John W. Taylor

New York, NY ***** 212-***-**** ad0a8i@r.postjobfree.com https://www.linkedin.com/in/johnwaltertaylor/

PROFESSIONAL SUMMARY

Fixed income securities, within the back-office (settlements) operations and accounting, was my entrée into the capital markets arena, specifically within MBS, repos, dollar rolls and treasuries. Then I moved into technology starting as a QA Tester, then Business Analyst and Technical Writer positions. Most recently, I have spent some time in Compliance and Regulatory. With 15+ years of experience, I have a full understanding of the trade life cycle from trade capture to settlement, for many financial products. And finally, because I came up through the ranks, I can talk to the people in the mailroom as easily as I can talk to the professionals in the corner office.

USER TECHNICAL SKILLS

SQL Server/SQLite

Change Management

Broadridge (ICI/Impact, BPS, Gloss, MBSE)

Salesforce/CRM

Client Onboarding

OTC derivative products

Securities Lending

Data Governance

Fixed Income Products

Process Flows/Swim Lanes

Market/Operational Risk

Policies, Procedures, Roles & Responsibilities

PM: Waterfall/SDLC, Six Sigma/Lean, Agile, EPLC

Atlassian: JIRA, Confluence

Microsoft Office/ SharePoint/ Visio/ PowerPoint/ Project/ Word/Excel (Pivot Tables, Macros, V-Lookup, Data Analysis) and Power BI

FIS/Sungard (Global Plus, Brass/Brut, Martini, Phase3, UBIX, GMI, Fidessa)

KEY ROLES

BUSINESS ANALYST: Created documentation related to technical and business writing, business process flows, business process modeling, and the various documents like: user guides, business, functional & technical specifications, use cases, test cases, user manuals, screen prototypes (GUI)/ screen mock-ups and wire frames.

TECHNICAL WRITER: Wrote/drafted mandatory documentation for completion included: Policies & Procedures, Roles & Responsibility (RACI chart). Also created documents related to “Service Level Agreements” (SLA), software licenses, new procedural manuals pertaining to: corporate policies, change management, corporate best practices, security policies, disaster recover, and daily operational guides.

DATA ANALYST: Used various tools to extract, cleanse, manipulate data in spreadsheet and databases, using SQL, Excel (VLOOKUP, Pivot Tables, Formulas/Functions)

COMPLIANCE & REGULATORY: Know your customer (KYC), Office of Foreign Assets Control (OFAC), Anti-Money Laundering (AML), FinCEN’s 314(a) PATRIOT Act of 2001, Foreign Account Tax Compliance Act (FATCA), Intermediate Holding Company (IHC), Basel III, Volcker, Dodd Frank, Federal Reserve Reporting (FFIEC002, FR Y-9C, Form FR Y-7N and FR_Y-14Q, Liquidity Reporting (FR 2052a), Large Option Position Reporting (LOPR), Blue Sheets, LIBOR, SOFR and Comprehensive Capital Analysis Review (CCAR).

SUCCESS STORIES

By creating a user guide, which explained in detail, the 1500 lines of reference data to be collected/ validated, was able to complete the project in 4 months instead of eight and saved the client about $75,000.

By developing an alternative action plan for all critical functions, was able to successfully complete my project on time and within the allotted budget; the remaining 11 teams were delayed up six months for NOT properly mitigating their risk. (Savings to client: $1,625,000)

By instituting new policy (Car Service to the 5 borough after 8:00 PM; final destination after 10:00 PM) and centralizing firm wide black car service. (Savings to the client $9,000,000 on an annualized basis)

By disallowing employees to order car service 30 minutes before the 8PM requirement. (Savings to the client was $3,5000,000)

WORK EXPERIENCE

Citibank (Private Bank & Wealth Management), Various (Consultant) February 2023 to July 2023

Business Analyst: Work with a team of professionals, within the private bank/asset management, who’s responsible was to move clients’ facilities (loans, credit lines…) from LIBOR to SOFR or synthetic LIBOR before the deadline. Liaised between bankers, legal, compliance and operations, to complete the project on time and within budgetary constraints. Also worked with Reg Z, Flexcube, Customer Relationship Management (CRM), Pivot Tables, Lookup functions in Excel for data reporting needs and creation of dashboards. Data Analyst/ Validation: Used VLOOKUP to create a data repository with four data files, containing approximately 45,000 loans, over a period of 72 months, to identify the correct population of underperforming loans. Created PowerPoint document to train users on how to process new transaction types.

