Management Project Manager

JERRY MAO

A proactive and diligent Senior Business Analyst with over 8-year professional experience in financial industry and Banking Sector. A team leader who offers extensive experience of successful project delivery emphasized on Regulatory Management (AML, Basel, CCAR, Dodd-Frank and risk management), Financial Management (Bond, Security, Equities, Fixed Income, Loan and Trading), Collateral Management, Retail/Private Banking and Investment Banking. Be highly involved in SDLC which consists of business process design, analysis, implementation, testing, integration and maintenance. An experienced analysis with an objective to taking a challenging role as Business Analyst and giving an efficient and effective solution that would help the organization to deliver optimal productivity.

PROFESSIONAL PROFILE

Extensive experienced in Finance industry especially in Investment Banking, Mortgage industries.

Experienced in AML tools such as Actimize and Mantas systems and related topics knowledge and understanding of fixed-income trading, asset management and portfolio management applications and how they are impacted by the Bank Secrecy Act, USA PATRIOT Act, Dodd Frank Act, and Customer Identification Program (KYC/CIP).

Experienced in capital market instruments such as equity, securities and derivatives trading, Hedge Funds and fixed income.

Fully Understanding of Portfolio analysis report and P&L reports by performing the risk analysis (Credit Risk, Market Risk, Liquidity Risk, and Inflation Risk) based on the client investment objective.

Fully engaged with all stages of the trading lifecycle and contract cycle management in terms of OTC derivatives and various type of securities.

Designed and reviewed of various documents including the Software Requirement Specifications (SRS), Business requirements document (BRD), Use Case Specifications, Functional Specifications (FSD), Systems Design Specification (SDS), Requirement Traceability Matrix (RTM) and testing documents.

Proficient in creating Risk Analysis documents, Risk Management Plan, User Requirement Specification, Functional Requirement Specification and Business Process Flows.

Proficient in using UML in behavioral, structural and architectural modeling – in creating Use Case, Activity, Class and Sequence diagrams.

Excellent understanding of Database management system, Data warehousing concepts, Business Intelligence technologies and Data mining.

Highly skilled in Implementing Normalization/Denormalization techniques for optimum performance in OLTP/OLAP database environments for Business Intelligence’s function.

Wrote SQL queries and assisted in data retrieving, data validation, data mining to perform ETL process using SSIS, SSAS and SSRS. Created Data mapping document to give the IT department and clients an overview for the entire project.

Highly engaged in data modeling process using CA ERwin.

Expert in creating, writing, and executing Test Cases, Test Scripts from Business User Requirement documents and Functional Design Documents.

Experienced in performing functional tests at various stages of SDLC using automatic testing and manual testing to provide QA test executions.

Ability to handle pressure and meet deadlines coordinating multiple tasks in project environment.

Strong programming skills in object-oriented language such as C++, R, VBA, MATLAB, Bloomberg Terminal, etc. Solid working experience and coding skills with the developing environment of Java, .Net C#, Rational Requisite Pro, Rational Clear Quest, Rational Clear Case, Linux, UNIX.

In-depth quantitative knowledge of mathematics, statistics and stochastic calculus.

Exceptional experienced in risk management and calculations using IRB, VAR and CVAR.

Fully understanding of fixed incomes, futures, options and interest rate derivatives and well-versed in implementing Black-Scholes model for option pricing and hedging the risks.

Excellent in dealing with high pressure situations and multiple tasks performance with outstanding communication and writing skills.

EDUCATION:

Master of Science in Financial Engineering

Certification in Financial Risk Engineering

Bachelor in Mathematics

TECHNICAL EXPERTISE:

Project Management: MS Project, MS Excel, MS Access, Issue Management, CMM, SharePoint

Business Process Modeling: Action Workflow, Casewise, UML, Rational Rose, MS Visio

Software Lifecycle Management Methods: Quality Function Deployment (QFD) for Software Development, Joint Application Development (JAD), Rally, Agile Scrum, Rapid Prototyping, Rational Unified Process (RUP) and Traditional Waterfall Model.

Facilitation Techniques: QFD, Affinity Diagram, Cause and Effect Fishbone, Pega 7, Force Field, Six Sigma, Tree Diagram, Customer Focus Groups.

