Candidates About

PROFESSIONAL SUMMARY:

·         15+ years of Financial Services industry experience, who spent the first 5 years on the business side (determination of profit & loss (PnL), accounting and operations) and the second 10 years in technology as a Business Analyst, Project Manager and Program Manager

·         Over the last 15 years I have: (a) worked for JP Morgan Chase, three times (but not in the last 10 years), (b) Societe Generale, three times, (but not in the last 10 years), (c) worked for MUFG twice and (d) worked for two different managers, at three different companies; when they arrive at a new consulting client, I’m the first call they make, to see if I’m available. 

·         Experienced within the compliance discipline has included: Know your customer (KYC), Office of Foreign Assets Control (OFAC), Anti-Money Laundering (AML), FinCEN’s 314(a) PATRIOT Act of 2001, Foreign Account Tax Compliance Act (FATCA), Intermediate Holding Company (IHC), Basel III, Dodd Frank, Federal Reserve, & Comprehensive Capital Analysis Review (CCAR).

·         Full understanding of trade life cycle from trade capture to settlement, for many financial products including: Treasury (Bonds, Notes, Bills), Mortgaged Backed Securities (MBS), Mortgaged Backed Derivatives (CMO, CLO) Repurchase Agreement (Repo), Asset Backed Securities (ABS), Interest Rate Derivatives (Caps, Collar, Floors), Corporate Bonds, Convertible Bonds, Foreign Exchange (F/X), and SWAPs

·         Understanding of Operational & Market Risk and conducting analyses of end-to-end system workflows, business process and system modeling tools (data flow diagrams, process models, Entity Relationship Diagrams, Data Models, and Use Case Scenarios) system/process work flows to determine risk points & how to mitigate these risks. Also, experience within Data Governance (processing, user authentication (single sign-on (SSO)), monitoring, artifacts, approvals & signoffs)

·         Proficient in Technical and Business Writing, Business Process Flow, Business Process Modeling, Business Analysis and the various documentation (user guides, business, functional & technical specifications, use cases, test cases, user manuals, screen prototypes (GUI) and wire frames).

·         Experienced in Project Management i.e. Project Scoping, Planning, Estimating, Scheduling, Organizing, Directing, Budgeting, Deliverables and Drafting Remedy Procedures.

·         Experienced in various project management methodologies like SDLC, AGILE, & Six Sigma

·         Experience in various vendor applications such as: Broadridge/ADP (BPS/Impact/Cage III), SUNGARD (Global Plus, Martini, Brass, Brut (Order Management System/OMS), Phase3, UBIX), Fidessa/OMS, ION (Aurora/WinFITS),  Kestrel (Karousel: Wealth Management), (RAPTr: Broker/Dealer/OMS) and Calypso

·         Experienced in popular software packages like: Excel (vlookup, macros, nested logic, pivot tables, IF-statements), Word, Access, Visio & PowerPoint 

·         HIGH ENERGY, Self-motivated, persistent, diligent; a team player who can hit the ground running and build relationships with everyone from the ground level to the corner office.

·         By creating a user guide, which explained in detail, the 1500 lines of reference data to be collected and validated, was able to complete the project in four month instead of eight. (Savings to client: $75,000) (Credit Suisse)

·         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) (Fannie Mae)

·         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) “BIG DATA”

·         By disallowing employees to order car service 30 minutes before the 8PM requirement. (Savings to the client was $3,5000,000) “BIG DATA”

EDUCATION:                        Long Island University, B.S., Business Administration

Commerzbank AG (formerly Dresdner Bank Ag), New York, NY October 2017 – January 2018 Program/Project Manager (PMO)/ Technical Writer (Consultant)

·         Project 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 (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 macro’s 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 New York, NY April 2017 – July2017 Senior Project Manager/ Technical Writer  (Consultant)

·         As 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 gaps

·         Converted Treasury/OCC directive (12 CFR Parts 30 and 170) into functional/business requirements; also known as “Risk Governance Framework” and “Heightened Standards”

·         Reconciled 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 form

·         Risk 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.

