Project Manager Data

Hetal Jain ***.*@************.*** 732-***-****

Summary

• Over 7 years of professional experience working with financial institutions for implementing Straight Through Processing (STP) in trading applications involving equities, fixed income and derivative products

• Strong understanding of various financial instruments such as equity, bonds, futures, forwards, options, swaps, Mortgage Backed Securities (MBS), To-be Announced (TBA) securities and credit derivatives including Credit Default Swap (CDS) and Interest Rate Swap

• Valuable experience in Portfolio Management, Risk Management, Mutual Funds, Fixed Income trading systems, Money Market and Equity trading systems

• Knowledge of various types of risks like credit risk, market risk, interest rate risk, foreign exchange risk and operational risk

• Proficient in working with Market Data and Reference Data as provided by various vendors such as Bloomberg and Reuters

• Understanding of various pricing and valuation models like Capital Asset Pricing Model (CAPM), Monte Carlo simulation, and Black-Scholes

• Possess strong grasp of Compliance and Risk Management regulations like Basel II and Dodd-Frank Act

• Good understanding of financial protocols such as SWIFT, FIX, and FpML

• Solid understanding of Business Requirements Gathering, Business Process Flow, and Business Analysis

• Comprehensive knowledge and experience in Software Development Life Cycle (SDLC) methodologies like Waterfall, Rational Unified Process (RUP), and Agile (Scrum).

• Extensive experience in writing Use Cases and creating Business Requirements Document (BRD) and Functional Requirements Document (FRD)

• Conducted various project meetings such as JAD sessions, user meetings, and walk-through sessions

• Hands on experience in writing SQL queries for Data Analysis and created Data Mapping sheets and Data Dictionaries

• Proficient in creating various UML diagrams – Use Case Diagrams, Activity Diagrams, Sequence Diagram, Class Diagram, Object Diagrams and Data Flow Diagrams (DFD)

• Good understanding of Relational Databases, Data Modeling and Data Warehouse development using Star Schema as well as Snow Flake Schema

• Experience in assisting Project Manager to perform various project management activities such as creating and maintain project plan, monitoring and controlling project tasks, identifying key milestones, and managing change requests

• Expertise in creating Requirements Traceability Matrix (RTM) to keep track of the requirements from implementation through testing

• Proficient in Microsoft suite including MS Word, MS Excel, MS Access, MS PowerPoint, and MS Visio

• Hands on experience using Rational Requisite Pro for Requirement Management and Rational Clear Quest for Defect Tracking and Management

• Proven expertise in assisting QA team with Test Plan, Test Cases, Test Scripts, Functional Testing, System Testing, and Regression Testing and facilitated User Acceptance Testing (UAT)

Technical Skills

Operating Systems Windows 98/2000/NT/2003/XP, Unix, Linux

Tools MS Office Suite, Rational Requisite Pro, Rational Rose, Rational Clear Quest, Rational Clear Case, ERwin, SQL Dbx, Toad, Quality Center, Quick Test Pro (QTP), Test Director, WinRunner

Databases Microsoft SQL Server, Oracle, Sybase, MS Access

Market Data Sources Bloomberg, Reuters, Markit

ETL/BI Tools Crystal Reports, Cognos, Business Object, Informatica

Languages UML, SQL, PL/SQL, XML, Java, C++, C#, Visual Basic, HTML, J2EE, VB Script

Professional Experience

Implementation of TBA Mortgage Securities Nov 2011 – till date

Oppenheimer Funds, NYC, NY

Sr. Business Analyst

Project Description:

The project objective was to provide straight-through processing on a single platform to trade, process and manage TBA securities into Charles River Investment Management System while conforming “Good Delivery Guidelines.” The system supported front and middle office activities related to creating buy or sell order, allocating trade (dollar roll, pair-off, turn) and substituting pools. This TBA module also included Electronic Pool Notification (EPN) messaging, automated TBA CUSIP creation at trade entry, notification and settlement dates based on SIFMA (Securities Industry and Financial Market Association).

