Project Manager Management

William Barth *******@*******.*** 415-***-****

Summary:

• Experience with Regulatory compliance risk management (Dodd Frank, Basel II and III, EMIR, Volcker,

AML, OCC, BSA, OFAC) as well as ITIL and COBIT.

• Familiar with FX derivatives (futures, swaps, forwards, NDF etc ), equity and interest rate asset classes.

• Influential working with stakeholders and managers.

• Drove elicitation and documentation of Business and System requirements including use cases and

system requirement documentation, process and flow diagrams (Visio).

• Domain scope includes banking, securities, financial services, re-insurance and health insurance.

• Performed gap analysis and built business case for compliance with new regulations for derivative (FX,

IRS, etc.) reviewing procedures and process flows including clearing, position limits, reporting and on-

boarding.

• Sets and monitors task assignments, budgets, milestones, develops PMO artifacts and project status

presentations.

• Experienced in Agile, waterfall and earned value project management and System Development Life

Cycle (SDLC).

• Expert user of MS Office including Excel, VBA, c#, Word, PowerPoint and Visio and project tools such as

MS Project, SharePoint and Clarity.

Management of off shore development teams (India, Russia, China).

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Expert user of SQL for Oracle, SQL/Server, MySQL.

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Professional Experience:

Akamai Technologies, Cambridge, MA Jan 2014 - Present

Principal Business Analyst / Project Manager

Driving implementation of new cost-of-goods-sold system across Akamai's networks and product catalog.

Managing participation of Offshore QA, Finance and Engineering organizations. Developing analytics and cost

models for new products. Working with Finance to measure profitability of clients across all platforms. Bringing

legacy system to enterprise level of performance and reliability. Developing requirements from users and system

experts. Maintaining project plans and presenting to senior management.

Intelligent Systems, Inc, Northampton, MA Jan 1993 - Present

Principal

Engagements below were under the umbrella of my consulting practice, Intelligent Systems. Additional project

information and full range of assignments available on request

Fidelity Investments, Smithfield, RI April 2013 – October 2013

Business Analyst

• Drove Master projects aggregating technical, infrastructure and client datamart development sub projects

and PMs for focused collateral multi-channel distribution systems and Representative desktop tools.

• Developed project roadmap for integration to rationalize similar and allied systems.

• Managed and guides project managers for IT development, UAT, Training, and others.

• Organized, conduct and document requirements discovery meetings with users and stakeholders.

• Developed use cases and system requirements, including process and flow diagrams (Visio).

• Review process, data architecture and use cases for similar tools for potential synergy.

• Manage intra organizational meetings and objectives and budget of over $1.2mm

U-SeeMe corporation Dec 2012 - Mar 30, 2013

Consultant / Business Systems Analyst, San Francisco, CA

• Examine business strategy requirements and system design to insure that technology aligns with

business requirements for new startup in social media.

• Develop design solutions for mobile single sign-on for Google, LinkedIn, Yahoo and Facebook.

Capital One, Richmond, VA Jul 2012 - Nov 2012

Senior Business Systems Analyst

Responsibilities:

• Drove elicitation and documentation of Business and System requirements for HBC Credit Card (private

card and MasterCard) collections and recoveries.

• Managed the integration of vendor supplied systems with internal systems of record.

• Reviewed and updated process maps and use cases for all system flows, including G/L posting and

coding.

• Reviewed money flow and G/L mapping strategy with treasury/finance groups.

• Provided Operational oversight of day to day operations of an offsite data center including the necessary

PMO change management controls and monitoring to make sure the requirements are being met.

• Monitored performance, managed incidents, and assessed risk of production change requests.

• Drove Agile project scrums for responsible product area.

• Provided monthly and weekly metric monitoring and reporting, weekly vendor meetings, and work request

and incident management tracking.

• Developed and executed test plans and test cases and user acceptance tests (UTA) to insure the data

center changes meet the requirements of stated capabilities for bank.

Environment: KL, SharePoint, Clarity, MS Project, Visio, MS Office.

Capital One, Richmond, VA Feb 2012 - Apr 2012

Basel II Project Manager/BA

Responsibilities:

• Managed multiple data sourcing projects for Basel II and resolve LOB and development issues.

• Managed multiple Basel data sourcing projects with LOBs to meet project milestones and mitigate data

gaps and budgets of over $5mm.

• Worked with the PMO to maintain status and artifacts such as Requirements Traceability Matrix (RTM),

approvals, tollgates and critical milestones.

• Developed and executed project plans to extract and improve data quality of economic and other data

from LOB databases (Credit Card, auto loan, mortgages) and ETL into Teradata warehouse for risk

calculation models (RWA) and compliance with Basel II regulatory requirements.

