Spoorthi Sri

Summary:

Over * years of experience as Business Analyst in Finance. In-depth understanding of Business Re-engineering, Business Continuity plan, Problem Solving, Strategic Planning, Implementation, Application Design and Project Management

Extensive experience in Gathering Requirements, analyzing them, Business Process Design, authoring Business Requirements Document (BRD), Use case Specifications, Functional/Systems Design/Software Requirements Specification (SRS), Workflows using SDLC, Waterfall, Agile and RUP methodologies.

Effectively brainstormed the ideas with the Subject Matter Experts for identifying requirements and communicated those with the team in a distributed work environment.

Adept in creating Narrative Use Cases, Use Case diagrams, Sequence Diagrams, Activity Diagrams, Flow Diagrams and other related UML diagrams.

Extensively worked on Product and Application management of Commercial loans, Risk management – Operational Risk, Trade order life cycle – Front office, Middle office and back office functions, Straight Through Processing - STP; Custodian Services, Treasury Services, Foreign Exchange, FIX Protocol, SWIFT Messaging, Payment Processing. Comprehensive Understanding of Capital Markets business, Fixed income products- Bonds, T-bills, corporate bonds, Client onboarding, PPF; Insurance - Annuities; Derivatives –Forwards, Futures, Options-American & European, Swaps-CDS, Interest rate Swaps; Securities and derivatives pricing methodologies, Securities valuation, Financial Accounting- GL, P&L, A/c receivable & payable, KYC and AML, CCAR, Dodd Frank Regulations.

Adept in using Gap Analysis techniques to gain a clear understanding of the AS IS of the system and additionally derive new user scenarios to understand the potential TO BE system.

Experience in handling Change Management, SWOT analysis.

Extensive experience in facilitating JRP sessions with the business user groups, JAD sessions with the technology areas, interviews, written correspondence, reports, implementation requirements, project status reports, oral presentations and email, to keep executive staff and team members apprised of goals, project status, and resolving issues and conflicts.

Experience in creating Test plans, Test cases and mockups by interacting with QA teams and helping them in fixing errors, Conducted User Acceptance Testing (UAT) sessions.

Hands on experience in Implementation of Enterprise Business Intelligence solutions using BI tools such as Business Objects.

Wide knowledge of incident management, change management, problem management, configuration management tools and techniques.

Extensively used rational tools and MS Visio for creating use cases, version control, defect tracking and status reporting and applied the rational unified process in all areas of a software development life cycle.

Highly organized - can prioritize work schedules, manage time effectively, meet deadlines, quick learner, Work independently and as part of a team.

Technical Summary

Requisite Pro, Rational Rose, Rational Clear Quest, Rational Clear Case, HP Quality Center, MS Office Suite, RUP, MS Project, Visio, Reuters 3000Xtra, Murex, Bloomberg Professional (Bloomberg Terminal), MS-SQL, Oracle-10g, FIX protocol, Charles River IMS, SAP FICO, MicroStartegy, JIRA.

Education: Master’s in Business Administration- Finance

Indiana University of Pennsylvania

Master of Science – Information System Engineering Management (Data Analytics)

Harrisburg University of Science and Technology

Projects Summary:

Mizuho Securities Americas 1/2017 - Present

Senior Business Analyst / Project Manager

Working on a project focusing on automation of front to back trade flows and processing, report automation aimed to replace the intense manual work with the standardized automated reporting relating the liquidity reporting (FR2052a and LCR) and periodic reporting like daily and monthly PNL for Product Controllers for Fixed Income, Equities and Derivatives products.

Also leading a project on Front Office System Integration (FOSI), which is aimed to automate the Front Office activities and processes from GMI, Impact, Broadridge and create a consistent flow of trade data to Middle and Back office

Lead JRP sessions to capture the Business Requirements and created BRD and converted to FSD. Created functional specific designs to disseminate Business Requirements to the development team. Handling End-to-End delivery of Project.

Working on analyzing Financial Statements and monthly financial reports. Created detailed documents on the periodic reporting. Performed GAP analysis of the As Is State and To Be State and created the process flow diagrams for FIX API which was the integral part of the automation.

