Jeffrey Hamroff

ad2f3l@r.postjobfree.com 516-***-****

SUMMARY

Senior Business Analyst / Project Manager; a self-starter who sits between Wealth Management / Capital Markets Stakeholders and IT in a global environment.

Authored Business and Functional Requirements, SDLC (Waterfall, Agile, Jira, UAT), Confluence, SharePoint, MS Office (Word, Excel, PowerPoint, Visio)

Data Governance Framework Implementation, Data Lineage Source to Target Data Mapping, Data Classifications, Data Quality Rule Implementations.

Data Warehouse, SQL, Data Base Design, Teradata, SQL Server

Solid knowledge of Securities, Asset Classes (Fixed Income, Equities, Cash Equiv., Futures), Securities Master Data, Asset and Benchmark Taxonomies.

Good working knowledge of trading life cycle, clearance and settlement

Credit Management, Basel II, Portfolio and Credit Stress Testing

Regulatory Reporting (Treasury, FINRA, SEC)

APPLICATIONS

Regulatory: Treasury Fed TIC B & S Reports, FINRA Large Option Position Reporting, SEC Blue Sheets, Basel II (LAD, LGD, PD), Resolved all FINRA MRA and SEC Inquiries.

Required Significant Data Lineage (Mapping), Data Dictionary and Classification Development

Mergers: Created & Implemented Smith Barney Security & Holdings Data into Morgan Stanley.

Compliance: Post Trade Surveillance of advisor and client trades, suspicious inflows and outflows to/from advisors, Wash Sales, Front Running.

Portfolio Risk / Credit: Portfolio Asset Allocation & Attribution Functions, Created Credit Facility to Manage Client Liability & Collateral; incorporated Stress Testing for guidance in the analysis.

Data Governance: Framework Documents, RCSA (data flows, transformations), PI Data Protection, Data Element Classification, Collibra Data Dictionary, Data Lineage Source to Target Maps.

FA Compensation Upgrades: BRD, FRD, Upgrade Implementation, Ran UAT and Prod Support

Warehouse Data Capture of daily investment related feeds into Data Warehouse. Developed source to target mappings, Rule validation per feed, Feed Validation Dashboard with real time data correction back to source, Rule Maintenance per feed. New activities tested in full function warehouse sandbox environment.

PROFESSIONAL EXPERIENCE

Deutsche Bank, Contract-Senior Business Analyst / Project Manager July 2022 – Oct 2023

Performance Measurement

Created Requirements to address business gaps; worked with vendor to close these gaps.

Wrote SQL to research and resolve issues raised by portfolio managers in UAT and Production.

Created Jira Stories and validated results against the Business Requirements.

Neuberger-Berman, Senior Business Analyst Nov 2021-July 2022

Controlled & Created interfaces (20 files) to Blackrock Aladdin System to support Client Proposal Creation covering Securities & Client Reference Data, Holdings.

Created Data Lineage (Source to Target Mappings), Transformations, Data Dictionary.

Wrote SQL to research required data and to ensure Data Quality and to Validate Mappings

Performed quality assurance testing and resolved all interface issues.

BNP Paribas, Contract Senior Business Analyst / Project Manager May 2021 – Nov. 2021

Data Governance/ Data Management

Operational Risk Control Self Assessments (RCSA). Partnered with business lines to complete the Control Plans and Procedures. With LOBs, Developed and Implemented controls to close gaps.

Data Management: Implemented Personal Information Requests System: developed requirements to permit an individual to request personal information located within the organization.

Created Source to Target Data Maps of Critical Elements and their Classifications

Established Data Governance Framework following rules detailed in CPRA, GDPR, PIPEDA, GLBA.

JP Morgan Chase VP, Senior Business Analyst /Data Governance Analyst Feb 2017 – Mar 2021 Implemented Data Governance and Data Management Framework for Data Privacy, Data Classification, Safeguarding (GDPR), Obfuscation for the Chase Economics Institute.

Developed Data Lineage / Data Mapping of feeds from source to target.

Implemented Data Quality Violation Checks in Ingestion Process against retail data feeds used by the Institute; dashboard implemented to display issues and permit corrections. Wrote SQL to research Data Quality Issues as necessary

Posted all metadata into Collibra Data Dictionary via API functions

Data Audits: participated in audits with focus on data quality and controls; remediated issues.

Morgan Stanley Wealth Management (ALSO SEE MS Below Oct 2016 – Jan 2017

Senior Business Analyst Consultant / Project Manager

Lead upgrade to Online Trade Platform, including partial order completion, GTC carryover.

Implemented Data Base Design to reflect enhancements

Analyzed BRD and FRD documents, identified and resolved flawed Requirements & Processes

Implemented proper data mapping of trade requests to order management

Developed & executed UAT Test Plan with business.