Full Lifecycle Software Development Tools & Methods: Object Modeling Technique, Use Case Method, basic data modeling techniques, Rational Suite, JIRA, Rally, Jama, iRise, Cognos.

Presentation and General Business Tools: MS PowerPoint, MS Word, Word Perfect, Crystal Reports, Business Objects, Borland Caliber Requirements Tool.

Testing Tools: Rational Enterprise, Test Director, JIRA, SQL, HP Quality Center.

AML specialist: Actimize, Mantas, CCAR.

Technical skills: SQL Server, MySQL, C++, R, MATLAB, Bloomberg Terminal, FIX protocol, Java, .NET C#, SSIS, SSAS, SSRS.

PROFESSIONAL EXPERIENCE:

Client: HSBC, NY

Duration: July 2014 – Present

Role: Senior Business Analyst, Data Analyst

HSBC is a global financial service dedicated to help its clients manage and service their financial assets throughout the investment life cycle. The project was designed to implement KYC/CIP to comply with AML regulations. This involved Data analysis, Data cleansing, and data migration to ensure the quality of data and content before loaded into Mantas system for transaction monitoring, regulatory reporting, and also general ledger of the accounting system.

Responsibilities:

Analyzed the existing customer data and understood the Bank Secrecy Act, USA PATRIOT Act and other regulations to identify the needs to be captured for each existing customer and prepared missing values, anomalies for the completion of the CDD and EDD.

Conducted JAD (Joint Application Development) sessions to gather Business Requirements. Determined how requirements would be managed by using Rational Requisite Pro. Analyzed and prioritized requirements, reviewed deliverables created by BAs on the team for quality and consistency.

Leaded the BA team in evaluate business needs, developed scope document, financial projections, budgeting and analysis for the project using Agile methodology.

Identified the technical needs of the organization by organizing meetings and creating product backlog.

Proposed solutions or alterations to remove inefficiencies and close gaps in existing process via process redesigning.

Developed UML diagrams like Use Cases Diagram, Activity Diagram, Sequence Diagram, Class Diagram and Coloration Diagram using MS VISIO 2010.

Prepared Business Process Models that includes modeling of all the activities of business from conceptual to procedural level.

Wrote the SQL queries in Oracle SQL Developer to perform ETL development based on different business and transformation rules to ensure the data quality use CA ERwin. Managed the database and assisted in making Data warehouse and Data profiling.

Prepared a Gap analysis of the existing data to fully comply with CIP as per AML regulations.

Determined the threshold parameters such as geography, source of income the customer etc., and fed to Mantas repository along with the historical transactional data to categorize the customers for sanctions screening.

Worked with Mantas team to mine the transactional data provided by the firm and completed changing in various compliance scenarios to achieve the tuning and update goal to implement AML solutions within KYC system.

Assisted Mantas team to conduct analysis and optimization for existing systems to optimize number of alerts and ensure adequate coverage for the transaction monitoring system based on the PEPs and CIP.

Maintained and created test cases for Subject Matter Expert Testing, SIT Testing.

Reviewed and analyzed the Use cases and came up with System design and Test plan Templates and developed test plans, test cases and test strategy.

Designed the test plans and test scripts based on the user requirement specification and conducted UAT- Integration testing, Unit testing.

Worked along with the IT department to create data mapping documents and generate data report.

Assisted compliance department with CTR Reports, Suspicious Activity Reports, Liquidity Reports, etc. for regulatory authorities.

Supported accounting department and analysis of Corporate Actions for the balance sheet including payable and receivable delivery.

Played a key role in leading and coordinating the efforts of the junior BAs. Was responsible for providing training and assistance to junior BAs and business users.

Tools & Technologies:

Oracle SQL Developer, Mantas, Agile, UML, MS Project, MS-Visio (UI Mockups), MS-Office, Excel Macros, ERwin, MS SharePoint.