Creating the agenda for SCRUM calls, responsible for tracking all the stories in the Sprint and update the Burndown chart.

Created in depth processes and system analysis to understand the Front Office systems dependencies, analyzed the trade data flow from GMI, Broadridge for Equity Options, Equity Future Index etc, Impact for other listed Options, Futures and OTC Interest Rate Swaps and Credit Default Swaps.

Working on automating the Price adjustments required for Equity Futures marking due to the time difference between trade settlement (Settlement Price) and desk close (Close Price).

Responsible for performing detailed analysis of Middle Office functions and identifying areas to be automated and efficiently enhanced and presenting the same to the senior management.

Created a Discounted Cash Flow model prototype in Excel for the Securities Valuation team.

Developed test scenarios, test plan, test conditions, test cases and also use cases to be used in testing based on business requirements, technical specification and product knowledge

Drafted the BRD after conducting multiple JAD sessions with the Stakeholders/Users. Created the High level and detailed Testing Timeline and coordinated with multiple technology teams until the postproduction testing was signed off.

Performed Data analysis and testing by executing SQL queries and successfully coordinated the SIT testing and validation during all the phases of the project.

Environment: MS Visio, JIRA, XML, SQL, Hyperion, Microsoft Access, MS Project, MS Excel, Macros, MS Sharepoint, Broadridge, Impact.

Citibank, Wall Street, NYC 2/2015- 12/2016

Lead Business Analyst/Project Manager

The Treasury sponsored project aimed to rectify the misallocation of Initial Margin Interest allocation by Treasury to individual FX desks for Exchange Traded Derivatives (ETDs) and OTC Derivatives across all the legal entities of the Citibank.

Led as an SME on the project throughout the SDLC (Agile) process helped Product Engineering, Treasury, Product Control teams (end users) in coordinating to implement the proposed automatic margin interest allocation strategies across all the legal entities of Citi Group for the ETD and OTC derivatives. Created and executed SQL queries and also extensively used MS Access to test the large set of trade data.

Drafted the BRD after conducting multiple JAD sessions with the Stakeholders/Users. Created the Mockups and Prototypes to demonstrate the functionalities of the application to the users and also High level and detailed Testing Timeline and coordinated with multiple technology teams until the post-production testing was signed off. Specifically worked on gathering the requirements and delivering on LCR (Liquidity Coverage Ratio) for “in the money Options” contracts Basel 3 requirement

Rigorously worked on the Data Analytics within the project and tested the large set of data elements for Data Quality Assurance. Generated ad hoc reports proposing the allocation methodologies. Summarized the risk factors involved in the misallocation of initial margin interest among the traders and FX desks and its effect on the treasury funding activities. Solely handled the financial report automation for Fin39 and FR 2052a reports for Product Controllers at Citi.

Worked on replacing the product processor for FX Cash, Swaps, Forwards, Futures, NDFs (pricing and valuation) and FX Options project along with additional automation features added to the new system. Responsible for analyzing and communicating the potential risk factors to the stakeholders. Reconciling the trades processed from front to back using various parameters like cash recon, value date recon, MTM recon etc., Co-ordinated with Reference data team, Front office team and assisted in Client Onboarding (KYC) in order to have all the clients complete the KYC process before setting up clients on the static reference data table. Also helped them in mapping the customers data with the KYC required specifies. Also worked with the Volker team and regulatory (Dodd Frank) teams for stress testing and CCAR review of the final MTM value for the ETD and OTC derivatives products.

Performed GAP analysis to enhance the monitoring and reporting of control processes in Capital Markets dealings from front office (sales and trading) to middle office (product control,) to back office/operations, (regulatory reporting and compliance) as well as trade processing, including clearance and DTCC settlement. Worked with different data sets (Market risk, yield curve analysis, Value at risk) to gather and aligning documents.