Israel Discount Bank, Business Analyst/Technical Writer (Consultant) May 2022 to August 2022

Assistant in the migration to JackHenry/SilverLake/Argo by creating process flows (Visio) and procedural manuals for the following private banking items: Cash Management, Exception item processing, Return Mail, Stop Payment & ACH transactions. Also worked with Salesforce, KYC, Change Management and Actimize.

Charles Schwab, Business Analyst (Consultant) January 2022 to April 2022

Observed and documented, front office, asset management procedures for the following applications: Spyglass, Everest (OMS), TrueMarkets, Bloomberg/Bolt, Bondpoint (ICE) & Blaze for portfolios containing these securities: Corporates, Treasuries, Mortgage Backed Securities (MBS), Municipals, Exchange Traded Funds (ETF), Common Stock and Equity Derivatives. Resulting documentation (business requirements, swim lanes/process flows, & management summaries) were posted in Confluence. Also used Blackrock's' Aladdin.

Used SQL Server to reconcile unique identifiers (CUSIPs & ISINs) in tables comparing messages from MSG1 Bloomberg Message Mining to Neptune. Created mapping methodology for Neptune & MSG1 messages.

Amalgamated Bank, Business Analyst (Consultant) February 2020 – May 2020

Built business requirements and functional specifications for a trust/ custodian/administer, whose client (REIT pension fund/wealth management) is changing how they charge, calculate, and bill fees. New requirements will be tested in FIS/GlobalPlus/Documentum/Horizon/Xamin. Utilized change management protocols and Microsoft Visio.

Operational Risk Project: In Microsoft Visio, completed process flow diagrams/swim lanes/ diagram for 60 applications, across 25 functions, within the organization, for global & domestic, equity & fixed income securities, related to for prime broker and securities lending, transactions

Bank of America IT Business Analyst (Consultant) July 2018 – September 2018

In an agile environment, an F/X migration project, from several vendor applications (SunGard/Sierra & Bloomberg/ TOMS) to existing and newly developed internal application, for this Prime Broker. Created documentation to reflect: status updates, meeting notes, PowerPoint presentations, process flows, change management protocols, developer toolkits, order management system (OMS), tutorial guides for JSON API platforms, specialized updates to Wiki (Atlassian-Confluence) and SharePoint. Financial products utilized: Foreign Exchange Spot, forwards, Swaps, Vanilla and first generation exotic options. Managed several working groups related to infrastructure development in front office credit department.

Commerzbank AG Business Analyst (Consultant) October 2017 – January 2018

Business Analyst/Technical Writer: Subject to the Project Management Framework (PMF), in Agile; was responsible for writing, reengineering, assembling and managing the collection of PMO related documents, from two work streams (6 projects total), to satisfy an internal audit/compliance/ data governance (processing, user authentication (Single sign-on (SSO)) directive. Each package of artifacts contains more than 30 documents related to project plans, expenses, timelines, risks, signoffs, process flows/ improvements/ Data lineage, agile documentation (user stories, acceptance criteria, and story points), operating/user manuals and communication directives. Managed clients’ expectations, in terms of deliverables, timelines and future goals.

Applications utilized including: JIRA, SharePoint, RSA Archer, HP Service Manager, HP Quality Center, Microsoft PowerPoint (for senior manager presentations/ steering committees ). Also utilized version control and change management principals, to keep the documentation organized. Used Excel macro’s to translate large quantities of data from PDF, to Word to Excel, to create customized reports. Used advanced functionality in excel to preform data cleansing. Identified and reported (to senior management and PMO) levels of data governance (Read, Write, Edit, Full, Administrator, and Single sign-on (SSO)), for RSA Archer.