Roles & Responsibilities:

• Acted as a single point of contact for the stakeholders while managing deliverables and providing progressive report to management

• Followed Agile methodology throughout the Software Development Life Cycle (SDLC)

• Gathered business requirements for TBA securities and its trading process by conducting Joint Application Development (JAD) sessions with the business users

• Prepared Functional Requirements Document (FRD) and Use Case Document for TBA securities

• Analyzed and documented process flows covering all the functionality to satisfy business requirements

• Conducted Sprint meetings everyday to discuss daily progress, tasks, issues and resolution while acting as Scrum Master for a project

• Interacted regularly with Data Architect, Development Team and Business Users throughout development process to ensure accuracy of design, resolve any issue, and signoffs

• Extensively used SQL queries for validating the ETL process and for back-end database testing and data validation

• Worked with Cognos to create ad-hoc reports for traders and portfolio managers

• Assisted QA team to develop test plan and test cases to perform Functional, Integration and System testing

• Conducted functional walkthroughs with business users to help them understand the application and assisted them in performing User Acceptance Testing (UAT)

Environment:

UNIX, Oracle, Java, Charles River Investment Management System, Agile Methodology, UML, Microsoft Office Suite, Cognos, MS SharePoint, MS Visio, HP Quality Center

Portfolio Reporting and Data Warehousing Jan 2010 – Oct 2011

Prudential Financial, Newark, NJ

Sr. Business Analyst

Project Description:

The project was initiated to improve enterprise reporting abilities and to address concerns about legacy reporting system such as data integrity, data quality and on-demand reporting. The solutions included building centralized data warehouse and all portfolio reports migration from legacy system to Cognos reporting and dashboard tool. This centralized data warehouse provided easy access to historical data to perform data analysis and data mining. The main business drivers behind building this system were to reduce reporting efforts of accessing data from multiple sources, improve and simplify the workflow process, provide user ability to customize reports, and improve report delivery process. The major reports that were generated as part of this migration includes Portfolio Summary and Target, Portfolio Appraisal, Income and Expenses, Asset under Management, Performance Report and SEC Report.

Roles & Responsibilities:

• Agile delivery of portfolio reporting and data warehousing using Scrum practice

• Analyzed the legacy system and performed GAP analysis and prepared data gap summary document

• Conducted JAD (Joint Application Development) sessions with portfolio managers and technology group for brainstorming and understanding requirements

• Directly interacted with the stakeholders/business users and served as a primary point of contact for Data Warehousing and Cognos reporting solutions

• Captured the business logic and primarily responsible for creating Business Requirements Document (BRD) with supporting Use Case Diagrams, Data Flow Diagrams, and Activity Diagrams using UML

• Designed report layout to meet business requirements and communicated this design to technical team

• Identified the source systems and data requirements for the data warehouse to meet the user’s current and future needs

• Performed data mapping for source and target attributes for various sources and assisted ETL developers in resolving any issues

• Interacted with Data Modelers for designing data models and created Entity Relationship diagrams

• Extensively used SQL queries for source and target data validations and verifying the ETL process (Data Extraction, Data Transformation, and Data Load)

• Worked closely with testing team in creating and validating test plans and test cases for various functionality, integration and performance testing

• Provided Post Production Support to the business users and build exception reports to notify users and tech teams for any production related issue

• Assisted business users in performing UAT (User Acceptance Testing) of Cognos reports along with BI capabilities and participated in the training sessions

Environment:

MS SQL Server, C++, Agile Methodology, UML, Microsoft Office Suite, Cognos, Informatica, Sybase, Oracle, XML, MS Visio, ERwin, WinRunner, Rational Clear Quest

Basel II and Risk Management Mar 2008 – Dec 2009

Sun Trust Bank, Atlanta, GA

Lead Business Analyst

Project Description:

This project was initiated to implement Basel II framework at Sun Trust Bank to meet regulatory requirements for risk measurement and disclosure reporting. The project covered the development of Basel II Input Risk Data Repository, Credit Risk, Market Risk, Operational Risk, Regulatory Capital, Data Warehouse, Risk Analysis Engine and Risk Analysis Dashboard. The Basel II Input Data Repository sources data from various internal and external sources across the organization, Market Risk was measured using VaR (Value at Risk) technique using Historical and Monte Carlo Simulation. Risk engine calculated credit risk using PD (Probability of Default), LGD (Loss Given Default), and EAD (Exposure at Default). Operational Risk was generated using the key risk indicators such as process failure and system failure data.

