Project Manager - Business Analyst - Test Coordinator

LYNNE ROSENBLOOM

C 917-***-**** *************@*****.***

QUALIFICATIONS:

IT and Operations Professional with significant expertise in all facets of project management, project life cycle, business analysis, UAT coordination and release management within financial markets.

Highly adept in stock records, accounting, income collection, settlements, clearance proofs, client onboarding and technical responsibilities.

Comprehensive background in information technology and back-office operations management for fixed income securities. Government Issues, Corporate Bonds, Municipal Bonds, Mortgage-Backed, Asset Backed, CMO, and Money Market Instruments with working knowledge of International, Options Commodities Derivative and Alternatives transactions. Skilled in discovering operational inefficiencies, identifying problems, documenting business processes, streamlining business processes, introducing technology solutions, and improving operational efficiency levels.

Possess FINRA Series 7, Series 63, and Series 27 licensure.

Proficiency in Microsoft Office, Project, Visio, Power Point, Excel, Broadridge Equity/Fixed Income platforms, JIRA, SharePoint, Actimize, SDLC,Waterfall and Agile.

PROFESSIONAL:

Neuberger Berman LLC 03/15 – 08/16

Vice President – Project Manager- Functional Test Coordinator

Operations & Conversion Team Lead

Mandatory custody and clearing conversion of 38,000 Wealth Management and Trust Accounts comprised of fixed income securities, mutual funds, equities, commodities, and alternative investments with a value of $43 billion to new custodian National Financial Services

Coordinated standard project meetings with internal and external management teams, team leads and stakeholders

Created end to end test plans, use cases, status and escalation reports for senior management teams

Maintained change control request, run books for test and conversion timelines

Coordinated standard project meetings with internal and external management teams, team leads and stakeholders

Managed issues and risk tracking including escalations and resolution discussions

Citi Group 11/11 – 03 / 15

Vice President –Project Manager-Lead Test Coordinator

CAO Regulatory and Reporting Change Team

Managed the regulatory reporting team’s integration of new business entity onto Citi’s in-house and Broadridge platform ensuring all regulatory requirements were satisfied

Formed a cross REGs functional team with technology and business representatives; developed consistent reporting tools, working group forums, providing senior management with a greater level of transparency

Managed the development and implementation of FINRA (11-56) Blue Sheet reporting changes and various trade reconciliations to ensure all filings are complete and accurate

Coordinated with client onboarding, account maintenance, finance and seg oversight teams to ensure compliance with SEC Amendment to Financial Responsibility Rules for Broker Dealers 15c3-3

Managed the legacy systems BoW for the fixed income Stock Record and Segregation work-streams, assigned priorities, added additional controls resulting in a 50% reduction in daily stock record breaks and providing the liquidity desk with approximately $450 million in additional collateral

Coordinated with Front, Middle and Back Office to effectively plan and document test plans, test cases, enter and exit criteria, document issues and implementation guides

Member of NAM Dodd Frank Project Team working with middle office to define development efforts required to comply with margin requirements and standardization of non-vanilla products

Barclays Capital Inc 7/09- 10/11

Vice President – Project Manager- Test Coordinated

Barclays Wealth Americas Integration Team

Lead PM for Barclays Wealth Americas (BWA)

Manage the conversion of 4,000 High Net Worth Accounts with an approximate value of$1.5 billion onto BarCap infrastructure (Broadridge/ in-house) providing timely accurate processing and compliance over 15 applications, supporting US and International fixed income, equities, derivatives, commodities transactions

Coordinate external auditors, various operations and IT groups to define, document and review controls required for SAS 70 and SEC Custody Control Rule 206(4) 2 assessments.

