Manager Management

ARUN KHATRI

* ******** **, *******, ** *****, E-Mail: ***********@*****.***, Cell: 908-***-****

PROFESSIONAL SUMMARY: Experienced Investment IT action oriented manager with strong ability to communicate effectively with technology, executive, legal and business audiences with excellent client customer relationship skills of leadership experience supporting Capital Markets, Fixed Income, Treasury, Equity, Mortgage Back, Commercial lending, Derivatives, OTC, Repos, Asset Liquidity, Bond Desk, Trading Floor, Banking, Insurance, Legal, etc. with long track record of delivering operational excellence through process improvement, people development, excellent customer service and building partnerships across team.

EDUCATION: Master Degree, Liberal Arts (Economics and Finance) from Delhi University, New Delhi, India.

RESPONSIBILITIES AND PROFICIENCY: 3rd Party Vendor Relationship Manager, 3rd Party Vendor Assessment, 3rd Party Vendor Risk, 3rd Party Vendor onboarding, 3rd Party Vendor Catalog Product Manage, Market Data Manager, Vendor Sourcing, Vendor Negotiation, Contract Control, Inventory and Category Spend Control Manager, Procurement Sourcing Manager, Identity Access, Asset Control, Data Governance, IT Compliance Manager, IT Auditor, IT Risk Manager, Project Manager, Program Manager, Business Analyst, Financial Control, IT Change Control Manager, IT Security Liaison, Data Center Control, IT Application, System Engineer, Trading Floor Support, Operational Support, Help Desk Manager, Disaster Recovery.

PROFESSIONAL EXPERIENCE

Societe Generale, Senior Consultant September 2016 – December 2016

Third Party Risk Management, Data Vendor Management Business Analyst

Test UAT Archer Application risk Assessment functionality workflow act as TPRM with initiating inherited risk questions.

Responsible SME tester of completing the assessment and review before sending that to vendor to complete risk rating.

Responsible Engagement Manager tester to review IRQ actions are completed.

Liaison with BCP, Compliance, Info Sec, legal, Audit, Compliance to coordinate the third party risk assessment evaluation process by receiving the necessary documents of third party action plan from vendor and completing the review for providing sourcing TPRM to move ahead of signing agreement.

Resolve production Risk Management Archer Application issue with bug fixes reporting to support team.

Create program to compare differential of agreement data.

Gather and analysis the accuracy of contract data in internal systems.

Maintain the accuracy of Data inventory billing in MDSL.

Fannie Mae, Herndon, VA January 2014 – June 2016

Global Procurement Data Specialist

Negotiate on global enterprise level for data, software, 3rd party exchange, hardware, products, services based on business requirements to determine contract terms, conditions to leverage providers cost efficiency with business, engage management to recommend, implement deal strategy involving vendor, Risk, Business, legal team where necessary, provide guidance to business.

Develop credibility as a subject matter expert, point of contact for business stakeholders in respect of vendor related engagement.

Professional Data expert within Vendor Management Department, to drive supply-side initiatives, projects related to Business Process category with manage other key initiatives as RFI, RFQ, RFP with full steps of engaging vendor demand using ProcureOne.

Provide vendor bids, requests, and selections include evaluating vendor productivity, efficiency, business conflicts and overall financial stability, establish core vendor management processes in order to monitor and manage vendor compliance and performance, including change control and communication and ensure development and integration of vendor management tools, templates, method and processes also participate in vendor benchmarking, provide market insight based on research and known industry data.

Review control contract to insure of terms and language compiles with firm policy, redundant of service compiles with subscription. Establish effective, cooperative alliances externally with key vendors, manage vendor relationships from a commercial perspective.

Influencing, collaboration and relationship-building skills both internally with key stakeholders and externally vendors. Consult and guide Vendor Delegates and Relationship Managers vendor lifecycle process.