Freelance Contractor, New York, NY December 2014 - April 2017 Technical Writer

·         Provide technical writing services to consulting clients including the development of business requirements, project charters, user, policy & procedural manuals, business plans and other assorted business documentation

BNP Paribas   Jersey City, NY November 2015 to April 2016 Compliance/ Regulatory Project Manager/Business Analyst (Consultant)

·         Created & 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.

·         Responsible 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 Application (Back-office/ 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). Managed the software development life cycle (SDLC/Waterfall), process from inception to delivery, for several projects. And participated in projects related to Data Governance (Developing key controls, user authentication (Single sign-on (SSO)), and Change Management

·         Used (a) Microsoft Excel for data analysis and comparison, (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/mappings and (e) UBIX for listed derivatives.

MUFG Union Bank New York, NY April 2015 – June 2015            Compliance Project Manager (Consultant)

·         Created & 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.

·         Responsible for reporting statues on a number of projects related to the screening of clients, sub 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 FinCEN’s 314(a) PATRIOT Act of 2001.

Citibank (Retail and Commercial Banking) NYC February2014  – December 2014 Compliance Project Manager/ Product Owner (PO) (Consultant)      

·         Within 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), Dodd–Frank Act, Personally Identifiable Information (PII) and Anti-money laundering (AML).

·         User Software Applications: Rational Team Concert (RTC), BluePrint, Quality Center (QC)

Credit Suisse (Private Banking/ Wealth Management) NYC April 2013 – July 2013 Senior Business Analyst/ Requirements Engineering/ Technical Writer (Consultant)

·         Gathered 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 which is the “golden source” repository for electronic documentation, reference data, currency/foreign exchange (F/X), nostro and depot (depositary) account information. Used JIRA and SharePoint for document storage and tracking projects items.

·         By 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 four month instead of eight and saved the client about $75,000.

·         Created presentations, current/future process/work flows, authorization requests and usage hierarchy (IT Governance), to determine access authentication & approvals.

MTM Partners             New York, NY January 2011 to April 2013 Project Manager/Senior Business Analyst/Technical Writer (Consultant)

·         Responsible for evaluating the client’s organization for: operational risks, process improvements, and cost cutting/revenue producing opportunities. Conducted meetings with department heads, to determine current work environment, gaps in current processes and future technology needs. Compiled results into a policy & procedural document and was presented to senior management for future strategic implementation. (Non-Profit)

·         Responsible 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) and Foreign Account Tax Compliance Act (FATCA)), Trade Surveillance, Reference Data, and Operational Risk for an application called Shadow Financial & GMI futures (French Consortium)

·         Responsible for writing a strategic business plan for a private lender, whose collateral is secured by commercial real estate properties valued at $10 MM and below. (Start Up)

Bank of America New York, NY August - December 2010 Project Manager (Consultant)

·         Managed 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 & general ledger (Oracle GL); 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 (Dodd–Frank 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.

·         Participate in relevant working groups (i.e. MBSCC, DTCC,) to represent Securitized Products Operations and lead dialogue and initiatives specific to SP Change Management functions, in partnership with Capital Markets Credit, Rates Operations and Credit/Rates Middle Office leadership as needed

·         Conducted weekly status meetings to review project timelines (CA Clarity systems), risks, actions, issues, resources, budgets, change management protocols, User Acceptance Testing (UAT) and possible delays were escalated to senior management.

·         Used of Excel (vlookup, macros, nested logic, pivot tables), to conduct analysis within many of the reference data structures. 

Kestrel Technologies September 2007 to April 2010 Project Manager /PMO Technical/Writer  (Consultant)

·         Responsible for: Managing day-to-day operations as well as planning for strategic growth; creation and upkeep of complex documents such as “Service Level Agreements” (SLA), software licenses & service agreements; creation & implementation of new procedural manuals pertaining to: corporate policies, change management, corporate best practices, security policies, disaster recover, and daily operational guides  

·         Responsible 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.  

