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Management Manager

Brookline, Massachusetts, United States
April 30, 2019

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Thomas Phan

*A Wellington Street, #*

Boston, MA 02118

617-***-**** / /


Financial business professional with experience working as a key stakeholder in supporting business solutions for Big Data analytics and Enterprise Risk Management software. Relevant experience includes; User Acceptance and Quality Assurance Testing and SDLC lifecycle tracking and resolution; Utilizing data analysis and SQL query tools to identify risk and compliance issues; order management system (“OMS”) coding / development; Pre and post trade portfolio compliance monitoring; compliance sub-adviser oversight and direct client liaison experience; Collaborative, understanding and consensus building approach with both internal stakeholders and external clients.


Charles River (CRD) SQL rule coding experience

JIRA Dashboard Project Issue and workflow tracking

User Acceptance Testing (UAT / QA)

Tableau 10.0 Data visualization analytics tool

SQL Querying and Analysis

BRD Business requirement documentation

Agile/Kanban/Scrum methodology collaboration

Consensus driven engagement with Stakeholders

Risk Management solution based approach

Stakeholder engagement in Machine Learning initiatives


Charles River Development (CRD); Aladdin: Portfolio Monitor, Green Package, Trade Entry, Sec Master, TAR, ADAM

Microsoft Office: Excel, V-Lookup/Pivot Tables, Word, Outlook, PowerPoint. Tableau, Power BI, JIRA Dashboard, SQL Server Studio, Aqua Data Studios, SQLite, SharePoint, Access, Adobe Acrobat, Bloomberg Terminal. FINRA License: Series 6 (inactive)

Active Member – International Institute of Business Analysts (IIBA)


BlackRock, Boston, MA December 2016 – December 2018

Risk Management Business Associate, Global Transactional Surveillance and Risk Management

Collaborated with fellow Risk Management end users and business stakeholders to gather functional user requirements, risk management surveillance parameters, scope and appropriate data points.

Worked closely on a Risk and Surveillance automation initiative with Project Manager Stakeholders, Business partners and Developers to ensure the successful completion of each project Sprint / Iteration.

Performed and documented results of User Acceptance Testing to ensure all functional, technical, business and risk management requirements performed as expected.

Submitted follow up JIRA request forms for product enhancement, process improvement and to remediate “bugs” and unanticipated technical, business and risk issues identified in the UAT process.

Provided Risk Analysis Proof of Concept Tableau prototypes to the Data Science team to develop and enhance Tableau based surveillances for integration into the larger Intranet automation project.

Utilized SQL table queries to determine if various data points could be scoped into surveillance automation and streamlining projects under development.

Performed walkthroughs of successfully completed project releases with senior management, users and stakeholders.

Oversaw ongoing Transaction Surveillance of Portfolio Management and Trading functions including querying Transaction Surveillance exceptions utilizing SQL generated reports

Worked closely with global team in New York and London to implement the development of new Transaction Surveillance tests, including regulatory interpretation, technical specifications and testing

Assessed Regulatory Risk and application of this understanding to surveillance exceptions and to the ongoing iterative development of surveillance tests.

BNY Mellon Asset Management, Boston, MA August 2012 – June 2015

Senior Surveillance Compliance Analyst / QA Systems Testing and Review

Performed development and SQL based coding of investment compliance rules and restrictions on the Charles River Development Compliance System (CRD) on behalf of BNY Fixed Income boutique firm Standish Asset Management.

Performed QA Testing for investment compliance rules in a CRD test trading environment to validate all newly created rules and restrictions work or flag as expected to with the 40 Act Rule, or Investment Management Agreement (IMA) guideline.

Performed peer review and testing of CRD rule development performed by fellow Coding Team members to ensure consensus on the accuracy and completeness of all new automated rules, restrictions and guidelines.

Worked collaboratively with Surveillance, Compliance, Portfolio Management, Trading, Relationship Management and Risk Management to properly implement rules required by 40 Act or UCITS requirements and / or IMA Client guidelines.

Monitored CRD pre and post trade compliance activity, closely partnered with Portfolio Management, Trading, Operations and Client Service to identify, analyze and resolve compliance issues and exceptions in timely manner.

Performed ongoing rolling audit of Charles River rule coding to ensure they properly reflect the intent of client guidelines.

Additional Professional Experience:

Pioneer Investments, Boston, MA April 2016 - July 2016

Compliance Consultant (short term contract role)

Performed Cross Trade monitoring and 1% price tolerance for affiliated client accounts.

Performed daily Compliance testing of excess and overdrawn portfolio cash limits across all portfolios.

Maintained restricted list for accounts with exposure to Bank Loan private information Bank Loans.

Maintained watch list for companies subject to mergers and acquisitions pursuant to UK Takeover code.

Performed liquidity collateral segregation coverage for all accounts with Swap and Derivative exposure.

State Street Global Advisors, Boston, MA April 2009 – April 2012

AVP, Compliance Officer

Reviewed monthly, quarterly, semi-annual and annual client compliance questionnaires, checklists and board materials to ensure accuracy, completeness and the timely completion of all client reporting deliverables for over 250 clients.

Worked collaboratively with subject matter experts throughout the organization to complete 206(4)-7/38a-1 Compliance Program / due diligence questionnaires, Request for Proposals, 10f-3, 15c questionnaires, and ad hoc client requests.

Provided filing requirements for N-CSR, N-SAR, N-Q, and N-PX, Form ADV, and filings on Forms 13F and 13G.

Collaborated with Portfolio Management, Trading, and Legal, Relationship Management, Operations and State Street Corporate divisions to ensure all client questions are answered completely and accurately.

Assisted the Compliance Reporting team manager in the daily supervision of a group of four compliance analysts.

Coordinated the implementation of global internal compliance procedures posted to the firm-wide intranet.


University Of Scranton, Scranton, Pennsylvania. Bachelor of Arts, History


Teaching Assistant - The Harriet Tubman House, Adult Education GED/ESL Program, Boston, MA

PC Literacy Tutor - The South End Technology Center, Windows Basics Tutoring, Boston, MA

Volunteer Mentor - John Hancock Youth Summer of Opportunity Mentoring Program, Boston, MA

Volunteer Leader - The Women's Lunch Place & New England Shelter for Homeless Veterans. Boston, MA

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