Participate in vendor annual review with partnering with business of vendor SLA issue with using performance scorecard. Conduct holistic vendor risk assessments utilizing industry standards and frameworks.

Partner with 3rd Party Risk Management to document delivery method for ASP model, review the audit of compliance SAS, SOC 2, ISO 27001/2, SIG, SSAE16/ISAE3402 report focus on a business's non-financial reporting controls related to security, availability, processing integrity, confidentiality, and privacy of a system, as opposed with the focused on the financial reporting controls.

Responsible for onboarding vendors, review vendor risk assessment by pulling vendor history using Equifax, Rapid Rating, etc. to ensure that the risk being assesses with vendors, partners, third parties and manage performance technical vendor risk assessments using risk assessment knowledge and skills. Review due diligence is completed with firm standards before engaging with a provider.

Participate in Data Governance process of control data usage by manage in and out data for firm, control and avoid redundant.

Project manage the integrated of manage data feed (S&P Hierarchy, Ratings, Credit Sight, SNL, etc.) for Risk Net domain.

Manage market, reference, data vendors for directives, initiatives, production issues including connectivity, support, new products, training opportunities, user demos, API’s via Bloomberg, INTEX, Thomson Reuters, etc., liaison between vendors in all part of business support including pricing team to valuation end of the day, work closely with Data Management team to insure of redundant.

Manage distribution of real time data received from RMDS, Bloomberg, INTEX, TradeWeb, YieldBook, etc, into internal system EMDEX and consumed by other systems and users. Provide 2nd and 3rd level Market data demand management support including license, reallocation and contract swap for, Bloomberg, Eikon, RMDS, Markit Partners, Capital IQ, Moody’s, S&P, DataScope, MorningStar, Lipper, FactSet, etc.

Manage BlackRock Green Package data for 3rd party service received via Aladdin application with dealing with 3rd Party vendors of down streaming data, track Bloomberg, TradeWeb trade confirmation flow via AIM and BlackRock. Advice users with strong understanding of Operations, Vendor Compliance, Network, Data Governance, policy of redistribution data, ID sharing, etc.

Manage Vendor Management process including contract management, user access, on board vendors, production issues, testing, audit, compliance and review legal terms, etc. and manage demand management with market data help desk by providing support in reallocating service license, ordering new license, monitoring of removal, swaps existing user license, monitor network issues, etc.

Project manage evaluation of data management implement tool solution for business and management in defining current service received by vendor for demand management control process with finance, data management, procurement, market data team, etc.

Project manage Business Framework Process Outsourcing (BPO) to scope, pricing models utilized, performance measurements setting service standards, KPI’s, SLA for single security privacy research Commercial Use of GSE, MBS & PC Disclosure Data.

Meet regularly with Finance to analysis annual spend, advice creation of budget, accruals with projection of annual increase, and provide license usage report by user to allocate cost internally to users.

New York Life Investments, Parsippany, NJ May 2009 – December 2013

2nd VP IT Investments Vendor Manager

Point-of contact for market, reference, data, assets, software license, outsourcing, hardware vendors for directives, initiatives, billing issues, new products, services, training opportunities, and user demos along liaison between vendors in all part of business support.

Manage, review, approve, between IT, business, vendors, consolidate metrics report on SLA performance, recommend corrective actions for non-compliance for internal IT and external vendors to business management, implemented a recurring quality review process with strategic vendors to ensure contract terms and conditions, risks and issues are resolved using Ariba modular.

Manage vendor relationship by single-point-of contact for real-time distribution of market, reference, data, assets, software license, network, help desk, support, for directives, initiatives, billing issues, new products, services, training opportunities, user demos, etc., for directives, initiatives, production issues including connectivity, support, new products, training opportunities, including, Bloomberg, Thomson Reuters, IDC, FactSet, Lipper, Morningstar, TradeWeb, YieldBook, S&P Capital IQ, Moody’s, BlackRock, SS&C, etc., relationship along with Green Package data for 3rd party service received via Aladdin application, API’s via Bloomberg, INTEX, Thomson Reuters, etc., along support include pricing team receive valuation end of the day, daily files are delivered in timely manner with deep knowledge of data products, data reference and software managed include real-time market data over proprietary platforms, indices, ratings agencies financial and economic databases data aggregators, News, analytical models, risk and performance tools, FTPs and external research, Insure Bloomberg, TradeWeb trades confirmation flow via AIM and BlackRock in timely manner.