Client: Citigroup, Charlotte, NC

Duration: June 2013 – June 2014

Role: Senior Business Analyst

Part 1

The project was assisting the wealth management team with the objective of upgrading and integrating the reporting system to enhance performance reports in order to provide our clients with high-end investment solutions, portfolio rebalancing, risk management based on the impact of market risk on different securities, Fixed Income, swaps, CDS (credit default swap), OTC derivatives and collaterals within the capital market and portfolio management based on the real-time performance analysis to optimize the investment strategy for different clients.

Part 2

Applied the Axiom system to integrate the risk data and financial data along with other macroeconomic scenarios to generate regulatory reports and perform stress testing for CCAR.

Responsibilities:

Took the responsibility of a team leader to provide comprehensive support and supervision for the process and team members workloads. Acted as the primary liaison between system users, client managers and software development team to requirements based on the CCAR Regulation for Financial Statements, Interest Rate, Ratings and Investment Securities. Facilitated work flow and decision making process and created Business Requirement Document (BRD).

Understood the contract lifecycle thoroughly and facilitate contract lifecycle management for various OTC derivatives, including options, futures, swaps, etc.

Strong Financial Domain knowledge and extracted and validated data quality for different trading strategies including Alternative Trading Strategies for Derivatives and related regulatory compliance.

Assisted Project manager in maintaining and monitoring the progress and status of the project, providing high level estimate of efforts for analysis, implementation and support, estimating delivery schedule and resource allocation.

Conducted JAD sessions to allow different stakeholders to communicate their perspectives, resolve any issues, come to an agreement and achieve goals.

Performed data acquisition and built up a risk data mart using SAS and participated in quantitative risk (market risk, credit risk and operational risk) model validation. Used MATLAB and R for credit risk analysis for PD, LGD and EAD models.

Measured project performance on time and budget as per project plan.

Developed Use Case diagrams for every conceivable scenario, Activity diagrams, and UML 9(diagrams in MS Visio).

Participated in facilitating the end-to-end work flow with Six Sigma.

Assisted to integrate risk and finance operations in order to reconcile source data with the General Ledger and internal reporting.

Execute SQL commands with IBM Data Studio to access DB2 database to test batch-processing technologies based on the Netezza data warehouse.

Performed requirement walkthroughs with the development and QA teams with the aim to develop testing strategies and test plan such that test cases reflects user needs.

Documented and tracked defects, as well as produced detailed report using HP Quality Center.

Worked extensively with client requirements to generate customized SQL reports using SSRS.

Conducted Stress Test and calculation of tier 1 and tier 2 capitals, liquidity coverage ratio, risk-weighted assets, etc. based on Dodd-Frank Act with the compliance department.

Understood and executed ETL logics using Informatica and create data mapping documents to control the data quality and data flow.

Created test plan and test cases for the SIT testing.

Provided remote and onsite support to end user during and post implementation.

Supported General Ledger accounting schemas testing and reporting.

Managed any change requests related to the working project plans daily with JIRA to meet the agreed deadlines.

Worked with regulatory department to generate CCAR Regulatory Reports of FR Y-9C, FR Y-14A, FR Y-14Q, FR Y-14M and tracking the enhancements for the system.

Tools & Technologies:

MS Office, MS Visio, UML, Microsoft SQL Server(SSIS, SSAS, SSRS), IBM Data Studio, DB2, z/OS., MATLAB, R, Informatica, Six Sigma, HP Quality Center, JAD, JIRA.

Client: Alliance Bernstein Holding, NY

Duration: March 2012 – May 2013

Role: Senior Business Analyst

The project was an enhancement for the loan contract lifecycle management within the portfolio management group to enable default management team to propose loan modifications that will enable borrowers to make timely payments and avoid loans from going in to inactive status in the capital market. It also had the ability to change the terms of a loan at any point in the loan, restructure a loan with different interest rate, amortization schedule or as per the monthly payment including HELOC and high risk loans. Apply RUP Methodology.

Responsibilities:

Collaborated with project manager to define project scope, risks, and determined appropriate methodologies to apply based scope/vision documents and developed project time lines for on time delivery based on SDLC methodology.

Acted as a team leader to provide walkthroughs for team members, including other BAs, developers to come up with the elicitation of business requirements

Got fully understanding of the full loan lifecycle including origination, underwriting and closing.

Mediated users and stakeholders conflicts on requirements through JAD sessions and elicit requirements afterwards.

