Manager Project

Raghunath Gopalakrishnan

* ******* ***

Princeton, NJ 08540

Cell: 732-***-****

Email: **************@*****.***

SUMMARY

I have over 16 years of experience in the Database Industry. Prior to

joining Adjoined Consulting, I was the Director for Data Warehouse at Quest

Diagnostics, Principal Consultant at DMR Consulting, Price Water Coopers

responsible for Data Warehouse Architecture and Project Management. Prior

to Price Waterhouse Coopers, I was the President of Aquagem Consultancy

Services and provided consultancy services to AT&T, Bell Labs and Lehman

Brothers. My areas of expertise include Business analytics, Reporting

systems, and Data Warehousing and Client-Server development across vertical

markets. Ability to manage and lead a large team on Actimize, Business

Intelligence/Data Warehouse/Data Mart projects.

Computer Skills

Languages

C, S, Java, Eclipse, Spring Framework, Perl, HTML, XML, DOM, Korn

Shell, ADO

Hardware

IBM PCs, Fortune 32:16, NCR Tower, Plexus 55, Pyramid, Sun

SPARCStation, Sun Solaris, Silicon Graphics Iris 4D, Unisys 5000

series, HP 9000, RS6000

Data Warehouse

PeopleSoft EPM 8.1.7, Peopletools 8x, SAP BW 2.0, RedBrick Warehouse 4.0,

OLAP/ROLAP/MOLAP Concepts, Familiarity with Corporate Performance

Management (CPM) concepts, Business Activity Monitoring (BAM) concepts,

Balanced Scorecard.

Operating Systems

UNIX, AIX, Windows 98/NT/2000/XP, DOS, SunOS, IRIX (Silicon Graphics),

Ultrix

Databases

Oracle 9.x/10.x, Oracle OLAP Analytical Workspaces, Oracle Warehouse

Builder, SQL*Plus, PL/SQL, JDBC, Oracle Forms 4.5, RedBrick Warehouse 4.0,

DB2/UDB 9.x, Sybase, SQL Server 7.0

Extraction Transformation Tools/Case Tools

Prism 1.5/2.0, Informatica Powercenter 7.3

(Designer/Repository/Server Manager), ERwin 4.0

GUI

Business Objects 5.1, WebIntelligence, Knowledge of Microstrategy

DSS/Web Server, Cognos PowerPlay, JReports Designer

Business Intelligence

Actimize Modeler 3.6.88/4.0, Actimize Case Management (3.0) and Actimize

Information Server (3.6.139), Risk Case Manager ( 4.0 ).

Other Areas

Knowledge of JMS, MSMQ Series

Project Planning

Microsoft Project, FileMaker Pro, CMM Training, Familiarity with Six Sigma

Concepts

Methodology

Working knowledge of Joint Application Development (JAD), Rapid

Application Development (RAD) and Prototyping Techniques. Familiarity

with TQM, Structured Design methodology, SDLC and SMM.

Education

M.S Statistics

Bangalore University, Bangalore, India

Professional Experience

Architect - Compliance IT Oct 2006 - Present

Morgan Stanley

As a solution architect my responsibilities included design

development and implementation of Actimize models for the global

control group, performance tuning and optimization of Actimize models

in production and working on architecture that would integrate the

Case Manager with other external systems for work flow management. As

an Integration manager, I also worked with the various teams to

support End to End Integration of Actimize models and worked with

Project managers to deploy a model from development to production.

Models currently implemented -

Marking the Open/Close - Asia Pacific

Lead a team of Java developers to successfully implement a model using

Java - Spring framework. Successfully reverse engineered and

implemented a model that was developed in Actimize.

Listed Derivatives - Wash Model

This model is designed to detect Listed Derivative transactions,

proprietary and customer, that were not exposed to the risk of the

market and did not result in a beneficial ownership change. The

purpose is to identify trading that may be influencing the market

price or apparent traded volume of a security through a series of wash

transactions.