Negotiate on global enterprise level for data, software including 3rd party exchanges, hardware, products, services based on business requirements and determine contract terms, conditions to leverage providers for cost efficiency with business and senior management, implement deal strategy involving vendor and legal team where necessary and provide advice to business on contract licensing issues.

Provide vendor bids, requests, and selections include evaluating vendor productivity, efficiency, business conflicts and overall financial stability, establish core vendor management processes in order to monitor and manage vendor compliance and performance, including change control and communication and ensure development and integration of vendor management tools, templates, methods and processes also participate in vendor benchmarking and provide market insight based on research of known industry data.

Manage SoftDollar relationship with brokers, vendors with manage approve SoftDollar invoices. Providing budget for Soft and Hard Dollar to department heads, data Inventory of SoftDollar and hard dollar in FITS.

Control data spend resulted in reduction through contract negotiation, inventory, product replacement and redundant product decommission. Recommend to management of distribute data usage reports with financial trends, business risks, potential opportunity and work closely with staff to minimizing cash payments, understanding firm total data cost exposure each month to provide accrual.

Control BlackRock relationship, Green Package data for 3rd party service received via Aladdin application.

Provide system design, process documentation, presentations, scorecard, data management overview, reports, system engineers, IT, financial team, internal audit, compliance and outside regulatory agencies.

Implement product enhancements, software upgrades, data updates, work to procure resources for current and future projects.

Manage control of data delivery issues, accuracy for internal systems (Domestic and International Charles River, CAMRA, Eagle PACE, Advent Geneva, Murex, Pricings System, State Street, BlackRock Aladdin).

Cultivated deep knowledge of data products, data reference, software managed include real-time data over proprietary platforms, indices, ratings agencies financial, economic data aggregators, News, analytical models, risk, performance tools, FTP, external research.

Management Vendor Governance, collaboration with business Vendor Delegates and Relationship Managers on vendor risk assessment, due diligence, ongoing oversight, controls, maintain partnerships, across Asset Management to ensure active and early participation in vendor matters. Consult guide Vendor Delegates, Relationship Managers through vendor lifecycle process.

Ensure appropriate due diligence is completed following firm standards before engaging with a provider, assessing vendor due diligence results and action plan development, vendor monitoring processes are completed in line with vendor engagement risk level and provide vendor governance training and execute testing and documentation results using Ariba modular. Support development, enhancement, manager of Asset Management Vendor Governance program. Document Standard Operating Procedures as required.

Agile project manager mythology to iterative, incremental method of managing the design and build activities of engineering, information technology and other business areas that aim to provide new product or service development in a highly flexible and interactive manner an original form of agile software development.

Work with Stakeholders across Asset Management, support functions to scope project requirements and partner in end-to-end execution of projects, report/present monthly budget status across Asset Management group, and User Acceptance Testing (UAT).

IT security with focus on Identity Management with Re-certification users, applications access, enforced. Certification SOX controls. Manage user access, ensuring compliance with regulatory requirements for information access, security, privacy and maintain security administration manual, security program and coordinate regulatory exams.

Manage IAM technology to initiate, capture, record, manage user identities related access permissions in an automated fashion. This ensures that access privileges are granted according to policy, individuals services are properly authenticated, authorized and audited.