Facilitated discussion involving key stake holders from both business side and IT side to elicit high level requirements and estimate project feasibility and documented business requirements.

Identified and documented business needs and created detailed Use Cases using UML, and collaborated with team to identify existing processes and system gaps and created functional requirement document (FRD) that supported overall goal and objectives.

Created detailed sequence diagrams, activity diagram to elaborate the behavior, structure and process flow.

Worked with IT department and used IBM BPM system to achieve instant collaboration and real-time visibility through analytics to speed up the work flow design

Documented and analyzed SQL queries against various databases and generate reports as per company requirements.

Optimized execution and management process with visibility through continuous monitoring and analytics using IBM BPM.

Managed the data and created data mapping documents to facilitate ETL process and data analysis using CA ERwin.

Worked alongside PMO office in creating various testing scenarios for integration and system testing.

Assisted Project Manager creating Project flow using Pega 7, monitoring project progress and status, estimating delivery schedule and resource allocation.

Maintained Traceability Matrix for the current business processes and proposed change.

Conducted UAT, and reported user feedback to the management team and assisted in User Training for the new system.

Tools & Technologies:

Rational Requisite Pro, Rational Rose, Rational Clear Quest, Rational Clear Case, IBM DB2 SQL, IBM BPM, RUP, UAT, Pega 7, UML, RTM, CA ERwin, MS Office.

Client: The Bank of New York Mellon, NJ

Duration: January 2011 – February 2012

Role: Business Analyst

The Bank of New York Mellon provides full trading life-cycle, integrated solution to investors, wealth managers and brokers worldwide. The project was to implement a comprehensive trading system and supporting the portfolio management department. The system handled the trading and managed the contact lifecycle of equity, fixed income, FX, and OTC derivative (swaps, options and futures) for listed in the capital market and also handled the notification and process of the corporate actions. It enabled its users to simultaneously trade a comprehensive set of securities, track live P&L values and examine exposure to shifting market prices, interest rates, volatility, yield-curve assumptions and other market and liquidity risks.

Responsibilities:

Gathered business requirements from traders, portfolio managers from the front office, and risk management group from the middle office to identify and map detailed current processes and develop functional requirements that supported overall strategy, goals, models and objectives, then develop and document the BRDs and FSDs.

Prepared and analyzed AS IS and TO BE in the existing architecture and performed Gap Analysis and created workflow scenarios, designed new process flows and documented the Business Process and various Business Scenarios and activities of the business from the conceptual to procedural level.

Developed scope document, financial projections, budgeting and analysis for the project using IBM Cognos 10.

Represented SRM to Senior Management, presenting analysis to US CRO, UK CRO and the Head of Strategic Market Risk.

Identified Use cases from the Functional requirements and wrote Use Case Specifications and created business process workflow diagrams (Activity diagrams, Sequence diagrams, Collaboration diagrams) in MS Visio

Worked with Financial Analysts on Fixed Income Analysis (Pricing, Risk, Yield, Duration, and Recommended Strategy) with Excel to support trading, and reviewed with portfolio manager, collateral management team and traders.

Assisted Risk Management Group in financial risk model validation for credit risk, market risk and counterparty risk by calculation of PV, Duration, Convexity, Option Greeks, VAR, stress test and other key trade metrics applying MSCI Risk Metrics, MATLAB.

Assisted IT department from the back to implement trading system based on SWIFT messaging protocol and perform ETL process and data analysis within the Eagle Pace Data Warehouse/Data Hub) and Eagle STAR (accounting) platform to perform the contract lifecycle management to ensure the trading capture, execution, matching, valuation and collateral management.

Integrated Jama improve the efficiency and effectiveness of requirement gathering process and product delivery.

Acted as liaison between management and development team and collaborated Jama software with HP Quality Center for Requirements and QA testing during the User Acceptance Testing (UAT) phase to ensure high quality and traceability from start to end, which was involved in user interfaces, requirements and data modeling sessions.

Created user manuals and provided training to business users as part of the change management process.

Tools & Technologies:

Microsoft Visio, UML, SQL Server, Cognos, Jama, Rally, HP Quality Center. C#, MSCI RiskMetrics, MATLAB.