Defined key control objectives, assessment of objectives and mapped the control objective to regulatory rule (SEC 206 (4) 2 of Investment Advisors Act of 1940 and Sarbanes-Oxley Act)

Develop standard controls for communicating across different businesses, project stakeholders, and senior management status of projects, issues, associated risk and resolutions

Design and develop standardized test methodology for new products, system upgrades and releases, with focus on, business continuity, regression testing, SLA, and metric reporting

Lead PM supporting the BWA integration of OTC options, Commodities, Derivative, and Fixed Income (US $ and Non US $) products onto BarCap infrastructure

PM for the implementation of BarCap and BWA auto generated back to back transactions in $ US Fixed Income securities

Defined BWA monthly Service Level Agreement (SLA) and Metrics reporting for services provided by BarCap (BCI) business units

HSBC, New York, NY 7/06 -10/08

Vice President- Senior IT Business Analyst/Project Manager 9/07- 9/08

Cross Product -Sales and Compliance

Managed business expectations of day-to-day support, development efforts and managing IT budgets for Cross Product Sales and Compliance,

Introduced standardized procedures for managing IT projects supporting Global Sales Reporting and Compliance including Vendors (Actimize and CAS)

Coordinated multiple project teams across business units in London and New York for implementation of Actimize Watch List, Rule 92, Employee Transaction and Option models

Coordinated Project Steering Committee (PSC) meetings for US, Canada, and Latin American counterparts

Managed implementation of integrating Fidessa data into Actimize database

Managed automating filing registrations for registered representatives and branches

Business Analyst/Project Manager

Client on Boarding – (COBAM) 7/06 -9/07

Responsible for identifying, assess, and document business requirements recommending business priorities and advising on choices, risks, and costs.

Analyze the impact of proposed solutions across multiple business units, and acted as the primary contact with vendor team (Goldtier)

Set up Client On-Boarding Governance Policy, which introduced standard PSC meetings and metric reporting for senior management

Managed UAT, Implementations, Training and Conversion Task for Client On-Boarding and Credit Reporting modules

MARKET RESOLVE LLC, New York, NY 01/06 -7/06

Consultant /Business Analyst - Citigroup Project

Standardize workflow procedures across Investment Banking Business, ensuring compliance with Sarbanes Oxley.

Interviewed department managers and subject-matter experts to define existing workflows

Generated detail documentation for Derivatives, Margin, Trade Processing, Back-Office Functions, International Settlements and Capital Markets Fixed Income Syndicates

JP MORGAN CHASE, New York, NY 12/88-12/05

Project Manager/Business Analyst

Member of conversion team responsible for identifying conversion requirements and gaps for migration from our in-house systems to Broadridge fixed income applications

Responsible for implementing Straight through Processing of Tri-Party Repo’s on TradeWeb for all fixed income collateral types within the JPMSI entity:

Provided leadership and direction to all facets of project management including planning projects, establishing deliverables, reviewing project status, and ensuring completion within allotted time frames and budgetary constraints across multiple business units.

Coordination across various functional areas, communicate project status, issues tracking and resolution to project stakeholders and senior management

Played a primary role in interacting with vendors, businesses, and technical teams to create a solution that enabled the organization to add MBS instruments to TradeWeb, Tri Party Repo functionality.

Worked with key business partners to develop a standard test packet for implementing new releases, modifications to existing release, with regression and business continuity testing, matrix reporting

Coordinated MBS projects that reduced the firms risk and exposure with an auto reconciliation of positions, fails, posting of P & I payments, and claim tracking.

Coordinated Middle and Back Office task for CMO implementation, conversion to ICS for factor updates

JP Morgan Chase IT–Business Analyst

Managed the development and implementation efforts to support STP processing of fixed income transactions to the General Ledger for JPMSI and CBNY entities

Worked with key business partners and stakeholders to identify improvements, document business requirements and implement IT solutions for JPMSI and CBNY entities

Worked across multiple lines of business to ensure achievement of project goals.

Coordinated implementation task and user training

Chase IT Project Manager

Managed the implementation efforts for GSCC Netting of Repo Transactions for Coordinated all facets of UAT tasks including reviewing modifications, organizing teams, drafting test plan timelines, identifying environments required, detailing test script sign-off, and handling UAT exit confirmation

Volunteer Service:

Neuberger Celebration of Service team captain

Solidified a grant for the Children’s Hospital at Montefiore

Networking Champion of Citi Ops WIN Team

Member of Citi’s mentoring program

FINRA Registration

Series 7, 63, 27

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