Partner with 3rd Party Risk Management to use the snipper, document Overall Risk Evaluation delivery method for ASP model and review audit compliance SAS, SOC 2, ISO 27001/2, SIG, SSAE16/ISAE3402 report to focus on a business non-financial reporting controls related to security, availability, processing integrity, confidentiality, privacy of a system, as opposed with the focused on the financial reporting controls. Responsible for performing technical vendor risk assessments using risk assessment knowledge and skills. Ensure appropriate due diligence is completed following company standards before engaging with a provider. Support vendor monitoring processes are completed in line with vendor engagement risk level.

Provide guidelines of company compliance policy to vendor and internal users by education and providing guidelines also evaluate user risk of accessing systems by creating waivers. Make user aware of data redistribution and user ID sharing violation.

Work closely with Finance, Legal, Accounts Payable, Asset Management, Procurement/Purchasing, Risk, Compliance, Product Platform owners to manage financial risks in interest of firm, work with internal audit group to ensure data and systems are protected.

Re-certification users, applications access, enforced Certification SOX controls. Review, verify SAS70 from vendor and provide recommendation it to Risk Management team. Manage user access, ensuring compliance with regulatory requirements for information access, security, privacy and maintain security administration manual, security program and coordinate regulatory exams.

Community Board Member to approve user access, changes to internal and external systems and drives. Manage change control weekly management meeting to insure all changes are input properly and are approved by management, business, into system, determine all changes compiles with firm policy before proving approval of change to production, implement change control process of product testing, desktop software, quality assurance, desktop data and quality assurance.

Manage testing or new change management tool Klapper to improve change management process.

Review user access report, request approval from user manager to insure of user access. Assign VPN with secure card access for users and manage removal of user access when they are no longer with firm.

Implemented product enhancements, software upgrades, data updates, work closely with Business to procure resources for projects.

Implement change control process of product testing, desktop software, quality assurance, desktop data and quality assurance by building lab for testing new source, upgrade and update releases before rollouts.

Work closely with Change Management and Risk Management to flag potential problems, alert Problem Management to isolate, identify outage and service interruptions, assuring support, manage servers, Cisco routers, modems, DSU’s, desktops, application and OS, routers, desktop imaging and application deployment.

Interface with departments to gather disaster recovery requirement to support Disaster Recovery site with desktop, front office applications and develop implement test plans to demonstrate Business Continuity Plan meets its objectives and Audit’s requirements.

Metropolitan Life Insurance, Morristown, NJ November 2005 – December 2008

IT Investments Development Manager Vendor Management

Built team of 6 to manage Financial all budget process, Vendor Management to view risk of vendors. On-boarding vendors, relationship vendor, Provisioning of license management, Manage daily activities, new products, and removal of redundant services.

Review, approve, manage Service Level Agreements between IT, business, vendors, consolidate metrics report on SLA performance, recommend corrective actions for non-compliance for both internal IT and external vendors, implement recurring quality review process with strategic vendors to ensure term and condition are met, risks, issues are resolved. Review, maintain MSA, contracts, SOW, NDA to ensure terms and conditions represent standard interest are adequately protected with using Ariba Modular.

Negotiate on global enterprise level for data, software, Hardware, Consulting, out sourcing, including 3rd party exchanges, product, services based on business requirements, determine contract terms conditions to leverage cost efficiency with business to recommend, implement deal strategy involving vendor, legal team where necessary, provide advice to business on contract licensing issues.

Provide vendor bids, requests, and selections include evaluating vendor productivity, efficiency, business conflicts, overall financial stability, establish core vendor management processes to monitor and manage vendor compliance and performance, including change control and communication and ensure development and integration of vendor management tools, templates, methods and processes also participate in vendor benchmarking and provide market insight based on research and known industry data.

Work with internal functional experts, suppliers, consultants to define, implement, document various procurement team strategies along with track, resolve project issues and concerns related to category sourcing initiatives and supplier performance management.

Create RFPs using Ariba eSourcing module, electronic RFPs, monitor vendor contracts, obligations, invoicing terms, activities, prepare content, sourcing support, articulate communicator to engage stakeholders, teammates, supplier contacts on objectives.

