of requirements gathering and obtaining business sponsor signoffs, using Agile methodology. This was a significant piece contributing towards the development of an FA/Trader Dashboard. Focused on reporting metrics and FA notification functionality.Authored the BRD for an internal rebalancing tool, after creating the GAP analysis. The issues list was a high level list of potential development work requested by the Business users. These requests were researched and cost estimates lead to the prioritization of the issues.Pershing BNY/Mellon, Jersey City, NJ Apr 2014 - Jul 2015 Technical Business Analyst - Trading and Wealth Management SpacesWorked in the corporate PMO managing 2 work streams for a client facing clearing conversion implementation.Barclays was converted from a self-clearing entity, to the Pershing clearing platform. Share Point for project artifacts pertaining to all CMM requirements for the SDLC. Standard agendas, dashboards, issued lists, meeting minutes for all meetings in the work streams on a weekly basis.HP QC for all testing and QA management from both the client and internally. Worked directly with Barclays the end client, their PMO, stakeholders, and the Pershing Business Analysis group, developers, and stakeholders to create and review the Business Requirements, weekly issues list, dashboard updates and Senior Management RAG status.Also included were the weekly change control process review and daily QC for bug review and fixes. Internally, managed the weekly meetings with the Pershing developers to maintain continuity with the Business Requirements and the timely development of the functionality with the dates on the dashboard for the SDLC tracking.Maintained the issues and budget estimates for the tracking to plan of the human capital expenditures on a weekly basis with Barclays the implementation client.The Royal Bank of Scotland, Stamford, CT Jan 2014 - Mar 2014 Business Analyst IIIRegulatory - The European Banking Authority (EBA) Financial Reporting Standard (FINREP) reporting of finance and related information to the Regulator.Collated the FINREP data submitted by divisions in the form of Supplementary Data Packs, transform and submit that data to the regulators in the required format.Key reporting of Credit Risk fair value changes, Fair Value Hierarchy of unrealized gains and losses, Income Statement by counterparty and geography, Derivatives by type and counterparty. Writing of BRDs and oversight of FRDs. Writing of high level test plan as well as all lower level test plans, and testing.Bank of America/Merrill Lynch, Jersey City, NJ Aug 2012 - Dec 2013 Business Analysis - Private Wealth Management SpaceSupported the Private Wealth Management Group in the system development for the Financial Advisors.Helped with the joint venture between Charles River Development and Merrill Lynch Technology for the upgrades and production requests for the Portfolio Plus system. Contributed to the issues list prioritization in weekly meetings with the vendor to jointly manage the issues related to the development work and bug fixes.Assisted in testing the scripts for the new system functionality and future releases.Authored BRDs for updates to Portfolio Plus Account and Security screen functionality, Compliance rule changes, and requested functionality utilized in legacy systems to be developed in the Portfolio Plus/Charles River application.Deutsche Bank, Jersey City, NJ Jan 2012 - Jul 2012 Business AnalysisProject Manage the upgrade of the Linedata Longview Trading System (LVTS) from version 6.3.8 to version 7.2.Asset classes included; Fixed Income, Options, FX, Convertible Bonds, Mutual Funds, Equities, & Futures.Compiled an overall Project Plan with Resource allocation, and a Reports project plan for management reporting.Planned and reviewed the Gap analysis for all Customizations, Workflows, Configurations, Interfaces, & Report functionality.Migrated all Batch processes, upgrade Report Launchers from VB to JAVA.Managed issues and risks in SharePoint along with all project artifacts. Issues list prioritization was a combined effort with the vendor.Lincoln Financial Group, Philadelphia, PA Feb 2011 - Aug 2011 Business AnalysisBA work - Ensured all SOUs/SOWs and BRDs were completed for each project. Worked closely with business SMEs to arrange meetings, work through issues lists, and review and sign off on SOUs/SOWs and BRDs.Maintained all artifacts and deliverables documentation in SharePoint.Managed the following projects for the DST TRAC Defined Contribution System Implementation; Exchanges, Plan Linking, Ibbotson, Morningstar, Payroll/Eligibility, Loans.Employed the Six Sigma methodology for PMO Status Reporting on a weekly basis into the Command Center.Managed project plans at the Milestone level as well as full detailPrepared integrated testing and release management analysis across all projects.Ameriprise Financial, New York, New York & Boston, MA Nov 2010 - Feb 2011 Business AnalysisEnsured BAs worked closely with SME and Business Side to develop timely Business Specifications for submittal to Offshore ETL team.Worked through issues lists with ETL team to gain acceptance into Build and Design phases of the SDLC.Provided Functional Specifications into an ETL Design, Build, and Test development life cycle. Senior Project Manager of a staff of Business Analysts for Fixed Income Trading and Accounting systems.Reference Data - Oversaw the build of a Data Warehouse for data acquisition and distribution for Perform and Aladdin Fixed Income vendor applications.Compiled and managed a 600 plus line project plan for all phases of the SDLC, Data Hub and Point to Point interfaces.Morgan Stanley, New York, NY Oct 2009 - Aug 2010 Business Analyst - Private Wealth Management SpaceSenior Business Analyst/Project Manager leading the Unified Intranet Platform project for the Morgan Stanley/Smith Barney Joint Venture consolidating the legacy intranets into a unified platform. Employed standard project management practices in a SDLC environment for Planning, Design, and Construction.BA work - Milestone level project plan, oversee BRDs and FRDs leading to construction.Bank of America, New York, NY Apr 2007 - Jan 2009 Business AnalystLed a Greenfield project to outsource virtually all of BofAs NY Prime Brokerage operational processes to an offshore vendor.Documented all of the Equity & Fixed Income processes.Interviewed the existing staff to determine the gaps between the current business requirements to the existing process documentation.Managed and worked on the sub-projects arising from the gap analysis which included operational procedures, outsource training, IT development functions, financial implications, and work flow documentation.Dreyfus Corporation, New York, NY May 1999 - Jan 2007 Business Analysis GroupThe majority of the projects were related to implementing new process and technologies to solve changing business requirements or to implement new products or services. Issues were maintained in Excel and re-prioritized weekly with Senior Management.Managed a $20 million integration project implementing a straight through processing solution for the Money Markets, Fixed Income, and Municipal Bonds trading desk by installing the Charles River Trading System.BA work - Streamlined the Commission reporting process for all of the Mellon Bank asset management subsidiaries.Managed the rollout of system upgrades and maintenance for the in-house developed equity trading system and bond trading system for all equity and fixed income products.UBS Union Bank of Switzerland, Stamford, CT Jun 1995 - Apr 1999 Business AnalystRegulatory - Delivered the Credit Risk Management System for Swiss European Banking Authority (EBK) Capital requirements successfully, reporting to Basel Miller in Switzerland. Designed & implemented a credit risk management system for Swiss EBK Capital requirements ($140M monthly reserve), developed Front Office management reports (CoRep) and automated controls on an Access database.Worked domestically and overseas on the development of the Client Marketing Information System (CMIS, over 400 clients). |