Bank of America Aug 2015 – Jul 2016

Senior Business Analyst Contract-Capital Markets

Loans:

Replaced 3 Regional ACBS Wholesale Loan Systems with one feed (CLAS) into Data Warehouse.

Developed Source to Target Data Mappings with SQL used for data analysis

Developed and Implemented UAT plan with Credit Risk & Loan Analysts. Resolved all UAT Issues.

Morgan Stanley Aug 2003 – Aug,2015

VP, Senior Business Analyst / Project Manager – Post Trade Data Warehouse

Data Governance: Implemented Data Governance and Management Practices for the Warehouse:

>Authored & Implemented rules for PI / PII classification and data obfuscation of source feeds

>Implemented Data Lineage (Mapping) with Data Definitions stored in Collibra Data Dictionary

>Automated Data Quality process to ensure source(s) meet expectations

>Developed Central Dashboard for Feed Status and Data Maintenance; edits transmitted to source for

permanent corrections

>Developed warehouse active sandbox to permit testing of new feeds/applications.

FA Compensation System Upgrade:

Developed BRD, FRD for revised FA Compensation Receivables and Payments based on direct and

matrixed sales volume, revenue and product type.

Trade Life Cycle Improvement: After-market partial order carryover, enriched FA Order and Trade Book (added revenue and product data);

Implemented Data Base to reflect Client-Account Reference Relationships, Investment Profiles, Benchmark Structures.

Compliance: Implemented Trade Blotter, Foreign Bank Trade Review, Insider Trades, Blue Sky, HELOC Violations, Wash Sales, Front Runner Monitoring, Employee and Restricted Trade Monitoring, Investment Suitability and Concentration Alerts. Ran weekly status meetings. Ran UAT with business.

Implemented monitoring of accounts appearing on FED, OFAC, PEP, FOI or internal lists for unusual trade volume, cash received in and subsequent security buys and sells, transfers among unrelated accounts but to/from same bank and / adviser.

Basel II: Created BRD, FRD for Data Capture and Calculations of LAD, LGD, PD, Collateral Haircuts. Partnered with IT on Implementation. Ran QA and UAT.

Continued

Central Credit Risk Monitoring Dashboard: Implemented credit profiles to monitor actual collateral against liabilities and margin positions to determine exposure and related risk levels.

Shows collateral available for client / liability coverage under normal and various stress conditions.

Margin Call Limit Alerts; Early Warning Indicators on possible over limit on liabilities per relationship.

Implemented Data Base to support the Dashboard

Stress Test Implementation of Client Liabilities and Collateral Coverage to determine resiliency.

Investment Portfolios: Covered declines vs benchmarks.

Portfolio to Benchmark Allocation Violations: Implemented System to show actual allocations per

asset class, security type, industry, out of profile allocations.

Smith Barney Integration: responsible for data mapping of SB client and position data into data warehouse and to ensure all downstream compliance, credit and regulatory functions work correctly with the SB data. Executed QA and UAT activities.

Regulatory Reporting:

FINRA / SEC:

Implemented Electronic Blue Sheets and Large Trader ID.

Resolved FINRA queries against specific security trades executed by various advisors.

Implemented Large Option Position Reporting

FRB:

Implemented TIC B and S Series Cross-Border Reports and Extracts.

Implemented Foreign Bank Activity monitoring of client trade activity

JP Morgan Chase Private Bank Apr 1998 – Apr 2003

VP, Senior Business Analyst and Project Manager

JP Morgan Bank Merger: Converted JPMorgan Data into Chase PB Global Accounting System to support security transactions, FX deals and loans. Developed Lineage data mappings, PI/PII classifications, managed gap closure, production support activities.

Enhanced Client Statement to ensure proper reporting of Morgan Data.

Developed Investment Taxonomy to support PB Online and Consolidated Statement.

Data Quality: developed feed data checks for PB account and its financial data against PB Core Accounting and Reference Data and resolved issues with IT.

Asset Allocation Implementation for Ultra HNW Clients: Based on preferred asset allocation parameters, developed investment mix; security selection based on their ratings and/or industry risk

Dreyfus Retirement Services Systems Manager Oct 1996 – Apr 1998

OmniPlan and Pay 401K: With Ops and Business, managed New Business & Releases.

Citibank VP, Senior BA and Projects Manager Jan 1993 – Oct 1996

Global Performance Measurement: Created BRD, managed vendor selection (SunGard),

Led implementation which replaced 4 systems.

Harris Trust: Integrated Harris Trust and Performance Systems into Citibank Systems.

EDUCATION

Baruch College MBA, Investment Analysis & Investment Systems.

Hunter College BA, Mathematics, Statistics and Economics.

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