CLAIRE L. FRANKEL

** ****** ***** *****, #**

New York, N.Y. 10022

917-***-**** cell

ac8q1n@r.postjobfree.com

SENIOR DATA ARCHITECT

Accomplished in delivering highly complex and competitive banking, investment and risk database designs.

Ms. Frankel has a mastery of tactical and strategic Data Architecture in data modeling, database design and data administration for relational databases including Risk, Regulatory Compliance, Client Masterfile, Securities Masterfiles, Reference Data and Exchanges. This mastery has been gained through hands-on experience. She is also very experienced in Data Governance development, Data Lineage and related fields.

Ms. Frankel delivers Forward Engineering of conceptual, logical and physical data models, and ddl production, of relational and non-relational databases. This includes, but is not limited to regulatory requirement/ databases, including the GDPR, BCBS 239, Dodd-Frank, Sarbanes-Oxley (SOX) and Basel. She also delivers Reverse Engineered models from any relational database with evaluation and improvement (forensic database investigations) and extensive data mapping to meet compliance requirements. Areas of expertise:

GDPR, CCAR & BCBS 239 Reference Data Models & Databases

Data Governance AML - Anti Money Laundering Data Analysis RDBMS Data Modeling Standards & Guidelines

Regulatory Compliance Security Industry Operations

Data Warehouse & Business Intelligence Design Master Data Management

Business Planning, Analysis and Modeling Securities Industry Data Models (ERDs)

SWIFT and Internal Messaging Risk Measurement Databases

Erwin DM tool/ ETL/ELT designs Data Dictionaries, Big Data

Data & Metadata Management Oracle, Oracle CDM, DB2, Sybase, SQL

PROFESSIONAL HISTORY

U.S. Government (confidential) Sept 2018 – Present

Senior Consultant

Winter Wyman, New York, N.Y. Dec 2017 – June 2018

Senior Consultant, GDPR

Consultant to the Institute for International Education (IIE) for GDPR compliance. Identified all PII (Personal Identifiable Information of Clients) fields in CRM, the Grantee Masterfile, wrote robust definitions for the PII fields and chaired the committee which reviewed the definitions. Then, identified PII in 2 feeder systems to the CRM, mapped them to CRM and also mapped Slate standard fields (the replacement for CRM) to CRM. Staff reference person for CCAR and GDPR.

Civicor, Inc., New York, N.Y. May 2017 – August 2018

Chief Information Officer & Head of Data Architecture

Civicor was a start-up company, specializing in automation products for the Financial Services industry. Responsibilities included Data Architecture, Data Governance & Regulatory Compliance for Blockchain applications. My role included advising the CEO, providing advice on U.S. and European regulations such as GDPR, CCAR, Basil, etc., and providing database designs, including ETL/ELT recommendations for the relational /cloud database. This organization has shut down due to lack of Round A financing.

JP Morgan Chase & Co., New York July 2012 – May 2017

Executive Director, Risk and Control Systems Technology

For Corporate Oversight & Controls (O&C - Risk Measurement,) managed the Center of Excellence for Data Modeling, a successful group of Business/ Data Analysts, Data Modelers and Database Engineers. Oracle platform. Delivered :

2 major Risk database designs – Phoenix replacement (FORCE) and Controls Room

6 evaluations of critical physical data model designs (via reverse engineering) for interdependent systems, including Client Master and Instrument Master, and wrote recommendations for repair

Conceptual, Logical and Physical Data Models, including ERDs, Data Dictionaries and DDL for Risk, Regulatory Oversight, Controls, SOX and Basel mappings, Third Party Oversight and User Tools Databases

Created Data Lineage mapping for BCBS239. Reviewed CCAR and GDPR rules for compliance.

Compiled project data glossaries, data hierarchies, and Logical Data Models for Legal Obligations, Consumer Risk and Client Master Data links to Risk. Organized SMEs to address data issues.

Published and maintain Standards and Guidelines for Data Modeling, Class Words, and Naming Standards. Established Standards for Model Governance, using Erwin’s ModelMart.

Brought User Tool Inventory data models up to current Production level, from 3 versions behind

Target databases: Oracle, SQL, DB2, Teradata

Attracted and retain top talent: hired staff of Senior and Junior Data Modelers to create the Data Modeling Group for Controls Systems Technology

For Compliance, compiled project data dictionaries and logical data models for Control Room, Legal Obligations, Anti Money Laundering and Consumer Risk Basel Reporting,

Morgan Stanley, New York, N.Y. April 2010 - July 2012

Vice President, Enterprise Data Group (EDG)

The Enterprise Data Group (EDG) was a 600-person global organization within Morgan Stanley Institutional Management, responsible for the collection, refinement, and distribution of Instrument, Client, Account and Industry-standard reference data.

Delivered Conceptual and Logical Data Model Framework for all of Securities Reference Data. Supervised development of the Logical Model for listed derivatives and fixed income products at the granular and at the set level.

Reviewed all EDG logical and physical data models

Led Standards development, including bitemporality, versioning and namespaces

Led Project management, budget, staffing and mentoring for reverse engineering 38 physical data models and data dictionaries across 6 EDG Practice Areas

Established Standards for Reference Data Model Governance, including Client Master Data Management, using Erwin’s ModelMart

Evaluated the “Proof of Concept” activities of 2 metadata repository vendors for the benefit of the Enterprise Data Group

Designed ‘Anti Money Laundering’ section of new client intake database

Provided a lower cost alternative to a $2 M IBM/DB2 data model, reference data model mentoring and the selection of training content and instructors for internal data modeling classes – U.S., Canada, U.K., and Shanghai. Wrote the data model requirements for a metadata repository to be purchased from a vendor.