• Managed agile scrums, sprints/burn downs for responsible project areas.

Environment: KL, SharePoint, Clarity, MS Project, Visio, MS Office.

Wells Fargo, San Francisco, CA May 2011 - Nov 2011

Dodd Frank Compliance Lead BA Foreign Exchange

Responsibilities:

• Manages and guides project managers for workstreams.

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• Developed strategies for Dodd Frank compliance for FX business and drove implementation efforts.

Translated CFTC, SEC and OTC rulemaking to business requirements. Resolved issues across lines of

business.

• Worked with business managers in multiple workstreams (reporting, business conduct, on-boarding,

clearing, etc.) for aspects of the Title VII Dodd Frank rules to understand the implications and develop the

architecture, BRDs, FSDs.

• Reviewed provisions of proposed Volcker rule to see how prohibitions on proprietary trading and hedge

fund support would impact LOB.

• Worked with CFTC and OCC to define retail FX compliance trade-offs.

• Drove projects to develop a go forward plan (future state) which would comply with the new requirements

and with process and dataflow for onboarding, collateral (algo) and margin management (IM and VM).

OTC clearing, reporting for FX (swaps) and security based derivatives (IRS,VNS etc.)

• Reviewed DF Bill, CFTC, CEA, OCC and SEC rule making and performed a gap analysis against the

BAU derivative business and developed business processes (BPM)

• Worked with legal counsel, Compliance and business managers to develop action steps, polices and

procedures to meet new rules and statutory deadlines

• Analyzed Client Reference Data queries (SQL) as basis for ECP qualification from Teradata enterprise

data warehouse.

• Organized compliance projects to develop/upgrade policies and testing and business procedures that

meet new rule requirements.

• Followed and interpreted Dodd Frank final and proposed rules from CFTC, SEC and OCC

Capital One, Richmond, VA Sep 2010 - Apr 2011

BSA – Payments

Responsibilities:

• Reviewed LOB payment implementations and new technology and find opportunities for de-risking,

centralizing and reducing costs of payments processing. Review vendor solutions and develop RFP and

business cases.

• Worked with Enterprise Payments Strategy and Governance team to develop roadmap for moving

payment systems including ACH, check image and FEDwire from LOBs to enterprise level and integrate

with core banking systems and Teradata enterprise data warehouse.

• Identified gaps and risks with retail, card and commercial payment processes. Compare present

state/BAU and propose Future State: Propose requirements and services to solve for risks.

• Developed roadmaps and reviewed Domain Target Architecture (DTAs) for credit card (TSYS2) Payment

flows and SOA solutions.

• Built business cases, write RFPs, evaluated commercial products in the payment space and recommend

projects to senior management.

• Identified risks and inefficiencies and recommend mitigation actions and projects.

• Reviewed Treasury and Basel II projects and roadmap against enterprise projects and analyze conflicts

and synergies. Review compliance and AML/BSA interfaces.

• Reviewed domestic and international wire systems (SWIFT, ACH, IACH, FEDwire, etc.) BAU, Plans and

vendors.

• Built business cases and presentations for check image consolidator, payment hub and data services.

• Identified risk mitigation, float and clearing opportunities in present and future state scenarios as well as

wire and ACH processes with Treasury Management.

• Sourcing: Brought in all relevant vendors for full presentations and review; Reviewed vendor’s use of

SOA, ESB and component architectures; Drove project process through approval, RFP and IT

participation.

• Extensively used of tools such as MS Project, MS Chart, Clarity, PowerPoint, SharePoint, Visio, Excel,

Outlook (meeting orchestration).

Major Regional (Midwest) BCBS Health Insurer Dec 2009 - Jun 2010

Consultant Analyst

Responsibilities:

• Evaluated technology use, accounting and organization, develop costing model / service stacks and

recommend future strategy.

• Reviewed technology organization and datacenter infrastructure against ITIL best practices including

mainframe (Z/OS), Windows and Linux.

• Developed recursive IT cost model and Total Cost of Ownership for current environment.

• Built normalized data model (MySQL), UI (PHP, AJAX/JSON) and reporting system (TOMCAT/BIRT).

Setup LAMP environment in the EC2 Cloud for this POC.

• Assessed architecture, infrastructure, platforms, System Development Life Cycle and Database

configuration for major systems (Claims, Membership, Finance and others) including development,

maintenance and operational cost.

• Modeled platform alternatives including architecture (Zos, AIX, Windows, Linux), outsourcing (BPO,

SAAS etc.) and vendor supplied end-to-end systems.

• Estimated ROI and conversion costs for the various scenarios.

• Presented findings to senior executives for strategic planning and decision making.