Projects included: Broadridge/Impact/ICI, upgrade to 9.4.1; Order Management System (OMS) G10 Rates Repo/Securities Lending in Martini & Loanet, My Compliance Office (MCO) and Golden Source for Client Data. Project was completed on time and on budget.

MUFG Union Bank Senior Business Analyst (Consultant) April 2017 – July2017

As a result of an OCC mandate (12 CFR Part 30), was responsible for driving eight (8) global/enterprise risk related, work streams to completion; writing/drafting mandatory documentation for completion included: (a) Policies & Procedures (b) Roles & Responsibility (RACI chart) (c) Effectiveness (d) Sustainability and (e) outstanding gaps, pertaining to the second line of defense.

Converted Treasury/OCC directive (12 CFR Parts 30 and 170) into functional/business requirements; also known as “Risk Governance Framework” and “Heightened Standards”

Reconciled OCC mandate verses (a) Front Line of Defense (Line of Business), (b) Second Line of Defense (independent risk management) and (c) Business Unit Risk & Controls Officer (BURCO), in a matrix form

Risk streams included: compliance, credit, legal, liquidity, market, operational, regulatory, and reputational.. Utilized Microsoft Powerpoint, Excel and Word, in the preparation and presentation of project documentation, to senior management steering committees.

Project was completed on time and on budget.

BNP Paribas Regulatory Business Analyst (Consultant) November 2015 to April 2016

Created & formalized project documentation including: project charter, project plans, pert and Gantt charts, duration estimates, financial costs, and communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, operational risks, dependencies, constraints, escalation plans, project and release plans.

Responsible for building requirements (business & functional) for topics related to Intermediate Holding Company (IHC), Basel III, Dodd Frank, Federal Reserve, FASB 133, Comprehensive Capital Analysis and Review (CCAR). Reports completed: FFIEC002, FR Y-9C, Form FR Y-7N and FR_Y-14Q, Liquidity Reporting (FR 2052a)

Built requirements, tested items related to conversations for: (1) Broadridge/ICI/Impact/BPS/Gloss (equities) Application (Back-office/ Settlements, Prime brokerage/ Corporate Actions/Clearing/ Fixed Income: Treasury, Mortgage/MBS, CMO, CLO &ABS), (2) Calypso & Market Wire (Cash Equities, F/X & OTC Derivatives) and (3) Martini/GMI/UBIX (Front Office Fixed Income Securities, Securities Borrowing/Lending & G10 Rates Repo Trading based on ALD/ ALDOP). Managed the software development life cycle (SDLC/Waterfall), process from inception to delivery, for several projects. And participated in projects related to Data Governance (Developing key controls, user authentication (Single sign-on (SSO)), and Change Management

MUFG Union Bank Compliance Business Analyst (Consultant) April 2015 – June 2015

Created & formalized project documentation including: project charter, project plans, pert and Gantt charts, duration estimates, financial costs, operational risks and communications plans, among other things. Also responsible for reporting to senior management on topics such as resources, statuses, risks, develop the escalation plans, dependencies, constraints, roles and responsibilities (RACI chart), project and release plans. Used Enterprise Performance Life Cycle (EPLC) project management discipline.

Citibank (Retail and Commercial Banking) Compliance Business Analyst/ Product Owner (PO) (Consultant) February2014 – December 2014

Within an agile project management methodology, was responsible for building requirements/artifacts from several internal applications to the “Fidelity (Alltel) Systematics” (FIS) system, from a domestic tax perspective, which includes Federal & State withholding and reporting for commercial and consumer (retail banking) clients.

Frequently created and exhibited PowerPoint presentations, to senior management on various topics including: resources, statuses, risks, velocity, dependencies, constraints, release plans, data validation, operational risks and outstanding grooming details.

As a Project Manager/Product Owner, was responsible for leading a team of business and technology leaders to create user stories, acceptance criteria, business rules, assumptions, process flows and impacted applications pertaining to: Tax Forms Tax Forms: W8, W9, W8Ben, W8BEN-E, 1099-INT, 1099-MISC, 1042-S, 1st B Notice, Tax-2nd B Notice, Tax-C Notice, Tax-C Notice Stop, Cost Basis/Tax Lot Accounting, Chapter 3 (NRA) and Chapter 4 (FATCA), Dodd–Frank Act, Personally Identifiable Information (PII) and Anti-money laundering (AML).

