Candidates About

 

Richard Finn

Summary

Application of 20 years of experience as a Senior Business Analyst with PM/QA skills combined with in-depth Banking, Brokerage and Financial Services knowledge in Operations, Middle Office and Back Office processes, Product Design/Implementation, Data Conversions, Testing and Reporting in a medium to long- term contractual engagement. Application of strong Functional and Technical specification writing with regards to Financial Services, Trust Accounting, Global and Domestic Custody, Cash Management, Funds Transfer & Wire Processing, Security Master Reference Data, Pricing, AML and OFAC Compliance, Equity, Fixed Income & MBS/ABS Securities Processing, Global Cash Management, Corporate Actions, Wealth/Asset Management and Brokerage system solutions using RUP, UML methodologies. Extensive Financial Systems knowledge. Specializing in Data Mapping, Data Analysis, Requirements Gathering, JAD Sessions, Conversions, System Integration, Process Re-engineering.

 

Recent Roles & Milestones

 

 

·         Sr. Business Analyst Solutions SME for the LPL MDM Reference Data – Wealth Management Initiative - Security Master, Corporate Actions and   Party Master - Process Reengineering and Regulatory Compliance (BSA, OFAC, FACTA, AML, KYC) – CCAR Basel III BCS 239

 

·         Sr. BA/ Team Lead for the Key Bank Reference Data / AML Conversion - Enterprise Information Management - Multi release project - Actimize / DST /SunGARD Global Plus

 

·         Business Analyst and Testing Coordinator for the M&T Bank Fraud Detection Project with a focus on                    AML, KYC and OFAC Compliance

 

·         Requirements Manager for the Security Reference Data Delivery Project New York, NY/UK

 

CONSULTING EXPERIENCE

 

M&T Bank N.A. – (On Site – NY State  & Remote)

Sr. Business Analyst

 CCAR Basel III BCBS 239 / MDM Initiative                                                                                             1/2016-12/2017

 

Working in the capacity as Sr. Business Analyst and SME to migrate data from Risk and Financial Systems to a Centralized Storage & Reporting Solution in support of CCAR BCBS 239. Focus on Data Quality and Data Definition guidelines for the MDM Data Storage and CCAR reporting. Working both directly on site and remotely. Tasked to bridge the gap between legacy systems to be decommission as a recent of recent acquisitions and the new Enterprise Data Warehouse.  Work with the Data Governance, Data Quality and MDM Managers to creating Data Mapping, Data Staging, Data Profiling and Match Merge validation Rules. Major tasks included: Identification of KDE (Key Data Elements) across Risk, Finance, Legal Compliance with goal set to normalize fields across the bank in the following domains: Asset Class, Corporate Actions, Compliance, Geography, Legal Entity, Party Master and Organization Hierarchy for the MDM transition team. – Environment allowed moving from one deliverable to another and simultaneous working on multiple tracks as we passed various stages of deliverables in SDLC and Testing Lifecycle from UNIT, QA, SIT and UAT. Hands on with SQL for data mining using Toad and SQL Developer. Conducted Joint JAD/CALL sessions in an Agile Environment both as a Participant and as a Leader of the Defect Management Triage call. Instituted/Upgraded ALM Testing Requirements traceability. Creation of Functional Specifications, Interface documentation, Use Cases, High Level Design Documents as well as Data Mapping from Source systems and Outside vendors including Bloomberg, Reuters, DTCC and SWIFT messaging Data layout. Applied in-depth knowledge of all Asset Classes for Reference Data including Pricing, Terms and Conditions, Corporate Actions, Market Identifiers, Ratings and Counterparty Risk data.