Roles & Responsibilities:

• Acted as liaison between the SMEs (Subject Matter Experts) such as Risk Managers/Portfolio Managers and Technology Team to understand and identify business needs, business rules, business processes and interface specification while documenting them into Business Requirement Document (BRD) and Functional Requirements Document (FRD)

• Extensively involved in every phase of RUP (Rational Unified Process) starting from inception to transition

• Conducted JAD sessions to allow different stakeholders to communicate their perspectives with everyone, resolve any issues, and come to an agreement quickly

• Worked with Data Architect and Development Team to prepare GUI design, database design, and system requirements of the Market Risk, Credit Risk, Operational Risk and Reporting Dashboard

• Created use cases, activity diagrams, and collaboration diagrams using MS Visio to clearly define the business process model

• Maintained a centralized repository (content management) of all the documents and artifacts with version control on MS SharePoint

• Assisted project manager in preparing the project tasks and resource allocation using MS Project

• Documented and maintained Requirements Traceability Matrix (RTM) throughout the project life cycle

• Collaborated with QA team to ensure adequate testing of system while reviewing Test Cases, Test Plan and Test Scripts. Conducted functional walkthroughs and assisted risk managers in User Acceptance Testing (UAT)

Environment:

UNIX, C#, XML, MS SQL, RUP Methodology, UML, Microsoft Office Suite, Sybase, Oracle, MS Visio, MS Project, Rational Rose, HP Quality Center, MS SharePoint

Fixed Income Trading System Oct 2006 – Feb 2008

ING Investment Management, Atlanta, GA

Business Analyst

Project Description:

Project focused in developing web-based front-office trade management system to achieve Straight Through Processing (STP) in trading fixed-income securities such as government bonds, money-market securities, municipal bonds, corporate bonds, and ABS (Asset Backed Securities). This system was built on Java/J2EE front-end and Oracle database. It included order management and electronic trading, compliance for real-time pre-trade and end-of-day compliance and post-trade for the centralized management of trade matching, confirmation, and settlement. The system provided order status and trade execution status for all the trades that were placed through front office.

Roles & Responsibilities:

• Adopted RUP (Rational Unified Process) methodology and interviewed the front, middle, and back office users for the requirements.

• Analyzed the current system in place for evaluating their use and scalability to come up with future system

• Conducted JAD (Joint Application Development) sessions to gather business requirements from various users and stakeholders to understand the needs of the business

• Proficient in capturing data requirements and worked on data cleansing, data mining, and data modeling with extensive hands on designing Data Flow Diagrams (DFD) and data mapping for market and reference data

• Conducted the requirements and design walk-through with developers and business users

• Extensive experience in Business Process Modeling by using MS Visio and IBM Web Sphere Business Modeler and developed various UML (OODA) – Use Case Diagram, Class Diagrams and State Diagrams

• Involved in data analysis and data validation at each point of data flow and interacted with vendor support team to resolve data issues

• Performed SQL queries to analyze the source tables/views/flat files and documented the selection logic with the filters from the source and corresponding target area

• Held intermediate brainstorming sessions to understand the obstacles in the system development lifecycle

• Assisted Project Manager in creating weekly project status reports and maintaining tasks and milestones in MS Project

• Used the Unified Change Management (UCM) tool to maintain and track the stakeholder requested enhancements and changes

• Assisted in formulating testing documents like Test Plan, Test Scripts, Traceability Matrix and Test Summary Report

• Involved in performance testing, functional testing and integration testing

Environment:

Java, J2EE, Windows, RUP Methodology, Oracle, PL/SQL, UML, MS Visio, MS Project, IBM Web Sphere, Microsoft Office Suite, Ms Project, QTP

Loan Servicing July 2005 – Sep 2006

Wells Fargo Bank, Charlotte, NC

Business Analyst

Project Description:

This project involved building full-service platform for servicing retail and commercial loans. The system offered loan processing capabilities and flexible reporting elements as well as it would free up resources within loan operations for other areas of need such as daily funding, client inquiries, and client relationship management. It helped streamline the accounting and GL system to consolidate all the finance & accounting transactions.

Roles & Responsibilities:

• Interacted with developers and end-users to formulate business requirements

• Performed GAP analysis and documented the business process workflow encompassing borrower’s personal information like income, assets and liabilities, property information and loan type

• Worked according to the activities laid down in each phase of software development life cycle using iterative methodology

• Worked with data modelers, data analyst, and developers including DBA’s to interpret data requirements, data file layout for internal and external data feeds

• Validated the entire data flow from source to target system including data acquisition, data transformation, and data distributions

• Analyzed the requirements and documented the system specifications while creating Business Requirements Document (BRD)

• Created Use Cases Specifications according to the business requirements

• Assisted QA team with functional and regression testing while reviewing test plan and test cases

Environment:

Windows, .NET, MS SQL, UML, Microsoft Office Suite, MS Visio, Test Director, WinRunner

Education Qualification

Bachelor of Science, Southern Polytechnic State University, GA

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