Project Engineer

BART PUMA

**-** **** ****** ****.****@*****.***

Glendale, NY 11385 Mobile: 917-***-****

SENIOR BUSINESS/FUNCTIONAL ANALYST

Specializing in Re-Engineering Equity Trade Processing Applications

Senior Business/Functional Analyst experienced in the design, development and implementation of financial business

applications. Re-engineered a trade processing application into a global enterprise application using Oracle, Unix, and

publish/subscribe technology, which resulted in Deutsche Bank increasing daily UK/US trade processing volumes from

50K to 1M trades per day, significantly reducing costs. Proficient in System Development Lifecycle methodology.

Interface with stakeholders, business/functional analysts, IT developers, test engineers and outsource partners. Adept at

identifying, quantifying and managing risk to project delivery.

TECHNICAL SKILLS:

Language: Oracle SQL, Unix, XML, FIX, CICS, Cobol II, MicroFocus Cobol, MVS/JCL

Software: DB Artisan, PL/SQL Developer, Mercator (ETL,Data Transformation Tool), Word, Visio, Excel,

Knowledge of Microsoft Project, Scrum, Sharepoint, Xpediter, VSAM, TSO, WinCVS, Public Subscribe Technology

Database: Oracle 10g, 8i, DB2

Hardware: Sun Solaris, PC, IBM Mainframe 3090 and 4381

Operating Software: UNIX, MVS, Windows

EXPERIENCE:

International Market Recruiters, New York, NY 2010-2011

Consultant at Morgan Stanley – Business Analyst: Derivative Settlement

• Successfully managed proof of concept testing of settlement instruction enrichment for Trades, Listed

Derivatives, Commodities and OTC applications, which centralized and expedited issue resolution.

• Investigated and documented Listed Derivative account and settlement instruction migration requirements,

identifying invalid accounts and settlement instructions (These invalid data structures were cleansed before

migrating to the new database, allowing only valid data to be migrated).

• Identified and documented Listed Derivative settlement cash validation rules, which allowed exceptions to be

raised earlier in the process providing faster resolution.

• Created and executed UAT test scripts validating front end GUI for cash and security delivery instructions.

• Elicited, gathered and documented business requirements to re-engineer Request For Proposal (RFP)

application (this document also included current processing, work flows and new modifications).

• Created Functional requirements documenting current process and new modifications of the Agent Evaluation

Main GUI.

DEUTSCHE BANK, Jersey City, NJ 1998-2009

Assistant Vice President-Senior Functional Analyst: Confirmations and Settlements (2007-2009)

• Lead Functional analyst, gathered MiFID (reduce United Kingdom regulatory risk) business requirements

from stakeholders including project managers, business analyst, developers and outside vendors (TRAX,

Crest). Documented requirements into both functional and technical specifications, which reduced the

implementation time to market by 30%. Developed and implemented comprehensive test plans and cases

validating MiFID regulation. Managed and prioritized MiFID issue resolutions with stakeholders and three

outsource partners from China and India, which reduced rejection rate by 80%.

• Identified and documented requirements to migrate Settlement and Confirmation applications from London to

Frankfurt. This enhancement allowed for a non flexible, completely hard coded system to be portable to any

Oracle server hardware. The migration was both successful and doubled capacity and throughput.

• Remotely conducted Settlement and Confirmation applications knowledge transfer sessions to remediate

issues and train multiple resource groups (Business/Functional analysts, Developers) located in India. These

knowledge transfer sessions were deemed successful and reduced overall development costs by 20m euro.

• Created technical confirmation document for US clients trading International securities, describing required

modifications. This was fundamental to adding a new business line to the trade processing platform.

• Documented functional specifications to migrate Tokyo Settlement and Confirmation applications to a new

straight through processing platform. The new process included the generation and process of Swift

confirmations, instructions, statuses and allegements. This document provided the rules and data mappings to

successfully migrate the processing to a new platform which enabled volume growth.

• Provided project duration estimations for the creation of functional/technical documentation and technical

resolutions which were used by senior management for planning and budget forecasts.