Various development and consulting engagements Nov 2007 - Nov 2009

TIAA.CREF. Charlotte, NC/New York, NY Jul 2007 - Oct 2007

Consultant: Application Portfolio Management

Responsibilities:

• Review current state, promote and present Application Portfolio Management (APM) best practices and

strategies.

• Reviewed APM initiative against Best Practices.

• Developed information on strategic value of applications and business and architectural alignment.

• Developed PowerPoint presentation on benefits and business case and delivered it to senior

management with a POC proposal.

SWIRL/PGE, San Francisco Feb 2007 - May 2007

Web Security Consultant

Responsibilities:

• Exposed vulnerabilities; develop security standards and best practices.

• Reviewed security of a series of web sites.

• Performed gap analysis regarding corporate standards, OWASP 10 and ISO 17799.

• Educated development team on secure programming techniques and web site configuration.

• Created project for upgrading of security to meet client requirements.

• Developed security policy document for advertising firms creating micro-sites.

• Provided gap analysis against Best Practices and ISO security standards.

Swiss Re, Zürich and New York Apr 2006 - Jan 2007

Consulting Project Manager

Audit IT organization including use and breadth of technology solutions, DR/BC, and manager effectiveness.

Responsibilities:

• Counsel CIO on staff and organization, governance, use of technology, LOB interfaces, strategic and long

term goals, cost savings and outsourcing opportunities.

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• Reviewed centralized and distributed operations and technology. Identify problem areas and

opportunities.

• Reviewed technology organization and infrastructure against ITIL best practices including change and

incident management and root cause follow up.

• Use knowledge of technology trends, markets and vendor directions to evaluate strategic initiatives and

investment decisions.

• Reviewed DR/BC plans and implementation.

• Reviewed projects and initiatives for management and strategic value.

• Evaluated processes and procedures (Incident Reporting, Problem Management, and Capacity Planning.

Procurement, Help Desk, Application Support).

• Reviewed key vendor relationships, SLAs and contracts.

• Reviewed and make recommendations on mainframe and server use, consolidation and virtualization

approaches.

• Reviewed SLA performance, KPIs and cost trade-offs.

• Wrote “white paper” on outsourcing issues and identify opportunities.

Various consulting engagements 2003 - 2006

JMP Securities, San Francisco, CA Feb 2003 - Aug 2005

Architect

Responsibilities:

• Managed the integration of research authoring system and develop secure web site for controlled

research distribution.

• Provided project management and vendor coordination for third party software development and

installation.

• Insured compliance with SEC regulations for research and risk management.

• Developed normalized Schema, and web pages for public and reporting internal sites.

• Performed Business Process modeling and reengineering study for research publishing.

• Managed the integration and deployment of research authoring/workflow application.

• Developed design and proposal for targeted research distribution system and integration with hosted

CRM.

• Contributed industry knowledge to support research analysts’ reviews.

• Developed specification for ETL solution to integrate real time market data feeds and SEC 2711 graphs

into database.

• Designed and build high new security web site with research queries and replicating databases.

• Reviewed and Recommend hosted CRM solutions.

• Wrote “white paper” on Targeted Distribution and Response Management for

• Securities Research”.

• Developed design and proposal for targeted research authoring and distribution system and integration

with hosted CRM.

• Configured database and setup replication from Windows Master DB and C# interface code.

Various consulting engagements 1997 - 2003

Swiss-Re., Zürich, München and New York 5/1996 – 8/1996

Management Consultant

• Hired to lead the integration of disparate IT organizations into the home office.

• Led IS restructuring team to select enterprise wide platform, tools and methodology best practices for

new client server and Internet applications.

• Made presentations on ISO9000 and SEI standards.

• Organized meeting agendas with a multi-lingual, multi-cultural committee in Europe and New York.

Merrill Lynch, Somerset, NJ and Denver, CO 1993 - 1997

Management Consultant/Project Manager:

• Developed business case and technical proposal for re-engineering of legacy based strategic financial

product

• Designed a new client server system

• Secured funding ($5mm), hired development team of 14 software engineers to design and implement

system.

• Setup Project plan and key milestones.

• Developed and trained employee team to take over support.

American-Re New York, NY 4/1992 - 1/1993

Management Consultant

• Set a technology direction for the firm.

• Educated management on the state of information technology with special emphasis on relational

database and software engineering

• Prepared charter on information architecture for corporate technology review committee.

J.P. Morgan, New York, Paris, Brussels, London 1980 - 1992

Vice President:

• Led technology organization of 100 with multiple projects.

• Advised international sites on technology trends and investments.

• Managed vendor relationships for telecommunications hardware and software. Reviewed and

recommended trading and order desk systems.

White Papers (available on request):

• Successful Outsourcing

• Automated Research Publishing and Distribution at Securities Firms

Education:

Physics and Math at CUNY-CCNY

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