Data Project

Nilesh Tiwari

Compliance/Business Analyst

E-mail: ****@******.***

Phone # 732-***-****

EXECUTIVE SUMMARY:

Highly accomplished accomplished IT/Financial Services professional with solid education and diverse experience. Proven ability to learn quickly, assess problems, and initiate corrective action. Well-versed in Capital Markets, including Trading Systems, Risk Management, Portfolio Management, Compliance and Production Support. Comfortable in fast-paced, high-stress situations, requiring attention to detail and skillful follow-through.

TECHNICAL SKILLS:

Aladdin, PRISM, Green Package, Portfolio Construction, BlackRock Solutions Investment Software, Charles River, Red Alerts, Windows XP, MS SQL Server 2005, MS Office, SharePoint, UML, HTML, XML, ASP, VBScript, SQL, PL/SQL, HP ALM 11

EDUCATION:

CFA Level 1 Candidate

MBA, Concentration in Finance, NYIT (GPA 3.5)

Bachelor of Commerce (Business) (GPA 3.7)

Indian Institute of Management & Technology

Diploma in Business Information Systems (GPA 3.9)

PROFESSIONAL EXPERIENCE:

Deutsche Bank, New York, NY August 2014 – February 2016

Compliance/ Business Analyst,

Charles River to Aladdin System migration

Strong understanding of Basel Norms and financial reporting

Worked with the European team and the US team to successfully implement Aladdin system.

Interacted with Portfolio Managers and Traders to resolve trading issues and/or violations.

Lead conference calls with the global team (Team= Liquidity Fund Mgrs., ARA Fund Mgrs., Fixed Income and Equity Managers) and various other levels of management to discuss progress and to ensure that daily issues were addressed.

Validated BlackRock portfolio holdings and positions against Charles River equivalents.

Worked with Blackrock on the development of a platform to support order creation, trade execution and portfolio management.

Worked closely with the Vice-President of Guideline Monitoring Team to ensure Fixed Income, Equity, Alternative Investment violations appearing on the daily violation reports have been investigated and correctly identified as valid (reportable/non-reportable) or invalid.

Ran test trades within and in excess of compliance rules to ensure response viability.

Ensure that all portfolio rules falling out of Compliance were investigated and corrected by external vendor with regards to coding and were followed through on for final resolution

Monitored and lifted flags for real time trades wrongly deemed out of Compliance.

Worked to develop relevant test scenarios, system regression Test Plans and scripts and ensure the test results correspond to the business expectations

Worked with Quality Assurance to test Compliance rules associated with transitioning from Charles River Trading Platform to Aladdin Investments Software.

Investigated and reported validity of any discrepancies resulting from side by side testing.

Worked with the PMs to review Client Investment Guidelines and reconcile against Charles River rule descriptions.

Rewrote Compliance rule descriptions for BlackRock programming based on Client Investment Guidelines.

Worked with the DQM (Data Quality Maintenance) and Benchmark team to resolve data and benchmark issues.

Worked closely with the Vice-President of AWM on PM final sign-offs and related testing of the new and revised rules.

Run test trades within and in excess of compliance rules to ensure response viability.

Created testing procedures and directed the team to achieve desired goals by implementing those procedures.

Worked on Regulatory rules (40 Act and 2a7 rules) to resolve issues related to the assigned funds (Liquidity, ARA, etc.)

PNC Bank-AMG, Philadelphia, PA July 2013 – May 2014

Business System Analyst

Red Alerts RMS, Online Bill Pay, Vendor Applications

The Red Alerts RMS system is a network repository of information and documents that automates the process of storing and managing documentation, generating annual and periodic reports, and sharing information with the Investment Advisor Research team. The system categorizes the information by symbol, sector, source, sentiment or type - making it simple for investment professionals to locate the information they need to capitalize on investment opportunities.

Conducted comprehensive Business Analysis by working with end users and other stake holders to identify the system, operational requirements and proposed enhancements.

Elicited business requirements from business users and subject matter experts.

Organized and moderated Joint Application Development (JAD) sessions, identified business and system use cases, wrote use case narratives and used MS Visio to prepare the Use Case diagrams.

Defined and documented requirements, wrote BRD, functional specifications, and performed business analysis, data analysis and data mapping.

Created UI screen mockups as part of functional specifications.

Performed GAP Analysis to ensure business needs will be met through designed solutions.

Worked closely with QA department to provide relevant test scenarios, develop system regression test plans and scripts and ensure the test results correspond to the business expectations.

Managed the change documents and ensured that the changes are implemented correctly.

Responsible for managing the data migration to the system.

Ran basic SQL Queries.

Provide functional walkthroughs with business users, development, and testing teams.

Created and executed test scripts in HP Quality Center for defect tracking and effectively communicated the defects to the developer team.

Production Support Lead for eMoney, Red Alerts.