Control Group Compliance - Watch List Equity Model

This model developed for the Control Group monitors changes in firm

positions in the equity and equity related securities of issuers on

the Watch List (WL). The model uses a statistical method call ANOVA,

which compares means between two samples of data from a population.

Only security positions that are maintained in the firm's Equity Risk

system are included in the Alert generation process.

Control Group Compliance - Restricted List Equity Model

This model developed for the Control Group monitors changes in firm

positions in the equity and equity related securities of issuers on

the Restricted List (RL) securities held globally by the Institutional

Equity Division and Fixed Income Division. Only security positions

that are maintained in the firm's Equity Risk system are included in

the Alert generation process.

Global Control Group Compliance - Front Running Research

This model detects trades against proprietary, institutional customer,

investment manager, and employee accounts that are executed with the

intent of Font running the dissemination of research by equity, fixed

income and industry analysis.

IED Cancel and Correct Trending Report -

Equity Compliance group uses this model to monitor and detect any

pattern of misconduct using the Cancel and Correct trending report.

The purpose of this model is to generate alerts on a weekly basis that

will provide summary level information of changes made by -

Representative, Cost Center and Account.

Fixed Income Cancel and Correct Trending Report -

Fixed income Compliance group uses this model to monitor and detect

any pattern of misconduct using the Cancel and Correct trending

report.

The purpose of this model is to generate alerts on a weekly basis that

will provide summary level information of changes made by -

Representative, Cost Center, Account and Desk.

Compare Utility Tool -

This model was developed for the QA group. This model assists the QA

team to compare results of any model at the summary and detail level.

Prior to the development of this model QA testing was done by manually

comparing alerts generated in source and target systems. This model

generates reports that provide the differences in comparison at the

summary level and at the detail level ( XML ). With the development of

this model, testing during the QA stage has improved considerably.

Other projects -

. Migration of the AIS server from 3.6.88 to 3.6.139 and AIS

modeler from AIS 3.6.63 to 3.6.88. The new version of the

modeler distributes alerts using Web service.

. Case Manager Upgrade from 2.7 to 3.1 - Impact assessment,

analysis and identifying objects that would be impacted by this

migration and status-resolution mapping.

. Surveillance Reports Distribution (SRD) - There are several

mainframe surveillance reports that are currently distributed

through an external ondemand system. The purpose of this

architecture is to implement an architecture that would

integrate Case Manager with SRD so that the users have one

system (Case Manager) to view surveillance reports and manage

workflows.

. Working with Business Objects developers to develop Management

Reports and then Integrate Actimize with Business Objects to

provide Management Reporting Capabilities through the Actimize

Portal.

Manager - Business Intelligence Apr 2004 - Oct 2006

Adjoined Consulting

As a solution architect provided end to end solutions for the

following clients while working as a consultant at Actimize on

projects for Actimize clients. Some of the projects implemented for

Actimize clients were -

. Performance optimization of AML models for FIMAT and Lehman

Brothers.

. Installation of AIS server 3.6, Case Manager 2.7,

troubleshooting and resolving issues with AIS server and Case

Manager for NASD/AMEX

. Conducted design reviews on new models for NASD and assisted

developers in implementing solutions

Designed, developed and implemented compliance models for

NASD/American Stock Exchange (AMEX). The following models were

successfully implemented for NASD/AMEX -

Amex Options Linkage Locked and Crossed Markets -

ANTE Registered Option Trader Obligation -

The Options Linkage Locked Crossed alert process seeks to identify

whether, in instances where the Amex initiated a locked or crossed

event, the Specialist met his obligation to unlock/uncross the market.

The volume of option quotes data for this model was around 600M

transactions per day. The processing of option quotes data involved

implementing architecture with multiple Actimize servers that could be

scaled with the increase in volume of options quote.

In addition to the above project, my responsibilities also included

design of the following models for NASD/AMEX -

. FRS ANTE Registered Option Trader Quoting Obligation Report

The model provides the capability for monitoring whether

Registered Option traders are meeting their quoting obligations.