Client: China Construction Bank, NY

Duration: Jan 2010 –November 2010

Role: Junior Business Analyst

The project was to provide a web based product to allow external and internal users to make mortgage and personal loan payments online, allow access to loan transaction history, credit, delivered online billing. The project involved implementing an online database for the users to enter technical support and request service using RUP methodology. Online summary of the various requests and time taken for each were facilitated faster response to future customer requests. The system allow user to check the status of their request using an online interface and provided notification to the user via email once the request is satisfied.

Responsibilities

Interviewed business stakeholders to determine business needs, maintained communication with clients throughout project status.

Used various requirement elicitation techniques like brainstorming, JAD session, walkthrough, interviews to gather requirements.

Performed feasibility and adaptability study to identify the business critical areas for user perspective.

Worked on Microsoft Share Point server for content management applications.

Created UML Use Cases, Activity diagrams for the interaction between report analyst and reporting system.

Created Business Requirement document, Functional Specification, Use Cases.

Provided relevant test scenarios for testing team, created Test plan and Test strategies to define the objective and approach of testing.

Partnered with the technical areas in the research, resolution of system and User Acceptance Testing (UAT).

Assisted in developing project timelines/deliverables/strategies for effective project management.

Presented wireframes GUI design in co-ordination with design engineers and end users for better understanding of the product being developed.

Tools & Technologies

MS Office, MS Visio, Quality Center, MS Excel, MS Word, MS SharePoint, GUI, UAT, MS Project.

Client: Industrial and Commercial Bank of China, NY

Duration: August 2008– November 2009

Role: Junior Business Analyst

The scope of the project was to make enhancements to existing Equity Loan Origination system which enables customers to apply for fixed rate equity loan or equity line of credit. Integral part of the project was to enhance few old reports and create new reports for the business using Waterfall Methodology.

Responsibilities:

Conducting user interviews at both in-house and client locations gathering and analyzing requirements and implemented those ideas in to developing GUI wire frames models, technical and functional specifications.

Designed and developed ERD, Use Cases, Activity diagram, identified, analyzed, defined and documented business processes and use case scenarios.

Conducted JAD sessions with management, SME’s, Business users, and other stakeholders for open and pending issues to develop specifications.

Ensure timely completion of project tasks, and deliverables with high degree of quality and prioritizing task appropriately and resolve issues along with project manager.

Provided DB2 Database Administration support for DB2 and z/OS.

Performed manual Testing along with testers. Conducted UAT with the business users.

Worked with Quality Assurance Analyst in HP Quality Center to track defects.

Collaborated with the Project Manager to organize training material and user manuals.

Worked with SQL queries such as select, insert, update and delete for data manipulations.

Work on profiling the data for understanding the data and mapping document.

Tool & Technologies

MS Office, MS Visio, Quality Center, MS Excel, MS Word, MS SharePoint, GUI, UAT, IBM Data Studio, DB2 and z/OS, MS Project.

Client: Industrial and Commercial Bank of China

Duration: June 2007 – June 2008

Role: Junior Business Analyst

The Risk Management System - The project is to develop an automated web based risk management system for the process of recording and maintaining reports from the credit card. The system generates Credit reports of individuals based on the data provided by the various agencies. The system also maintains a record of any information obtained to an individual’s report and updates the database

Responsibilities:

Facilitated meetings and arranged JAD sessions with business users for requirements gathering

Primarily involved in gathering requirements for the GUI (Graphical User Interface) screens and designing the same

Analyzed and created workflow diagrams and presented to developers

Created use cases and designed use case diagram, class diagrams and sequence diagrams using Rational Rose

Responsible for preparing Software Requirements Specification (SRS) taking functional requirements specification as a base

Responsible for the Timeline estimation

Analyzed and documented non-functional requirements

Interacted with various cross-functional teams on building business scenarios, and understanding expenses and revenue stream

Prepared detailed reports of the defects and Comparison Chart

Interaction with the developers to report and correct defects

Tools & Technologies:

Rational Rose, Requisite Pro, MS-Office, Microsoft FrontPage, MS Excel, MS Access

Contact this candidate