·         Supervised/ mentored 25 direct and indirect reporting professionals, related the implementation of new software and multiple complex projects (i.e., several interfaces; in and out flow of market & reference data (Reuters/Bloomberg), traditional and Citrix hosted solutions, new client orientation (client onboarding)).  Utilized both SDLC and Agile, project management methodologies. Managed budgets up to $8 million, per project, across multiple functional areas.

·         Conducted 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.

·         Kestrel Technologies was a front office, fixed income software organization which created two applications: (a) Karousel (Buy Side) and (b) RAPTr (Sell Side & OMS). In addition to processing fixed income securities, RAPTr consumed OTC derivatives including SWAPS  

SetClear New York, NY May 2006 to September 2007 Senior Business Analyst/ Technical Writer (Consultant)

·         Created policies & procedures documents related to full trade life cycle from trade capture to settlement for the following financial products: Exchange Traded Equities, Options, Interest Rate Derivatives (IRD), Foreign Exchange transactions (F/X or FX) and SWAP’s

·         Utilized MarkitWire (SwapsWire) and Agile methodology

·         Developed requirements/documents (functional, business, system/work process flows, data models, screen mock-ups, FIX protocol interface, wireframe, prototypes, mapping incoming reference data, client onboarding, operational risk regulatory documentation & user manuals (security/pricing/product master)), from scratch, for a web-based (eTrading/online trading application), start-up middle/back office application.

Fannie Mae Herndon, VA November 2005 to May 2006 Senior Business Analyst/ Technical Writer (Consultant)

·         Used DB-Visualizer, along with SQL (Standard Query Language) queries, to verify the results of these test scenarios (QA and UAT). Also used testing tools including Mercury Quality Center (Test Director) and ClearQuest (Rational) for the management of test cases/scenarios, the management of defects and automated testing tools

·         Responsible for the creation and execution of complex test cases, for a portfolio accounting application which contains various types of Fixed Income/Mortgage Backed Securities (MBS), Collateralized Mortgage Obligations (CMO), Collateralized Loan Obligations (CLO), Whole Loan Transactions (including Origination, Processing and Servicing Loans), Repurchase Agreements (Repo), Reverses, Dollar Roll & Tri-Party

·         Created test cases, from the Investment/ Fund Accounting perspective, with sub-topics which included: FAS 91 (Amortization), FAS 140 (Re-Securitizations), FAS 157 (Fair Value Measurements), FAS 115 (Mark-to-Market & Impairment), FAS 133 (Securities Accounting), FAS 65 (LOCOM – lower cost of market), FIN 46 (Security Consolidation), Security Cost Basis and Tax Lot Accounting.

UBS     New York, NY December 2002 to July 2003Senior Business Analyst (Consultant)

·         Responsible for gathering requirements, from users (Traders & Risk Professionals) based  in London, Zurich and New York, writing functional, technical specifications & use cases, for: (1) an in-house front office, trading application (GABS) who’s main products are related to ABS (Asset Backed Securities), CDO (Collateralized debt obligations), Whole Loan Mortgages and financing securities (Repo, Reverse, Dollar Roll & Tri-Party); (2) Risk Management Systems, which supplies users with intra-day and end-of-day speeds, status of modeled bonds, as well as market risk (Value-at-Risk) and credit risk (delta) information

·         Also responsible for data mapping/validation/ analysis of market data feeds from several reference data systems (security/pricing/product/account master), including Bloomberg, to a number of in-house applications, including ION Marketview/Winfits/Polypaths, Martini, Global One, Addvantage, FIS (formerly Sungard) Global Plus & Phase3 (SUNGARD products), using Excel (nested logic,  vlookup and VBA)...