CME Group, Houston, TX January 2012 - April 2013

Project Manager/Business System Analyst

SPAN System

The project dealt with determining performance bond/initial risk margin utilizing the CME Group’s proprietary margin system called SPAN (Standard Portfolio Analysis of Risk). The SPAN system, a global industry standard, monitors market activity, including large and concentrated positions and manages risk through multi-lateral netting by customer and house account per firm while assuring the segregation of customer assets from firm assets.

Interviewed SMEs and recorded requirements. Coordinated and prioritized outstanding risks and enhancement requests based on business requirements to ensure timely delivery.

Designed and developed business requirement collection approach based on the project scope, SDLC Methodology and the client environment.

Analyzed and documented system requirements and supplementary requirements like complying with industry standards such as ISDA CFTC (Commodity Futures Trading Commission) and NFA (National Futures Association).

Products included options, swaptions (caps, floors, digital and Bermudan options) and exotic products.

Options Clearing Corporation, Fort Worth, TX October 2010 - December 2011

Business Analyst/System Analyst

Project: ENCORE System

The multi-year project involved replacement of legacy system with a new risk system called Encore Prices. It involved generated OFRA (Options Futures Risk Array) files, simplified the risk array parameter file, determined active scenario, and calculated net delta, offset spreads, commodity groupings and commodity redefinitions. Derivative products covered included Futures Contracts, Intermediate and Long-Term Interest Rate Futures Contracts, Stock Index Futures Contracts, Option Contracts, Options on Futures, Financial Options, Equity Options and Equity Swaps.

Performed analysis of business and system requirements and data to develop functional and non-functional specifications, user interfaces and reports.

Created design documents that included UML Diagrams, scheduling and batch process control, graphical user interface layouts, report layouts and technical analysis plan.

Provided hands on support for all test phases working with QA team. Assisted the national operations team working with Bloomberg and Thomson Reuters terminal. Used FPML/XML for processing OTC derivative flow.

MetLife Inc., New York City August 2009 – September 2010

Business/Compliance Consultant

Project: Aladdin Implementation

Reviewed, tested and validated over 7000 Compliance rules (consisting of internal, statutory and regulatory rules based upon domestic and international investment guidelines).

Ran test trades within and in excess of compliance rules to ensure response viability.

Ensured that all portfolio rules falling out of compliance were investigated and corrected by external vendor with regards to coding and were followed through on for final resolution.

Monitored and lifted flags for real time trades wrongly deemed out of compliance.

Reconciled Charles River trading reports with BlackRock equivalents.

Reconciled compliance rule descriptions against MetLife guidelines.

Participated in daily conference calls with the global team and various levels of management to discuss progress and to ensure that daily issues were addressed.

Merrill Lynch New York City October 2008 – June 2009

Business Analyst

Charles River Equity & FX Trading System

The system using the Charles River product was developed for trading and managing Equities and foreign Currencies (buy-side) positions. It covered order customization according to market needs, pre-trade and post-execution compliance monitoring, what-if scenarios and integration with accounting and downstream reporting.

Gathered business requirements by interviewing users and subject matter experts (SME), assigned priorities and established traceability. Analyzed current business process gaps and established improvements.

Developed and documented Use Cases, modeled processes using UML and Visio.

Analyzed existing SQL queries for performance and wrote new SQL scripts for back-end testing and data validation.

Assisted in change request management and impact analysis for the proposed changes. Developed and maintained the issue/defect matrix and provided the status reports.

Merrill Lynch New York, NY July 2006 – June 2008

Business Analyst

Global Client Profitability Data Warehouse

The project was to develop a global data warehouse for client profitability reporting for Prime Brokerage, Swaps, Stock loan and DMA. It covered global data capture, local report delivery, changes to data sources and data infrastructure, additional feed expansion and customization of the profitability measures on a regional basis.

Performed the initial analysis by going through the existing documents. Analyzed the current system and proposed system to come with the GAP analysis.

Interviewed the business users across Americas, UK and Asia Pac to collect the requirements.

Conducted JAD sessions with the users to collect the information about true data sources, the data feed format for input data file and built BRD and traceability matrix.

Assisted the DBA’s in resolving any issues with data mapping and data modeling. Interacted with off shore team of developers to resolve any issues.

ICICI Bank, India May 2003 – June 2005

Business Analyst

Project: Mortgage Financing

The project involved a Mortgage Financing Application. The firm’s representative submits customer’s application in a fronted top view and the lender can view the information of the customer. The loan-underwriting engine is used for the lender to make the decision whether to approve a loan or not. When lenders submit their loan data into the system, the system is run-through regression and Statistical analysis. Decisions are based on the result of the analysis. Web based user-friendly portal. Personalized information of the customer and categorizing into Risk, High Risk and Low Risk.

Participated in requirement gathering and business modeling along with the SME’s, business team, development team and testing teams.

Prepared Business Requirement Document (BRD) and Functional Requirements Document (FRD).

Determined project scope, risks, deliverables, task delegation, and implementation timeline.

Utilized Data Flow Diagrams (DFDs) in MS Visio and Power Point to graphically define and document data processes, data flow and data exchanges.

Assisted QA during testing and users during User Acceptance testing.

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