. Options Linkage Trade Thru alerts

The Options Linkage Trade-Through alert process seeks to

identify instances where Amex initiated a trade through event.

On implementation, the Options Linkage Locked Crossed alert

scenario will:

Identify instances where the Amex locked or crossed the

NBBO for an option series

Identify whether any options linkage commitments were

issued in order to unlock or uncross the market

In addition to the above responsibilities, my responsibilities

included working with end users on new model requirements, data

analysis, mentoring new developers, doing design reviews for new

models and providing end-to-end support for model implementations.

A major bank was implementing technology solutions for its Brokerage

Surveillance and Compliance technology group using Actimize

technology. Actimize solutions enabled the application of complex

analytics, rules and pattern recognition to both static and

transaction real-time data.

As a Solutions Architect, my responsibilities included data analysis, data

quality and gathering data requirements for the various Actimize models. My

additional responsibilities included troubleshooting and testing the

following models for the Wealth Investment Management Group (WIM).

The following models were successfully implemented at the Bank -

Unsuitable Transactions -

This model is designed to detect transactions that are inconsistent with an

account's suitability information, such as customer's stated investment

objectives, net worth, income, age, accreditation status etc. listed in the

new accounts system.

Loss In Equity -

This model is designed to detect accounts that have lost a substantial

amount of equity over a specific time. On detection, further analysis

and/or customer contact (active account letters) may be required.

Turn Over Ratio -

This model is designed to detect transactions in customer accounts

that may be indicative of churning by evaluating the velocity of

purchases versus the adjusted net asset value of an account. The

turnover rate is the number of times the average net equity is used to

purchase securities.

Short Sale Tick -

The model conducts an analysis of all Listed and NASDAQ sales and

determines, for those transactions identified in the order management

system as short sales, if the transaction conformed to the "Uptick"

rule (Listed securities) or the "Bid" test rule (NASDAQ securities).

Mark Up/Down -

This exception report identifies principal transactions that exceed

regulatory and internal policy mark-up/down standards and guidelines.

The model allows the business user to dynamically change the scoring

and thresholds by product type (e.g., Investment Grade, High Yield, US

Government /Agency, Municipal, etc.).

Developed and successfully implemented Proactive Retention Pilot using

Actimize technology that would help the Telecommunications Company

reduce customer churn as well as open up opportunities for win back

and cross sell.

The Proactive Retention Pilot (PRP) will test and confirm the use of

event triggers and statistical models to improve customer

satisfaction. The output generated from Actimize (BI tool) provides

the following -

. Use Changes in Model Scores to identify at-risk customers

. Provide reasons for increased churn risk that the

telecommunications can use to recommend the most effective

retention offer.

. Evaluate additional event-triggers and business logic in

recommending and targeting Proactive Retention offers.

. Reduce the churn rate for targeted Customers compared with a

control group.

. Assess which offer worked best to mitigate Customer Churn.

My responsibilities included design, development and implementation of the

pilot phase using Actimize. I have worked on all aspects of functionality

in AIS Modeler with knowledge of most objects of the modeler. In addition,

my responsibilities also included installing and configuring the AIS server

instances for dev, test and production.

Director - Data Warehouse Oct 2001 - Jan 2004

Quest Diagnostics

Responsibilities - Work closely with customers to identify

opportunities to utilize a common infrastructure to improve business

processes, minimize redundancies, promote the strategic use of

information technology, and enable the workforce to use these

technologies to achieve strategic business goals.

Enforce corporate data standards covering the use and storage of

corporate data.

Establish Data Warehouse, Data Modeling and ETL standards for Data

Warehouse projects. Exercise oversight on all development projects to

ensure compliance with good data modeling practices and coordination

of projects with long-term strategic architecture goals.

Implemented PeopleSoft EPM (8.1.7) Data Warehouse project with source

data coming from PeopleSoft Finance and billing/revenue data from

external legacy systems. The first phase of the project provided

customers with consolidated Revenue reporting, Profitability analysis

and Operational reporting through the EPM data warehouse.