Functional Analyst FX Trades (2006-2007)

• Production support for FX applications: Staffware and DB Trade Tracker originating from Market Data.

• Analyzed and documented gap analysis for the replacement of Staffware application with the new

confirmation application Scan-It. Management used the gap analysis document to determine if Staffware will

be replaced by Scan-It.

• Authored production support documents for FX applications (Staffware, DB Trade Tracker) used to

investigate FX issues and train offshore support staff. Trained offshore FX technical support staff reducing

costs by 1M euro.

Functional Analyst Settlement –Crest, Milan, Amsterdam Net Settlement Project (2005-2006)

• Point person on net settlement project to coordinate net settlement modifications and issues. This positively

impacted prioritization and issue resolution allowing the implementation of the net settlement project to be

completed on schedule.

• Gathered and documented Send/Receive and Matching technical documents for offshore developers, crucial

to the development of settling one net trade vs. multiple settlements per day which reduced costs by 30%.

Functional Analyst/Lead Developer Supporting Confirmations and Settlements (2001-2005)

• Managed, assigned and reviewed production issues with developers reducing time to market implementation.

• Designed and developed the generation of DTCID confirmations using Oracle and straight through processing

(STP) architecture, which removed the dependence of ADP and significantly reduced costs. This allowed

Deutsche Bank to renegotiate and reduce its fees with ADP from a per transaction fee to flat fee per year.

• Gathered and documented functional and technical documents to replay rejected Memo Seg messages from

DTC. Once the memo Seg message was resent and accepted at DTC, the delivery orders for that security to

be settled for that day were released. This reduced the risk of trade settlement failure.

• Designed and developed the generation and process of Oasys OGD outgoing and incoming electronic

confirmations to/from the client via Oasys using STP architecture. As a result, Deutsche Bank significantly

improved throughput and trade execution to the time of client confirmation from eleventh to first, as

benchmarked by Oasys in the UK.

• Developed the generation of UK fax /telex confirmations and the process of fax/telex delivery statuses for the

new Trades processing platform using STP architecture, Oracle and Mercator. Processing of the

confirmations and statuses allowed the tracking of confirm from generation to delivery to the client. This

decreased confirm investigation and improved resolution of issues that were raised by the client.

Lead Developer Trades Transformation Team (1998-2001)

• Selected to re-engineer a batch trade processing application to a global event driven STP exception based

system using Oracle, Unix, Meractor (Data Transformation Tool) and publish subscribe technology. With the

successful implementation of the new trade application platform Deutsche Bank was able to increase daily

trade processing volumes from 50K to 1M per day.

• Created data extract programs using MicroFocus COBOL to migrate legacy trade data to oracle database.

• Designed, documented technical requirements and developed Lifecycle process using Oracle. The Lifecycle

process allowed the tracking of trade, confirmation and settlement processing statuses which were visible via

web pages. These processing status were used to investigate and provide quick resolutions to client issues.

• Extracted, compiled and reviewed all business rules from the legacy trade application using Revolve. These

business rules were used to efficiently build the new trade application platform.

• Created test cases to affectively test and debug new trade & Lifecycle components. This reduced time to

market implementation of the new trading platform.

DEPOSITORY TRUST COMPANY, New York, NY 1996-1998

Senior Developer Institutional Delivery System

• Designed and coded various reclaim inquiry screen and batch programs.

ISRAEL DISCOUNT BANK OF NEW YORK, New York, NY 1985-1996

Assistant Vice President-Team leader/Senior Developer AFS Commercial Loan Application

• Coordinated and installed new releases of AFS Commercial Loan Application.

EDUCATION:

In-House Training (2004-2009)

• Project Management - International Institute For Learning Management Skills for IT Professional

• PL/SQL Programming and Oracle Troubleshooting Hedge Fund Foreign Exchange

• Fundamentals of Fixed Income Credit/Equity Derivatives

NYU Continuing Education: CICS development and OS/VS JCL 19 credits (1985-1990)

Bart Puma 917-***-**** Page 3 of 3

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