Managed a group of 19 IT Officers who wrote and edited EDG Standards. Delivered 4 Relational Data Modeling/ Data Dictionary Standards, and 2 sets of SWIFT Data Rules.

Teradata, Inc. New York, N.Y. 6/2008 to 4/2010

Senior Capital Markets Officer, North East USA & Europe

Teradata is the leading data warehouse technology vendor, worldwide (Gartner Industry Reports) The FS-LDM is Teradata’s normalized Financial Services Logical Data Model, with detailed subject areas for credit cards, asset-backed securities, retail and investment banking, risk, and regulatory requirements.

Managed all technological and business aspects of sales, not attended to by the Sales Executives, including relations with officers at clients and potential clients and communication between clients and Teradata’s R&D department

Applied the Teradata Financial Services Logical Data Model to clients’ projects

Created and presented technical topics; wrote white papers.

Responsible for $1M of business results.

For Standard & Poor’s: redesigned a domestic database for global application.

For Credit Suisse: modeled global trades, risk exposure, trade posting, and trade settlement using Teradata’s Financial Services Data Model

Augmented the Derivatives subject area of the FS-LDM and it was adopted by Teradata

Odyssey Financial Technologies, Inc., New York, N.Y. 9/2005 to 6/2008

North American Pre-Sales and Post-Sales Database Manager

Provided technical expertise for Odyssey’s Securities Reference Database and Market Data Cleansing system in the Americas. Expertise centered around Odyssey’s sophisticated proprietary securities reference database, in tandem with an algorithymic-driven filtering cleansing and comparison Market Data subsystem for Bloomberg, Reuters, Telekurs, and generic source market data. Responsibilities included:

Presentations and demonstrations to clients; RFP responses

Data Modeling Lead Engineer

Development and presentation of technical courses to clients and internal staff

Mapping and testing client securities data

Computer Sciences Corporation, New York, N.Y. 3/2004 to 9/2005

Senior Principle Consultant – Securities Reference Warehouse

For Nationwide, advised IT Senior Management on the selection of a new Securities Reference Database package; candidates were DST, FTI and Eagle/Pace.

Advised Management on all installation issues of the selected package, Eagle/Pace

Wrote the specification for the DMO (Data Management Office). Identified (1) all securities masterfile data in current systems, and (2) all performance monitoring and attribution data in current systems, in preparation to map both to Eagle/Pace

Goldman, Sachs & Co., Inc., New York, N.Y. 9/1999 to 03/2004 Senior Data Architect, Financial Information Architecture

Provided logical and physical data models (and DDL) for CPDB (Client Profile Database) for the Private Wealth Management Division. This GS Division has over $1 B in AUM. Recruited by Goldman.com in 2000 to transition the theoretical PWM data model to a populated operational structure. Responsible for data dictionary, modeling and testing within the overall database development framework of Sybase. Delivered:

Financial business analysis – worked with Users and Development Management to translate securities requirements and user experience into site structures, ERDs and star schema for client applications

Rewrote all equity product, and client-oriented business definitions in the Global Business Model to conform to SEC definitions; wrote scripts for versioning the db deployment on multi-tier PWM/ Asset Management architecture

Recruited internally, in 2002, to Cross-Divisional Projects and Architecture Division. Completely overhauled Goldman’s internal SWIFT-based messaging structure for distributed equity, fixed income, options and derivatives factories and subledgers, by negotiating common metadata/ messaging standards. As GDR product manager, saved the Firm $1.5 M in re-testing and re-writing costs for U.S. Treasuries and Mortgages factories.

IBM Corporation, New York, NY

8/1996 to 9/1999

Executive Information Consultant, Financial Data Architecture

Designed front to back DB2 Information Architecture for a Global Money Market application.

Created an STP solution for a large correspondent clearing firm. Developed plan to upgrade 10 systems, to DB2 using IE Development Methodology and Zachman framework. Led data-centric evaluation and presented findings and plan to executive management

National Securities Clearing Corporation (NSCC), New York, NY

5/1991 to 7/1996

Vice President, Database Engineering

Established the Database Administration and Design practice. Established James Martin’s Information Engineering methodology practices, database modeling (ERDs), and the enterprise-wide data design for equity and fixed income settlement Applications included: Money Settlement, Real-time Equity Trade Matching, Aggregated Order Management, Fixed Income Settlement, Billing, ACAT, Cross-Collateralization and FundSERV. Directly managed staff of 10 and managed, dotted line, an additional 8 staff at SIAC. $5 Million Budget responsibility.

Established assembly line procedures for rapidly rolling out new DB2 and Sybase databases – requirements gathering, data analysis, ERD, database design and extensive implementation procedures.

Established database subject areas on distributed servers which served as masterfiles, including ‘Client,’ ‘ Product,’ and ‘Security.’

Supported applications from business and database points of view, including requirements definitions, JAD sessions, prototyping, database design, systems development, testing and staged migrations

Served as a U.S. Brokerage Industry delegate to SWIFT, ANSI x9D and ISO Data Dictionary Standards Committees.

PROFESSIONAL DEVELOPMENT

Education: B.A. in Physics/Mathematics, State University of New York at Albany 1976

Graduate courses in Computer Engineering

Affiliations: Data Administrator’s Management Association (DAMA)

Enterprise Data Management (EDM) Council

Wall Street Technology Association (WSTA)

Author: White Papers on FAS-157 and SEC144A.

“Handbook of Investment Technology” Chapter 11: Electronic Messaging Standards and Standards Development Organizations

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