Source billing data came for 16 different billing systems. Target

Database - Oracle, ETL - Informatica PowerMart 5.1, Reporting -

Cognos PowerPlay, Impromptu and Nvision

Responsible for Data Warehouse Architecture, Data Models, ETL

standards, performance tuning of Report SQL queries and ETL loads.

Performance tuned Informatica ETL maps and processes to reduce load

times for ETL loads. Performance tuning for Oracle included creating

alternate indexes, materialized views and partitioning to improve

query performance.

Senior Consultant Mar 2000 - Sep 2001

DMR Consulting Group

For a major medical supplies manufacturer worked on the Discovery

phase of the Data Warehouse project. This phase of the project

involved identifying the business/data requirements for Key

Performance Indicators (KPIs). As a Data Warehouse Architect, my

responsibilities included gathering data requirements from multiple

sources/business units for the KPIs, high-level data modeling, data

architecture, metadata strategy, data quality analysis, gap analysis

and an implementation plan for the prioritized KPIs. The source

systems were SAP, SAP BW running on Oracle 8.x /Unix, legacy systems

running on DB2/AS400 and an information warehouse on DB2/AS400. KPIs

dealt with the following functional areas - Finance, Outbound

Logistics, Sales & Distribution, and Supply Chain Planning. The

businesses were Clinical Laboratory systems, Medical (selling

primarily to hospital and other medical services through distributors)

and Biotech (selling to laboratories directly). All these businesses

had multiple business units under each business.

For a major telecommunications, company implemented a decision support

system for DSL Request order tracking, provisioning and reporting. As

a Data Warehouse/Technical Architect, my responsibilities included

gathering data requirements, data modeling and working with ETL

developers for data extraction, transformation and loading. DB2/UDB

7.1 was used for the backend Data Warehouse and the front end was

developed using Business Objects/Web Intelligence.

Principal Consultant Dec 1997 - Nov

1999

Pricewaterhouse Coopers

Data Warehouse Project Lead for an internal Customer Management

Workbench (CMW - CRM) project for the Consumer Products Industry.

This project integrated data from 3 key technical areas - Transaction

Systems (Trade Funds Management - SIEBEL), ERP Systems (Deduction

Management - SAP) and Analysis Systems (Customer Profitability

Management, Promotion Evaluation - Data Warehouse). My

responsibilities as a Project lead included Data Modeling (Logical and

Physical), leading a team of 3 developers to implement Profitability

Statement and Promotion Evaluation. Extraction transformation programs

were written for external market data (information resources) and data

feeds from SAP/SIEBEL to the Data Warehouse were created manually for

the prototype. The Data Warehouse was implemented on Oracle 8.1.5 with

Microstrategy DSS/Web Server as the Front End.

For a Major health Insurance developed a backend-reporting database

for SIEBEL 99 Call Center System. PL/SQL programs were written to

create summary tables. This system had a Web based front end and

provided users with Standard/Adhoc querying capabilities. The reports

provided users with Inbound Daily Activity (Summary, by Market, By

Campaign, By Rep, By Phone team member), Outbound Daily Activity

(Summary, By Market, By Rep) etc.

Project Manager for a Customer Information DataWarehouse Project for

People's Gas. The initial phase of the project involved conducting

JAD's to gather data/reporting requirements that would help business

units perform analyses and take decisions. Based on the requirements a

scope document was submitted to management, which discussed the Data

Architecture, Technical Architecture, resource requirements and

cost/time estimates for the project. Lead a team of four GUI

developers, four ETL developers and one DBA to implement this system.

The project was split into 2 phases with the initial phase consisting

of implementing certain subject areas such as Collections, Accounts

Receivable, Service Orders and Basic Customer Account Information.

Phase I was implemented using Pricewaterhouse Coopers SM methodology.

Phase 2 included Billing, Controls, Marketing, Equipment Inventory and

Work Queues.

Data Modeling was done using Erwin. Analysis, Design, Construction and

Implementation were done for Phase Phase II & I. As a Co-Project

Manager my responsibilities included Data Modeling, Technical

Architecture, Project Planning and coordinating a project that had 10

resources.

