Eric Wasser

*** ********** ***** *********, ** **726 Mobile: 718-***-**** ac9ig4@r.postjobfree.com BUSINESS-SAVVY TECHNOLOGIST, BUSINESS/DATA ANALYST & PROJECT MANAGER Qualifications

Summary

Excellent verbal

and written skills

Member of

LinkedIn’s “Most

Recommended”

group

Strong

analytical abilities

Business and

Data Analysis

Compliance,

RIsk and AML

technologies

Regulatory

Reporting

Experienced

technologist and

data modeler

Accomplished

software

developer

Strong

knowledge of

Investment

Products

Adaptable and

flexible in multi-

tasked, fast paced

environments

Proven

leadership and

organizational

skills

Security and

account master

data management

Project

Management and

PMO skills

Proficient in

Scrum, SDLC and

Agile

Methodologies

Technical Expertise

Software Actimize, Mantas, Oracle, Sybase, PL/SQL, Perl, Visual Basic/VBA, Microsoft Access, MS Office and Office Automation, Crystal Reports, ERWin, Microsoft Project and Visio. Management Project and Portfolio Management, extensive experience dealing with C-Level Executives, Risk Management/Mitigation, Business Process Re-engineering, Recruiting and Product Development. Functional Areas Business and Data Analysis, Compliance, AML, KYC/EDD, Trade and Market Surveillance, Anti- Financial Crime, Fraud, Trading Systems, Master Data Management, Data Governance, Market Data, Capital Markets Regulatory Reporting (CCAR/DFAST/Blue Sheets/OATS/TRACE), Prime Brokerage, Technical Audit, ETL, data modeling and warehousing, Scrum, SDLC and Agile Methodologies. Business Experience

7/06 – Present Regal Technical Consulting LLC, New York NY – President Founded my own firm specializing in providing solutions in the trading, AML and market surveillance space. From/To Title / Client / Business Group

6/18 – Present

Product Manager – Bridger/LexisNexis Risk Solutions

Handled customizations for the Bridger AML product by managing specifications, client expectations, scope and LexisNexis resources to satisfy customer requests and drive revenue. Bridger is the LexisNexis tool used to detect AML, Fraud, Financial Crimes and Anti-Bribery and Corruption.

Created Statements of Work and Proposals for customized Bridger projects. 5/17 – 5/18

12/07 – 10/08

Business/Data Analyst – Deutsche Bank, Compliance IT

As part of the Data Quality Group, performed profiling on data coverage for the Actimize and in- house Compliance models.

Performed a data audit and prepared a gap analysis on Deutsche Bank’s legacy trading systems in preparation of an Actimize implementation

Coded customized reports using Perl and PL/SQL for use by the Compliance Department. 5/16 – 5/17

2/14 – 11/14

5/12 – 2/13

1/11 – 10/11

Technical Auditor – Goldman Sachs, Corporate Internal Audit [Technology]

Completed Java code reviews, full data audits and reconciliations of the CCAR, DFAST, FRY-9C and FRY-14A applications.

Audited and performed data reconciliations on Compliance, Prime Brokerage and Back Office accounting systems

Found a major flaw in the Firm’s Stock Loan system saving Goldman money and preventing reputational damage.

Served as the primary technical resource for code reviews, output re-performance and functional suitability for all audits performed by Corporate Internal Audit. 7/15 – 5/16

2/13 – 4/14

Business Analyst/Data Analyst – Citibank, Compliance Technology

Performed a data audit and wrote ETL for the installation of two Mantas surveillance models for the Energy Trading Desk. Both were installed on time and on budget.

Wrote Perl scripts to perform automated data validations and performed a data mapping of the source system that fed the Futures Data Warehouse. 12/14 – 7/15

7/06 – 4/07

Business Analyst/Project Manager – Societe Generale, Compliance Technology

Served as project manager and headed selection process charged with choosing a Compliance solution to monitor trading activities.

Ran the QA Team for the in-house Electronic Blue Sheets System.

Led a six-person team that performed a conversion of four Actimize models in the Societe Generale Compliance Platform from Actimize to FircoSoft.