Create presentations by thoughtful use of content information, graphics design to update various management audiences at team meetings, present to different audiences, as appropriate and facilitate meeting.

Order and maintain inventory for assets Hardware, Desktops, Scanners, Printers, Servers, Hard Drivers, Memory, Software including Microsoft, Adobe, Hummingbird, .Net, Accuate, Developer kit, ETC.

Manage Vendor Governance, collaboration with business Vendor Delegates and Relationship Managers on vendor risk assessment, due diligence, ongoing oversight and controls. Maintain partnerships across Asset Management to ensure active and early participation in vendor matters. Consult and guide Vendor Delegates, Relationship Managers through vendor lifecycle process. Ensure appropriate due diligence is complete standards before engaging with a provider. Provide support in assessing vendor due diligence results and action plan development. Support and ensure vendor monitoring processes completed in line with vendor engagement risk level.

Oversee facilitate vendor issue to resolution via identification action plans to address performance gaps, control risks, in partnership with business owners of third party relationships. Provide vendor governance training, execute testing, results documentation. Support development, enhancement, Asset Management Vendor Governance program. Document Standard Operating Procedures as required.

Control data spend using FITS resulted in cost reduction through contract negotiation, inventory control, product replacement, redundant product decommission. Met regularly with management to distribute data usage reports on a monthly basis for financial trends, business risks and potential cost reduction opportunities.

Implement Eagle data warehouse project to validate notify of errors in pricing via data vendors to store historical data as repository.

Manage procurement services, from approval process to final implementation, validate and process invoices, worked closely with goal of minimizing cash payments, understanding firm’s total data cost exposure, balance ledgers each month and provide accruals.

Provided system design, process documentation, metrics, presentations, scorecard, data overview, reports, system engineers, IT, financial team, internal audit, compliance and outside regulatory agencies.

Point-of contact for market, reference, data, software and hardware vendors for directives, initiatives, billing issues, new products, services, training opportunities, user demos, liaison between vendors in all part of support.

Member of Project Program Management Office (PMO) team to report project activity budgets, provide project management support for Development and Maintenance projects, responsible for providing leadership in areas of business interruption, process management, department communications, program project management, governance activities, assist with regular detailed analysis of budget reports, providing and adjusting earned value management (EVN) by comparing current project performance against plans.

Plan product enhancements, upgrades, data updates, work with Business to procure resources for current and future projects.

Manage system development life cycle (SDLC) for system development project, initial feasibility study through maintenance, application approval to final implementation.

Provide design, planning of implementation of data-feed upgrades, removal, application rollouts, analyze, integrate new technologies with business function for strategic planning, deployment systems, auto-execution orders for Derivatives, Structure Finance, FX, ETC.

Gather business requirement, Build Project plan, Coordinate, Document, implement change for users. Manage application package push via Marimba for software, data, market data service, implemented FITS inventory control system, MMG Partner usage reporting system, RMDS to receive real time API data feed connected to Murex along with installation of RDF, p2p servers, DACS, Managed order routing systems STP and with FIX protocol where orders are input into Charles River (domestic and International) and distributed to accounting (Camra), internal systems, managed new and existing data feeds, upgrade implementation of services in India, London and international countries by following international regulation and creating international entities.

Manage data delivery issues of files receive in timely, data accuracy for Internal systems (Domestic and International Charles River, Murex, Pricings System, Credit Sync, etc.).

Cultivated deep knowledge of data products, data reference and software managed include real-time market data over proprietary platforms, indices (MSCI, FTSE, S&P), ratings agencies, financial and economic databases data aggregators (S&P Capital IQ, FactSet, DataStream), News, Analytical models risk and performance tools (NumeriX, Lipper, SuperDerivatives), FTPs and external research.