User Software Applications: Rational Team Concert (RTC), BluePrint, Quality Center (QC)

Credit Suisse (Private Banking/ Wealth Management) Senior Business Analyst/ Technical Writer (Consultant) April 2013 – July 2013

Gathered requirements, formulated solutions as well as prepared documentation (user guides, business & functional specifications, use cases, test cases), from various global users, based on the project needs and international regulations, for a customer relationship management (CRM) application which is the “golden source” repository for electronic documentation, reference data, currency/foreign exchange (F/X), nostro and depot (depositary) account information. Used JIRA and SharePoint for document storage and tracking projects items.

By creating a user guide, which explained in detail, the 1500 lines of reference data to be collected/ validated, was able to complete the project in four month instead of eight and saved the client about $75,000.

Created presentations, current/future process/work flows, authorization requests and usage hierarchy (IT Governance), to determine access authentication & approvals.

MTM Partners Senior Business Analyst/Technical Writer (Consultant) January 2011 to April 2013

Responsible for evaluating the client’s organization for: operational risks, process improvements, and cost cutting/revenue producing opportunities. Conducted meetings with department heads, to determine current work environment, gaps in current processes and future technology needs. Compiled results into a policy & procedural document and was presented to senior management for future strategic implementation. (Non-Profit)

Responsible for designing test cases / scenarios for exchange traded funds (ETF), listed indexes, cash equities/OMS (Fidessa), order management systems (OMS), equity exchange traded futures, options & interest rate derivatives, in the following disciplines: connectivity to exchanges, commissions, fees (SEC, Exchange, OCC, ORF), Compliance/ Regulatory (Short Interest Reporting, Large Option Position Reporting (LOPR), Blue Sheets, (FIX) protocol and Foreign Account Tax Compliance Act (FATCA)), Trade Surveillance, Reference Data, and Operational Risk for an application called Shadow Financial & GMI futures (French Consortium). Used performance calculations to determine if the portfolios were achieving, the desired results. Responsible for writing a strategic business plan for a private lender, whose collateral is secured by commercial real estate properties valued at $10 MM and below. (Start Up)

Bank of America Business Analyst (Consultant) August - December 2010

Managed a development effort, within Operational Change Management (OCM), which attempted to create a daily reconciliation between the organizations (Global BAC/Merrill) internal market risk application and the sub & general ledger (Oracle GL); variables included: operational, product, and market risk, monthly reconciliations, positions, scenarios, trading desks: Commodities, Currencies (F/X), Mortgages Rates & Swaps (OTC Derivatives); reference data, Enterprise Risk Management (ERM) and reporting concerns, due to a compliance directive (Dodd–Frank Act (VII)/Volcker Rule(VI)), Data Governance (processing, user authentication (Single sign-on (SSO), Change Management, Volcker Rules in terms of clearing, execution, and data reporting.

Kestrel Technologies Business Analyst/ (Consultant)September 2007 to April 2010

Responsible for the creation of: (1) project plans with defined milestones that identify the project critical path; (2) detailed project charter that defined project goals, objectives, governance structure, scope, guidelines and release plans; (3) project schedule (Gantt chart) which defined, resources and the identification of scheduling conflicts; (4) Salesfore.com for all CRM related activities (5) operational risk assessment report, to determine possible points of failure within the organization, new project assessments/ project timelines (MS-Project) and process work flow to determine potential risk factors and how to mitigate risks; (6) creating Disaster Recovery / Business Contingency Plans and (7) trade surveillance competencies for existing customers.

Supervised/ mentored 25 direct and indirect reporting professionals, related the implementation of new software and multiple complex projects (i.e., several interfaces; in and out flow of market & reference data (Reuters/Bloomberg), traditional and Citrix hosted solutions, new client orientation (client onboarding)). Utilized both SDLC and Agile, project management methodologies. Managed budgets up to $8 million, per project, across multiple functional areas. .

EDUCATION

Long Island University, B.S., Business Administration

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