 

 

 

 

 

 

 

 

 

 

 

 

LPL Financial – (Charlotte, NC)

Sr. Business Analyst Solutions - SME

MDM Implementation – Reference Data Master                                                                                      4/2014- 9/2015

 

Tasked to bring multiple Business Lines and Technology Lines in sync to support the MDM initiative for Wealth Managements and Retirements products as well as heading up the Corporate Action, Security Master, AML/KYC, and Alternative Investment space. Working closely with users and Technology to move from a Design and Requirements to Implementation mode.  Creation of Current and Future State Work Flows, Use Cases, Data Mapping, Testing Cases and Expected Results. Traceability between Functional and Testing Requirements. Meeting with Senior Management and Stakeholder on a daily basis. Point of contact for Alternative Investments, Pricing, Holdings and SMAC Security Movement and Control both in house and in custody held away assets. Worked Integration with Informatica and Quality Center ALM for testing of Translation tables. All Data Mapping of Pricing Files include Reuters Data Scope, BETA, DTCC, CUSIP, NCSS, Morningstar and DTS.

 

 

RBS - Citizens Bank N.A.  (Cranston, RI & Remote)

Sr. Business Analyst/Team Lead - Data Master Specialist

Master Data Management Reference - Data Warehouse Initiative                                                      3/2013 - 3/2014

 

Lead Business Analyst and Team Lead for the MDM - Master Reference Data Management project.  Management of the South East remote resources based in Tampa and reporting to head office. Creation of Test Cases, Test Scripts and Requirements artifacts with the ALM space. Applied In-depth knowledge of ALM (Application Lifecycle Management). In a Teradata environment with Infosphere. Worked on Multiple releases within the Master Reference Data - Data Warehouse arena with specialty in ISO Codes - Country, Currency, NAISC, Account Master, Security Master and Party Master supporting the HSLC - Lending Business Line, Mortgage MRIP, Geography, ZIP Codes.com, Loan Application Survey and Response via RDI and Data Stewardship. Involved with all Change Control meetings, creation of developments estimates, Testing Coordinator for Release 2, Testing Lead for Release 5-3..Movement of data from Staging to Acquisition to CORE to Semantic layers. Provided coverage for team members. Successfully achieved 95% or better on RBS University OFAC, Sanctions, BSA - Ethics and AML Fraud Prevention. Creation of Future State work-flows Use Cases, end to End process flows and resource allocation. Successfully lead 3 iterations of Release management coordinating on- shore off-shore and remote resources. Travel between Tampa, and Cranston Rhode Island as needed.

 

 

 

Key Bank (Cleveland, OH)

Sr. Business Analyst/Conversion Specialist

Wealth Management / SunGard Interface Conversion Team                                                               8/2012 - 3/2013

 

Business/Conversion Analyst for the Key Bank & Trust data migration from AM Trust to SunGard Global Plus and GMI. Creation of Functional Specifications, Use Cases, Interface Specifications, Data Mapping and File Mapping in support of Invest One, NCOA National Change of Address), OFAC, AML / Mantas/ACTIMIZE/DST Comparison and Data Migration Testing Benchmarks) , Trade Settlement ( SMAC), Corporate Actions and Cash Management /SWIFT and FED ABA . Conversion of Security Master Reference Data, Golden Copy, Account Master Name and Address and Cash Settlement. Working in an Agile environment, creation of Burn Down metrics and Scorecards, Executive Dashboard updates, Issue Logs and File Factory. . GMI Settlements though SMAC and Counterparty Risk assessment and setting settlements Risk Parameters. Working closely with both Business, Trading, Application Development and Enterprise Data Warehouse groups, successfully documented the flow between the DWH and feeder databases for dynamic data elements, created screen mock-ups and complete data mapping (source to target), to convert the daily process of pricing and holding information to an automated query on demand a API. Primary contact for the User Experience group as well as the Asset Allocation teams. Coverage including all asset classes and sub class including Fixed Income, Equities, Options and Derivatives. Tasked to perform evaluation analysis of "Greeks" to support future Asset Allocations, Projections and Credit Risk. Creation of Current and Future state workflows using VISIO. Daily data retrieval and queries using SQL in an Oracle 10g/TOAD environment for data mining.

