Dhananjay Kapadia

*, **. ********** *** ******* (Cell): 781-***-****

Burlington, MA 01803

acvb2n@r.postjobfree.com

SENIOR IT PROJECT MANAGER

Equity Trading Content Management eDiscovery /Compliance/ Code of Ethics

●Experienced IT professional for 25 years and Project Manager offering 10 years of success leading all phases of diverse technology projects; Decisive, action-oriented professional with over 25years of experience for financial, marketing, manufacturing, leasing and telecommunications industry.

●Business strategist; plan and manage Small - Large projects aligning business goals with technology solutions to drive process improvements, competitive advantage and bottom-line gains.

●Excellent communicator; leverage technical, business and financial acumen to communicate effectively with client executives and their respective teams.

●Expert in agile and waterfall project management methodologies. Able to manage large project teams and known for high-quality deliverables that meet or exceed timeline and budgetary targets.

Skills Summary

Project Management

-Budget, Schedule and Delivery benchmarks

-Risk Management

-RACI Matrix Management

-System Migrations / Integrations

-Enterprise wide Implementations

-Project Collaboration

-Communication with EPMO governance bodies

Value Added Leadership

-Cross-Functional Supervision

-Team Building and Mentoring

-Business & IT planning

-Vendor Management

IT Project Lifecycle

-Requirements Analysis

-ROI Analysis

-Costing & Budgeting

-Project / Resource Scheduling

-Testing/QA/Roll-out/Support

-BCP and DR Planning

Functional Expertise

-Enterprise Content Management

-eDiscovery and 17a-4 compliance

-Compliance work-flow & Code of Ethics

-Equity Trading / Fixed Income Trading

-Electronic Trading (FIX) / Post Trading compliance

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Career Progression

CITIZENS FINANCIAL GROUP (Canton, MA), IT Project Manager, 2015 – Current

Wealth Management - Compliance Consultant:

Archiving / eDiscovery / Surveillance Solution: (2015 – Current) – HP Digital Safe

●Reporting to Chief Compliance Officer and part of being regulatory (FINRA and SEC) compliant, led multiple cross functional and matrix teams in the deployment of new cloud based vendor hosted solution HP Digital Safe Email management and Supervisor surveillance as part of eDiscovery infrastructure for Broker-Dealer.

PUTNAM INVESTMENTS (Boston, MA), Project Manager, 2002 – 2015

Legal/Compliance - Enterprise Implementation:

Archiving / eDiscovery Solution: (2011 – 2015) – EMC SourceOne

●Reporting to Chief Compliance officer, Directed and Led the global rollout of new vendor software EMC SourceOne Email management and respective tools like Discovery manager and Supervisor surveillance as part of eDiscovery infrastructure across enterprise that perform email archiving as per 17a-4 guidelines.

●Reduced the support and maintenance costs and savings of millions of dollars by guiding and trained Legal and compliance department to fulfill SEC Litigation requests and audit inquiry in timely manner and with utmost integrity.

Enterprise Content management: (2010 – 2015) – EMC Documentum

●Directed and led the global rollout of new vendor software EMC Documentum for Enterprise content management that captures, organizes, stores and delivers unstructured content within enterprise and beyond.

●Reduced maintenance and support costs related to Content Management while managing the migration of multiple legacy systems to a new Content Management platform. Explore multiple opportunities across organization to migrate and utilize Documentum that will save millions of dollars in the long run by eliminating duplicate functions and reducing content storage.

Collaboration workflow management: (2010 – 2015) – Open text

●Part of being a FINRA compliant, Managing and supporting the vendor software from Open Text Collaboration that primarily focused on improving collaboration among organizational department that prepare and release marketing materials including product literature, Blogs or any web based materials and Videos.

Code of Ethics: (2005 – 2011) – Sungard PTA

●Following company-wide turmoil due to SEC inquiry into market timing, first thing was to bring integrity and confidence of investors by implementing industry specific ethics monitoring tool.

Led the technical and Business team to identify and direct the global roll-out of new vendor software from Sungard called Personal Trading Assistant that provides rule engine based monitoring of all personal trading as well as Investment professional trading.

●Delivered industry recognized software that brings back the high standards of ethics back to Putnam Investments and help bring the credibility back and bring billions in assets.

Equity/Fixed Income Trading - Compliance:

Post Trade Fair Allocation Monitoring: (2008 – 2011)

●Following company-wide turmoil due to SEC inquiry into market timing, the need arose to have post trade monitoring put in place.

●Developed and managed all phase of software development life-cycle and led the technical and Business team across multiple divisions to roll-out of the product that is in the best interest of all Putnam customers as making sure no one receives any preferential treatment. This product also aids in complying with regulatory and client mandated limits, best practices and general controls.

Equity Trading Senior System Consultant, (2002 – 2005)

●Designated as a Systems Consultant, playing a major role as a liaison between equity trading user community and development groups.

●Involved in improving support to Equity Trading user community. Provide timely, effective and highest level of customer support.

●Involved in FIX 4.2 architecture upgrade within Putnam, and directly involved with brokers for implementation of new connection as well as certify existing connections as per business needs.

Skills/Achievements Highlights:

●Follow Enterprise Program Management Office (PMO) guidelines across the whole project life-cycle.

●Led teams across broad technical, financial and business disciplines. Focused teams on business objectives and tracked progress to ensure project milestones were completed on time, on budget and with the desired results.

●Communicate project status and Risks/issues to Governance bodies. Make sure any schedule or Budget impact is voted and approved.

●Mitigated risk factors through careful analysis of financial and statistical data. Anticipated and managed change effectively in rapidly evolving global business environments.

●Defined processes and tools best suited to each project. Moved between agile and waterfall approaches depending on project specifics and client goals, creating detailed project road maps, plans, schedules and work breakdown structures.

●Help in defining Business continuity plan for enterprise wide applications and prepare Disaster recovery plan. Implemented and perform DR every year as part of BCP and internal audit requirements.

●Honored with Outstanding Employee and Outstanding Team award.

FIDELITY INVESTMENTS (Boston, MA), Lead Database Consultant, 1999 - 2002

Equity Research Senior System Consultant:

●Designated as a Senior Database engineer and Data Architect, involved in loading external data from AS400 based system located at Tokyo, into existing relational database of Global Meeting Scheduler (GMS) application. Developed and implemented several custom modifications to multiple fund research applications.

●Involved in database consolidation project, which will remove redundant data from multiple database environments and provide better server side support for current applications as well as reduce the data warehouse expenses.

Drove the high-quality completion of systems engineering, software/database development and enterprise wide implementation projects for F500 clients while working as Independent consultant including:

(1992 – 1999)

Comdisco

Eastman Kodak

Envoy Systems

D&B Software

Lucent Technologies

John Hancock Funds

Education & Credentials

MS in CIS, New Jersey Institute of Technology (Newark, NJ), 1990

BS in Mechanical Engineering, L.D. College of Engineering (India), 1986

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