The Data Warehouse was implemented using Oracle 8.0 on a HP 9000 Unix

server. Prism tools were used to extract data from Db2 and Sybase

databases and Business Objects is being used for the Front End. Prism

tools were also used for Metadata Management.

Data Warehouse Consultant Jul 97 - Nov 97

Bantam Doubleday Dell

Analysis, Planning and Design of a Sales Information System (SIS)

using Redbrick 5.0 data warehouse for a Publishing company. My

responsibilities included Logical and Physical Modeling for the Data

Warehouse. Logical Modeling was done using ERWin 3.0. My additional

responsibilities included Control Reports, Front End Design for Adhoc

queries and writing scripts for datafeeds from the Data Warehouse to

the following SAP systems - Royalties, OTIS, COOP, TOS, and

Forecasting. The primary use of the Data Warehouse was for the Sales

and Merchandizing department. The warehouse was designed to replace

the SIS data in SAP.

Consultant Jan 97 - Jun 1997

Analysis, Planning, Design and Development of an Oracle database for a

Mark down pricing system for the Retail Industry. My responsibilities

included database creation, database administration, and query

performance. The front end of the system was developed using Power

Builder. The system was designed to aid Retailers in arriving at

inventory and pricing decisions that maximize profitability especially

in the context of life-cycle items.

Senior Consultant Apr 94 - Jan 97

AT&T/Bell Labs

Analysis, Planning, Designing and developing an Executive Information

System (EIS) for AT&T Management. The system provides AT&T Executives

with the following information:

0. Network Traffic Minutes and Revenue for Business Long Distance.

1. Summarized information of Service Orders.

2. Market Share Data

3. Financial Metrics such as EVA, MOI, ARPMin, Revenue

4. Human Resources Information

5. Trouble Ticket Information

6. Response to Customer Problems

Lead a team of 15 developers - ( 5 for database development, 5 front

end development and 5 working on data movement ) to deliver this

Database/Data Warehouse system. I was the Project Manager/Database

Architect for this system. My team's responsibilities included writing

database and stored procedures, database creation, and database

administration, space management, improving query performance.

Database Modeling was done using ERwin. The front-end for this system

was developed using Power Builder and the backend was implemented in

Oracle running on a Silicon Graphics Workstation. In addition to the

above resources, I managed 4 consultants working on various projects

at client sites.

Consultant Aug 92 - Apr 94

Barclays Bank, New York

Analysis, Planning, Designing and developing a Loan system for

Barclays Bank. The system allows Barclays Bank located at different

parts of the World to streamline Loan application processing for

business. The major components of the system were -

7. Credit Evaluation sub-system

8. What-If analysis to determine the different rates and periods for

the duration of the loan.

9. Pricing sub-system that allows different Pricing schemes to be

created before deciding on a model.

10. Legal Information sub-system maintained in a text format in a Basis-

Plus database.

11. Loan Approval

I worked with a team of 4 developers to implement this system. The

application was implemented on a HP Workstation running UNIX. The

front-end was designed using Motif/Ingres4GL and the backend was

implemented on Ingres and Basis-Plus database.

Technical Training

Course Title Establishment

Actimize Modeler 4.0 2008 Actimize

Risk Case Manager 4.0 2008 Actimize

Actimize Modeler 3.6 2004 Actimize

Actimize Case Management 2.7 2004 Actimize

Peopletools 8.x 2002 PeopleSoft

PeopleSoft EPM (8.1.7) 2002 PeopleSoft

Informatica PowerCenter 7.3 2006 Informatica, NY

Business Objects 4.1 Jul, 98 Business Objects, Chicago

RedBrick Warehouse Design Nov, 96 RedBrick Systems,

California

RedBrick Warehouse Administration Nov, 96 RedBrick Systems,

California

Oracle Database Design Jun, 95 Oracle, New Jersey

Tuning Oracle Applications Jun, 95 Oracle, New Jersey

C++ Course Apr, 93 AT&T New Jersey

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