12/11 – 5/12

10/10 – 12/10

6/07 – 12/07

Business Analyst/Data Analyst - BNP Paribas, Compliance Technology

Successfully completed a full system data mapping and installed two Actimize Trade Surveillance models in a six-month period

Completed a full Actimize AML implementation on time and under budget. 10/08 – 10/10

System Analyst – Credit Suisse, Equities Technology

Wrote an application for Compliance for monitoring the marking of Short Sale tickets that used Java and Perl with Mantas and Security Master Data to produce output.

Used Perl scripts and Visual Basic for Applications to automate a formerly-manual daily trading activity report that was e-mailed to Senior Management. Page 2

Certifications

Microsoft

Certified Software

Developer (MCSD)

Education

Pace University,

New York, NY

o Graduated

June 1987

o Received a BBA

in General

Business with

concentrations

in Banking and

Economics

o Graduated

Cum Laude

4/07 – 12/07

Data/Systems Analyst – E*Trade, Compliance Systems

Designed and implemented the data warehouse used to stage and house the data needed for an Actimize Trade Surveillance implementation.

Major Accomplishment:

Have been hired multiple times by four different clients, including four times by Goldman Sachs. 7/04 – 7/06 Actimize, Inc., New York NY – Project Manager

Performed client management on three concurrent Actimize implementation projects at a major US brokerage firm. Served as Project Manager and Senior Business Analyst on one project and managed the firm’s resources on the other two projects.

Served as Project Manager and Data Analyst on an Anti-Money Laundering implementation for a major foreign bank’s investment bank. The project was completed on time and on budget.

Worked on AML, Trade Surveillance and Broker Sales Practices implementations for both Fixed Income and Equity products.

Served as Business and Data Analyst on the initial rollout of the Actimize AML program.

Worked with the Israeli development team to design and implement custom solutions. Prepared project plans detailing time, materials and costs associated with the custom solutions. Major Accomplishments:

Worked with the Actimize Development Team in creating the Anti-Money Laundering and KYC products.

Successfully ran three end-to-end on-time Actimize implementations. 6/03 – 7/04 Callidus Software, San Jose, CA – Principal Consultant, Premium Support

Responsibilities included client, project and product management at JPMorganChase. The project involved installing software that calculated bonuses and incentives for their sales force.

Managed a seven-person staff and ran status meetings to review sub-team progress and to identify and resolves bottlenecks that threatened the timeliness and quality of the project deliverables. Major Accomplishment:

Had the highest customer satisfaction rating amongst all Principal Consultants. 5/00 – 6/03 Swiss American Securities, Inc. (formerly StreetLine), NY – Vice President, Data Services

StreetLine, a member of the Credit Swiss Group, was an online equity trading system that allowed small- to medium-sized European Banks to offer international equity trading to their clientele.

Managed a group of 6 developers, sys admins and DBA's. Responsible for maintenance of our data center, the Oracle database and all of the customized code written to support the business.

Hired a staff of IT professionals, purchased hardware and software, wrote departmental policy and procedure manuals and managed a $1.5MM annual departmental budget.

Developed company policies, created new financial products for and set business direction, goals and targets.

Had extensive client contact with C-Level Executives on both a pre- and post-sales basis.

Created systems that allow StreetLine to provide Prime Brokerage services to our client base.

Designed customized solutions as per customers’ needs and requirements. Presented these solutions to the clients along with cost and time estimates and SOWs. Major Accomplishment:

Helped create an Internet online trading system start-up company from the ground up. 10/97 – 4/00 KPMG, New York, NY – Sr. Consultant, Custom Applications & Business Process Re-engineering

Managed a 9-person staff of Developers and Business Analysts that performed a business process re- engineering analysis then automated and streamlined the Corporate Actions department of a major U.S. bank. The project was completed on time and was so well received, it generated $3M in additional work.

Managed a 23-person team of business analysts and programmers that created a web-based life insurance quote generation system for a major insurance company. The project was completed on time, under budget and resulted in an expansion of the original product and $1M in additional work. Major Accomplishment:

Both of my projects came in on time, on budget and generated considerable add-on work.

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