Manage 3rd party data delivery to firm and made sure of data can be utilized as enterprise wide and advised business of service received by data services and reduce redundant product, managed Data Center for all Date, backbone and provided Enterprise Solutions also conduct product research, competitive analysis, and cost benefit analysis on new and existing services.

Provide firm compliance policy to vendor, internal users by educate guideline, evaluate user risk access systems by creating waivers.

Work with Finance, Legal, Account Payable, Asset Management, Procurement/Purchasing, Risk, Compliance, Product Platform owners to ensure financial risks are managed in firm interest, work with internal audit group to ensure data and systems are protected.

Re-certification users and applications access and enforced Certification of SOX controls, review and verify SAS70 from vendor and provide recommendation it to Risk Management team. Manage user access, ensuring compliance regulatory requirements regarding information access, security and privacy, maintain manual security administration program, coordinate regulatory exams, work with Vendor to review, document overall IT Risk Management compile with Overall Risk Evaluation, review ASP model security policy.

Member of board community to approve changes, user access to internal and external systems, network drives, user access to systems and drives, review user access report, request approval from user manager to insure internal access, monitor and assign VPN access for users and manage confirmation of users removal user access, who are no longer with firm.

Manage change control weekly management meeting to insure changes are input properly, approved by management, business, into system, determine changes compiles with firm policy, prove approval of change to production, change control process of product testing, desktop software, quality assurance, desktop data by building lab for testing source, upgrade, update releases before rollouts.

Flag potential vendor problem, isolate identify outage, service interruptions and assuring support along with manage servers, Cisco routers, modems, DSU’s and desktops along with application and OS, routers, desktop imaging and application deployment.

Implement, plan, manage enterprise wide pandemic Avian Flu project by identify, testing critical applications, identify critical users, implemented VPN login to office network, install SoftPhone for user login from anywhere in world and utilize office phone by PBX access on Avaya phone, implemented full process plan in event of pandemic or bird flu spreads.

Interface with departments to gather disaster recovery requirement to support Disaster Recovery site with desktop and front office applications, develop and implement test plans to demonstrate Business Continuity Plan meets its objectives and Audit’s requirements.

Member of SIFMA to receive alerts and alternatives in event of a disaster or pandemic Flu.

Mizuho Bank, Wey Technology, Northern Trust May 2004 - August 2005

IT Project Manager Consultant

Install of trading Triton (ITG) allowing traders to trade directly with destinations fixed functionality of back office to balance, track end of day, act as point person to confirm traders recorded from ITG blotters, confirmations for End of day into back office system.

Upgrade of Banks worldwide system Eagle with testing of Charles Rives feeds, Importer, Exporter and reports along with Star Pace reconciliation in UAT and production environment for international group which tracks balance and cash position for Bank.

Install Trading Application Systems (Futroute, Bloomberg, Bridge workstations, TradeWeb, Charles River, Cash Sheets, ETC.) using Foxpro, Sybase, UNIX, FIX protocol, Exceed, users PC workstations to Windows XP with office XP with real-time API excel links.

Liaison between business units, vendors, IT group to provide necessary systems support 24/7 coverage, provided remote access for traders home PC, install, support video switches to eliminate multiple screens, keyboards on trading floor clients at various cities.

Upgrade PC’s from NT4 to windows2000 with service packs, market data applications, anti-virus software releases for clients, disaster recovery using SMS or Altiris, upgrade Infinity (Back Office system to capture trades, schedule flows, calculate P&L) system.

Gather business requirements, Build Project plan, coordinate with vendor, document and implementation changes for clients, work closely with internal and vendor Audit group to resolve audit issue. Interact with representative during fact finding and proposal pricing justification, advice management in directing enterprise modernization project life cycle support by developing project plans.

HypoVerians Americas Bank, New York, NY December 2000 - April 2004

IT Associate Director Data Vendor Manager

Point-of contact for market, reference data vendors for directives, initiatives, billing issue, new products, services, training opportunities, user demos, investigate, resolve

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