 

 

 

 

 

 

M&T Bank (Buffalo, NY)

Sr. Business Analyst/ Testing Coordinator

Mergers & Conversions Group - Compliance Activities                                                                         2/2011 -7/2012

 

Business Analyst for the "Alerts II" Fraud Detection & Prevention/AML project. Creation of multiple artifacts including detailed Function Specifications, Process Flows, Activity Diagrams, Data Mapping and Account Master Conversion logic to support an enhanced set of Business Requirements and improved processing model designed for the growing needs of M&T Banks acquisition activities. Participation in JAD sessions with Business, Technology and third party vendors. Management of documentation versioning and formal sign-off process for the Alerts II project. Creation of validation rules for OFAC, AML and KYC related to the on-boarding of new accounts from Wilmington Trust and pre- existing accounts for the Case Management Tool system. Focus on Suspicious Activity Reports, SDN's (Specially Designated Nationals), for OFAC and Patriot Act Compliance escalation rules. Migration to role as Testing Coordinator tasked to create Master Test Plan and Test Strategy Documentation and coordinate efforts between QA and development resources. Working directly with Business and IT Partners to continuously monitor, report and triage defects, suggest change control, and report directly up to the PMO executive dashboard owners. Worked hands on with HP Quality Center creating and validating Test Cases and expected results. Held daily defect triage and status meetings. Use of MS Project, Provision, Sharepoint and SQL (Toad) for data mining.

 

Symphony Financial Services (New York, NY/ London, UK)

Requirements Manger /Sr. Business Analyst

CMG Capital Markets -Global Reference Pricing Data Delivery                                                        1/2010 - 2/2011

 

Requirements Manager and Senior Business Analyst for the "Global Data Delivery" Project. Applied skills to create data mapping and translation logic rules across All Asset Types and Asset Classes (Both Equity, Debt, and Fixed Income MBS/ABS), Currencies, Futures and Options for all reference data including Pricing, Ratings, Corporate Action events, Factors, Fixed Income security data, to the global data model. Creation and delivery of Functional Specifications, Use Cases, Transition State diagrams, Data Mapping and Business Logic rules for the feed handler and Golden Copy creation of Security Reference data originating from Reuters, Bloomberg, IDC, Telekurs, Fitch, S&P, IDC and DTCC data files. "Subject Matter Expert", working directly with Reuters in London, UK on -site and in Dallas/NY for knowledge transfer sessions, JAD sessions and facilitation of internal team meetings with off-shore developers in Bangalore India. Successfully received sign off on all artifacts pertaining to the file mapping, Current and Future State workflows and Functional Requirement Specification of the Global Data Feed handler application.

 

 

 

 

 

SAC Capital Advisors (New York, NY/Stamford, CT)

Sr. Business Analyst - Asset Data & Pricing Initiative

Strategic Reference Data Team

                                                                                                                                                                         10/07-10/09

 

Senior Business Analyst for the SAC Hedge Fund reference data, Security Master/Pricing, Corporate Action, AML/KYC systems integration. Task to document all requirements including:  Current and Future State work flows (Heavy Visio), Business Requirements, Use Cases and Functional Specs for the rules and storage of all market indicative terms & conditions, Pricing and Corporate Action data covering Asset Classes Equities, Fixed Income, Warrants, Rights, Options, Futures, SWAPS (CDS,FRF etc.), ADR's/GDR's, Currency  and FX pairs. Worked with Bloomberg Back Office, Reuters DataScope, EJV and Paladyne Technologies data to create rules and thresholds supporting both individual and blended "Golden Copy" records at the asset level, for consumption by multiple downstream accounting and trading systems (Geneva).  Applied ability to multi task between varying project deliverables across multiple lines of business: (Data Management, Trade Settlement, Reorganization, Equities, Fixed Income, Risk, Legal, Compliance (Including Basel II) and IT. Provided insight to developers in best practices of data storage of referential and pricing data and security identifiers from multiple data vendors. Provided full data mapping and cross reference of all global exchanges (MIC Codes), ISO Currency Codes and Country Codes. Worked closely on new GUI design to support Flow Control, Audit and Reporting. Daily participation in Prime Brokerage Recon, TT (Team Track) and CC (Change Control meetings. Triage of QA defects and retesting. Creation of requirements traceability across multi releases. Facilitation of JAD sessions.