Handled the complete end-to-end testing from Credit risk side team for from calculating RWA, CVA and EAD and co-ordinate with the team in resolving the RWA spikes that came through Murex. Worked with Middle Office team and Murex for Pre-trade analysis and automated the process of IM calculation received from Murex. Contributed to the testing by analyzing the trade process from credit risk side and performed the FinRisk matching testing for Basel 3 and other regulatory reporting requirements. Also prepared the Fin39 reports to highlight the counterpart risk exposure. Responsible for reconciling the trades front to middle to back office based on various parameters like MTM, value date etc. Monthly PNL reconciliation and also tested pre trade clearance testing via FIX Protocol. Created the Modified duration model prototype in Excel for Citi EMEA Fixed Income modeling team.

Developed test scenarios, test plan, test conditions, created test cases on JIRA and responsible for creating user stories, creating multiple ad hoc reports using Tableau dashboards, use cases to be used in testing and updating product backlog based on business requirements, technical specification and product knowledge, responsible for managing the burndown chart.

Environment: MS Visio, Murex, JIRA, SQL, SSIS package, Microsoft Access, MS Project, HP Quality Center, FIX, MS Excel, Macros.

Wells Fargo, STL, MO 12/2013- 12/2014

Lead Business Analyst/Project Manager

The project was developed for Global Wealth Management team. Project is about developing an application that helps in reviewing the portfolio of large private client group. The application helped in the review process of equities, fixed income and derivatives and included updated ratings from S&P, Moody’s, CS, price, efficient frontier, risk and return values and also included what if scenarios to stress test the portfolio and CCAR review for minimum capital requirement. Solely handled re-engineering project of one Wells Fargo’s investment management live application.

Other major project was automating the Asset Management reporting system, generated by using VBA and SSIS package, that were being manually generated, the automation also addressed Regulatory & Management reporting especially Dodd Frank regulatory experience concerns more closely with traceability of financial information in Regulatory filings that will also mitigate risk of additional restatements.

Created Business Requirement documents and Functional requirement documents for calculation of risk weights for all asset classes like Securitizations, Derivatives and Equities.

Created Macro (VBA) to accommodate complex pivot tables, charts from different data sources (FactSet, Bloomberg), generate monthly P&L reports, cash flow statement and also addressed to Dodd Frank reporting requirements and scheduled jobs to automate the process. Created Stored Procedures in SQL server as part of report automation.

Conducted functional reviews with stakeholders from Wealth Management Group to display current and create future state process maps; documented business requirements to improve the existing risk control measures on Cash Equities & Corporate actions across all Fixed Income products lines like Corporate bonds, options.

Validated / updated documents per Basel III standards and performed regression testing of the Basel EAD model for the entire OTC derivatives for the new regulatory capital models, specifically for stress testing, CCAR– Dodd Frank requirements, Created data mapping for reference data elements.

Created documents to Compliance Regulatory Reporting & Procedures on KYC – Client Onboarding, documented the process for KYC - Client Onboarding, and calculated for three major components of risk that Wells Fargo faces: credit risk, operational risk and market risk and built the Mockups to present it to the stakeholders before testing phase started. Conducted data quality assurance testing.

Created Business Change Management (BCM) documents and data mapping documents to build integrated platforms to accommodate new technologies and development methods to improve processing of derivatives as per FAS 133 and reduce operational risks, user acceptance testing (UAT); user integrated acceptance testing plans (Quality Center)

Environment: MS Visio, Agile, JIRA, SQL, SSIS package, SSRS, S&P, Moody’s, Tableau, Bloomberg, Tableau, HP Quality Center, Thomson Reuters’s SmartStation 2.0, MS Visio, FIX, Morning star, Eagle PACE, Murex, MicroStrategy.

Santander bank, N.A (Earlier Sovereign Bank) Philadelphia, PA 10/2011 - 10/2013

Business System Analyst

Santander bank offers financial services like retail banking, corporate banking, mortgages, investment, insurance services, etc.

The project goal is to replace third party system with in-house system and also to include customization and automation of specific functions for FX wire transfers via SWIFT.

Responsibilities:

Was involved in Business Re-engineering process for automating “get a quote” process and reflect all the daily adjustments in the financial statements (P&L).

Initiated the scrum meetings, responsible for tracking sprints and backlogs. Performed functional review of the existing vendor system.