 

 

 

 

Bessemer Trust Co - (New York, NY/ Woodbridge, NJ)

Conversion Technology Team / Wealth Management

Sr. Business Analyst/UAT Lead - Hedge Fund Products - Global Market Data                                 12/06 - 10/07

               

Multi-level role as Sr. BA and UAT Testing Coordinator for the development of specifications to support the creation and roll out of a new Common Trust / Hedge Fund family of funds and conversion of legacy Security Master and Account Master Data. Creation of Functional Specifications, Activity Diagrams, Transitions Matrices, and Business Rule documentation to support the conversion to Global Plus for all Alternative Asset Processing ( Current State / Future State). Worked closely with Compliance, Tax Lot / Cost Reporting, Trade Support, Cash Management and Fixed Income areas to ensure seamless conversion from the Eagle Pace (Sec Master) & Longview trading System with and into Global Plus.  Creation and management of the MS Project Plan, Test Director 8.0 Test Lab, Test Plans, Expected Results and Use Cases in a phased release environment. (Day 1, Day 1+ and Live scenarios). Worked closely with developers, QA and vendors of all Market Indicative Data. Support of trading application for pricing. Primary contact to service bureaus (IDSI, Reuters, and Bloomberg) as well as current mainframe and database leads. Successfully facilitated sign off of Business and Functional Requirements across multiple Lines of Business.  Heavy VISIO and Use Case creation, working in both a standard and non-standard environment depending on audience. Mapping of all referential data, K-1 buckets and 1065 line items. .

 

Fannie Mae          (Washington, DC)

Sr. Business Analyst/ Cash & Securities Management

IT Enterprise Technology

                                                                                                                                                                                10/05 - 12/06

 

Senior Business Analyst for the Cash Management / IWT (Wire Transfer Control) division. Successfully completed the task of creation, review, and sign off of over 50 Use Cases to enhance the functionality of multiple Cash Management applications, 8 new investment strategies including (Day Loans and REPO's) which interface with the Federal Reserve Bank and other Custodians. Primary focus on the DLOD (Daylight Overdraft) rules from the Federal Reserve Bank NY, Trade Settlement and funding for Maturity and P&I payments. Creation of Use Cases, Activity Diagrams, Transition Matrices and Process Flows in a UML environment. Daily interviews and senior level meeting participation with Business and IT partners. Worked closely with the PMO office to facilitate a CCB (Change Control) process to assist in tracking additional requirements and changes in scope. Creation of Risk Assessment documents for the Daylight Overdraft and Funds Segregation project - (ORA - Operational Risk Assessments and ORR - Operational Risk Requirements) using ELSIF and SLCM standards. Migration to Testing Coordinator for the Federal Reserve Cash and Holdings file upgrades using Mercury Quality Center.

 

 

SEI Investments (Oaks, PA)                                                                                                            2/04 - 09/05

Sr. Business Analyst/PM - Global Platform Initiative

Asset Data Services Technology

               

Senior Business Analyst/Team Lead tasked in creation of functional and design specifications for the reengineering and creation of an enterprise wide Global Wealth Management Platform Security Master System / Data warehouse (GWMP). Creation of Asset set up rules and required/option and conditional fields, supporting  Global and Domestic Fixed Income, Mutual Funds, Equities, Options, Indices, SWAPS and Commodities . BA Team lead for ADS (Asset Data Services), Security Master / Market Indicative data supporting: all operations and analytics groups including Trade Processing, Cash Management, Corporate Actions, ISO compliance. (SWIFT and 10962 identification) Relationship Management. Responsible for the mapping of 40 external vendor feeds (Invest One/SunGard, Reuters, IDSI, JJ Kenny, Telekurs ), In -house data feeds and facilitating data mapping for the through-put ETL process via Informatica to the Oracle database. Management of all ETL activities including release and promotion of workflows managing efforts of a team of 6 (2 ETL Developers - 2 BA's - 2 QA). Creation of Scrubbing and data source compare rules.

 

 

 

 

 

 

 

                                       

DTCC/Paragon - (New York, NY /Jersey City, NJ)                                                                                   5/03 -2/04

Project Lead - Sr. Business Analyst                                                

Global Corporate Actions

 

Project Lead/ Senior Business Analyst for the application design and integration related to the GCA (Global Corporate Actions) product offering from DTCC. Primary focus on requirements definition and gathering, JAD sessions, QA testing and SDLC for the following processes: Corporate Actions, Fixed Income, Announcements, Notifications, Entitlements, Reconciliation, Cash Management and Surveillance for (FED/SWIFT transactions), OFAC and AML compliance using the SAS AML module, Security Master Administration. Continuation of product delivery to re-engineer and integrate MBS/ ABS, Fixed Income Benchmark, Trade and P&I data with the enterprise wide database supporting multiple down-stream systems. Creation of Use Cases, System Entity diagrams,

 

First Union / Wachovia Merger (Charlotte, NC)                                                                                       5/01-5/03

Sr. Testing Coordinator/Project Manager - IT Merger Activities

CMG, Wealth Management / Private Banking Conversion

 

Sr. Testing Coordinator and Project Manager for the conversion of multiple systems related to the merger of Wachovia and First Union. Responsible for the creation of Test Strategy and Design documentation, test scripts and expected results, use cases, requirement/testing coverage and defect tracking across 9 projects related to the Wealth Management-Private Banking and Personal Trust conversion (SEI Trust 3000 to SunGard NCS Trustware Series 11).

 

Citibank (New York, NY)                                                                                                                 9/97 - 05/ 01

Requirements Manager- Global Cash Management AML – CitiDirect- Global Interdiction

 

First Union /First Fidelity Merger

CMG Capital Markets Group (Charlotte, NC)                                                                                           5/95 - 5/97

SEI/NCS Conversion - Process Reengineering Lead Analyst

 

 FULL TIME EXPERIENCE

 

Fuji Bank & Trust Co. (New York, NY)                                                                                                        5/94 - 5/95

AVP, Global & Domestic Custody/Trust Operations

 

Mitsubishi Trust & Banking (New York, NY)                                                                                             9/92 - 5/94

Assistant Operations Manager & Systems Officer Global Custody

(On site in Japan for 12 weeks).

 

Long Term Credit Bank of Japan Ltd. (New York, NY)                                                                          9/90 - 9/92

Supervisor Global & Domestic Corporate Actions Custody Operations

 

 

FINANCIAL SYSTEMS APPLICATIONS SUMMARY

Paladyne, ADP (Multiple Modules) Fund/SERV - Networking/DCC&S, SEI Trust 3000, BETA SYSTEMS, NCS / SunGard / Trustware series 11, Invest One, Premier Global Plus, DML, LoanNet, Euclid 90, CEDEL, Sentinel, CitiDirect, Portfolio Online, DST Output, BT Polaris, DST Mutual Fund system,  Bloomberg Information Systems, SAS AML, "TREPP DM" DataScope, EJV ,Reuters, Morningstar, Reuters, NCSS

 

 SYSTEMS/LANGUAGE INTERPRETATIONS/CASE Tools & Competencies

TERADATA Dimensions and Facts, MDM ETL Server and Distributed Environments, CICS Applications, Oracle 9i/10g/11g, VAX/VMS, COBOL, C++, Java 2, HTML, XML, C# ClearCase, Sharepoint, File Aid, Team Track (Change Management), SQL/DB2 Queries - UML, RUP, Six Sigma, Agile, Mercury/HP Quality Center & Test Lab – ALM  ,Test Track Pro, Test Director, Test Master, Aquastudio

PC Based Applications

Windows All versions, MS Project/MS Office Suite (Excel, Word, PowerPoint, Access) Visio Pro, Lotus Notes, Various Web Creation and Desktop Publishing applications, Dreamweaver (Prototyping Software), Rational Rose, Requisite Pro, Long View, Together J, Embarcadero Rapid SQ ,SAS AML,TOAD for Oraccle Informatica ETL

 

EDUCATION -Brooklyn College, B.S. Finance - Computer Science 1990