Used Agile methodology in defining problem, gathering requirements, business modeling and communicating with technical team

Created documents of the functional analysis of the exchange rate handling, fraud reporting process and customer communications in existing vendor system

Performed data mapping to fetch data from different sources and generate customer communication reports

Proactively communicating with the Operations to gather information required for analysis

Worked closely with the developers, SMEs and upper management to document to-be systems

Performed gap analysis of the existing in-house and the new system.

Organized meeting with the operations, upper management to review the requirement documents and to obtain sign off

Documenting the To-be workflows and clarifying the requirements with the development team

Involved in creating test strategy and test plans

Created test cases for different functional aspects of the new in-house system

Performed various kinds of testing – Functional testing, Smoke testing, Data Quality Assurance Testing and wrote a test cases and test plans for the application

Environment: MS Office Suite, MS Visio, Agile, SQL Server 2008, HP Quality center, Share point, Synergy reports, WinScp(3.8.2)

OCC, Chicago, Illinois 05/2010 - 9/2011

Business Analyst

Options Clearing Corporation is the world’s largest equity derivatives clearing organization. The goal of the project is to enhance the existing PMC and CPM application by accommodating OTC positions in the new application and the project also insisted upon converting all the historical files to FIXML format to archive and decommissioning legacy system.

Responsibilities

Gathered the requirements by interviewing all stakeholders and also by preparing questionnaires with closed and open ended questions and also conducted JAD for gathering requirements for the new application and converted into functional requirements with the help of development team

Performed gap analysis on the existing functionalities of PMC application and performed extensive brainstorming with business users and developers to document the to-be proposed application

Created detailed BRD and facilitated to collect functional requirements for system enhancement. Prepared approach documents and Technical design document after analyzing the business requirements document

Used Excel Dashboard reports to present complex and critical summarized data analytics results to the management and business users

Extensively used MS Visio for UML diagrams – Use case diagrams, sequence diagrams, activity diagrams and business process flow diagrams, work flow diagrams in designing the application life cycle.

Created screen mockups to showcase the new screen changes that can be reviewed and understood by both business and technical personal

Prepared data mapping document to capture the data from RBH schema to FIXML format for Listed derivatives clearing

Executed SQL queries to retrieve data from the database for data analysis and data validation

Developed requirement traceability matrix and wrote numerous test cases to ensure every requirement is being tested

Was assisting the QA team in conduction various kinds of testing and also assisted them in creating test plan, test scripts and writing test cases. Responsible for writing use cases and also conducting UAT

Environment: DB2 (9.7), UC4, Visio (2008), QC(11), DocuShare (6.6), UNIX (putty), SQl server (2008)

Sun Trust, Atlanta, GA 11/2008 – 4/2010

Business Analyst

Sun Trust bank is the leading financial service holding company offering personal, small business, institutional, banking services and also wealth management financial services.

The project was about automating daily P&L system and integrating with the present system. It was mainly focused on creating P&L reports based on selected trade date or criteria. It also involved automating specific reports and exporting them in Excel format to the upper management and risk managers so as to make appropriate decisions for the next trade day

Responsibilities:

Conducted JAD sessions with stakeholders, Subject Matter Experts (SME’s), and end users to synchronize and update the requirements requested by the business users

Designed the application in UML using Use Case Diagram, Class Diagram, Sequence Diagram, Swim-lane Diagrams and State Diagram for project documentation and interpreted them using Rational Rose

Implemented RUP process models for the different phases of the Software Development Life Cycle (SDLC)

Facilitated the weekly meetings with the review teams to continuously improve the QA process for the application development

Conducted walkthroughs with the end users and stakeholders to gather the modification requests from the user to upgrade or change the business specifications for the product

Recommended and coordinated development efforts and enhancements with help of Rational Clear Case

Responsible for assisting the Quality Assurance team to create the test plan, testing scenarios, use cases and test cases for functional, non-functional and UAT testing

Environment: Windows XP, MS Office, MS Visio (2007), Rational clear case 7.1, MS Visio, Microsoft .Net framework, Microsoft SQL server, Load Runner, Quality Center

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