Business Analyst Capital Market

Location:

Toronto, ON, Canada

Posted:

May 25, 2024

Contact this candidate

Resume:

Shailesh Pandey, CSM ®

Email: ad5x8m@r.postjobfree.com

Phone: 416-***-****

Experience Summary

●15+ years of experience in Banking/Financial and Government sector as Senior business analyst with expertise in Business analysis and capital market regulatory rules in the field of Capital market and Retail banking with knowledge of SDLC/PMLC, waterfall, agile (scrum) and DevOps methodology.

●Proficient with leading requirement management and communication activities such as requirement prioritization, elicitation, walkthroughs, presentation and facilitation in both agile and waterfall setup.

●Extensive experience in capturing business requirements, analyzing business systems and metadata, data analysis, data governance, data flow diagram, ETL mapping, creating functional specifications, process mapping and managing project deliverables and virtual teams.

●Proficient in Leading and writing BRD, system requirements doc, Epic, user stories, business system Integration rules, requirement issue log, use cases as per BABOK guiding principal.

●Proficient in creating business source to target mappings (BSTM) - Analyze incoming feeds, conduct data profiling and map the relevant fields to the target repository incorporating data governance and business validation rules to integrate the data.

●Sound knowledge of Oracle, SQL Server, MS Azure Cloud (Synapse, data factory etc.), Data Studio, R, Python coding language, Tableau, Power BI, Postman, ETL, big data & data warehousing concepts and the ability to write and analyze complex SQL queries to perform root cause analysis (RCA).

●Solid understanding of writing complex SQL queries using inner, outer joins, unions, sub queries etc. and worked with Type 1 and 2 dimensions, Fact Tables, Star/ Snowflakes Schema design, 3rd normal form (3NF) and other Data Warehouse concepts.

●Completed Certified ScrumMaster®(CSM) certification in agile delivery methodology. Facilitating Daily scrum meetings, sprint planning, sprint review, and sprint retrospective.

●Working with the Product owner on Artifacts Such as Product Backlog, Sprint Backlog, Sprint Burndown chart, and Release Burndown.

●Advance knowledge of Microsoft Office tools, HP ALM, JIRA/confluence/DevOps, QA testing, UAT and validating/investigating issues during the defect management process.

●Ability to efficiently manage multiple projects simultaneously, meet project deadlines and work in a cross functional environment

●Innate ability to work collaboratively with diverse stakeholders and a strong penchant to go above and beyond the call of duty to manage expectations and deliver value

Education:

Bachelor of Engineering Electronics & Communications 2004-2008

Higher secondary school Mathematics/Physics/Chemistry 2003-2004

Business/Technical Skills:

●Proficient in Leading Teams, Project Planning, Agile Scrum Methodology and Waterfall Lifecycle (SDLC)

●Strong experience with Banking Systems, Capital market derivative products, Processes & Best Practices.

●Excellent Analysis, Problem Solving, Communication, Interpersonal & Stakeholder Management Skills

●Tools – Tableau, R, Python coding language, Power BI, Postman, SQL server management, MS Azure Cloud, Unix, IBM data studio, MS Office, MS Access, MS Visio, SharePoint, HP Quality Center, JIRA, Confluence, DevOps, SmartComm, SQL, XML/JSON, CRM application.

Professional Courses & Awards:

Certified ScrumMaster®(CSM) (2019)

Course on Data Visualization with Tableau 9.0 - coursera (2018)

Data analytics with R - coursera (2019)

HSBC Quarterly Achievers award for improving Secured lending credit policy in 2017.

Professional Experience:

Client

Ontario Securities Commission (Government)

Domain

Designation

Capital Markets: Derivatives regulatory Digital solutions

Sr. Business Analyst - Lead (May 2019 – March 2024)

Project

Applications

OTC Derivatives data management and reporting

Python,SQL, Tableau, Power BI, Postman, ETL, MS AZURE (COTS application), MSSQL, SQL Server, MS suite, powerpoint/excel, MS Visio, IBM Data studio, JIRA/Confluence/DevOps, refinitive, GLEIF, bloomberg, agile scrum

Project Description:

The OTC derivative data management and data governance project mandates that the daily source data from Chicago Mercantile Exchange (CME), New York Stock Exchange (DTCC), The Intercontinental Exchange (ICE) Trade Vault repository, The Global Legal Entity Identifier files (Gleif) and The Foreign Exchange data (Thomson Reuters feed) need to be transformed so that an integrated database, data marts, regular reports and dashboards for OSC & partner jurisdictions can be created while allowing various routine ad-hoc analysis such as systemic risk, Liquidity analysis, Market interconnectedness analysis, counterparty risk analysis, Insider trading, Market price manipulation etc. to be handled efficiently.

Roles and Responsibilities:

●Develop business requirements in collaboration between OSC and US Commodities futures trading commission (CFTC) for SWAP regulatory data reporting through DTCC Trade Repository..

●Develop business requirements for Unique Product Identifier (UPI) related changes within the derivative trade reporting framework.

●Developed and worked on OSC rule 91-705 that specify the definition, format and allowable values for each data element that is required to be reported to Ontario Securities Commision for derivative trade reporting purpose. This included data elements such as Counterparty details (LEID, NPID, PLID, EDP, Non EDP etc.)

●Lead detailed business requirement analysis & design phases, assess, research, and document business and systems needs.

●Developed the requirements for derivative products including Credit derivatives (CD SWAPS, TR SWAPS, Swaptions etc.), Interest Rate swaps, Foreign Exchange derivatives (e.g. FX swaps, NDF, Strip etc.), Equity derivatives (e.g. Call/Put Options, structured notes etc.) and Commodity derivatives that includes notional amount, mark -to-market, counterparty limit calculation logic based on daily stock Exchange incoming feed and market reference data (Bloomberg, Thomson Reuters etc.).

●Clear understanding of Derivative Trade lifecycle including front office, middle office and trade clearing and settlement processes and systems that include trade processing steps such as generating affirmation and confirmation documents to counterparty that contain trade economics and relevant legal verbiage of swap instruments.

●Writing the Business requirement document (BRD), system requirement document (SRD), System diagrams, data element catalog and traceability matrix.

●Lead and develop documentation for Data Supply Chain standard documentation, Data Quality assessment, Critical Data Elements (CDE), Data Catalogue, Data classification, Metadata documentation and Data retention/disposition requirements as per BABOK guiding principles.

●Implemented Data Ownership and Data Stewardship models for trade data elements to ensure accountability and accuracy.

●Creating the source file to import table population business logic and source default logic for each derivative product including Credit derivatives (CDS, TRS, Swaptions etc.), Interest Rate Derivatives, Foreign Exchange derivatives, Equity derivatives and Commodity derivatives (crude oil, agriculture, metals etc.).

●Analyzing Trade Position Vs Trade Activity file transactions and separating contract level fields, valuation data fields, multi legged transaction fields and writing complex SQL queries (inner join, outer joins, union, intersection, sub queries etc.) to simplify transaction level information in order to store it in the given dimension and FACT tables.

●Developing requirements to produce aggregation reports by notional amount, counterparty etc. as well as additional ad-hoc data analysis reports and dashboards using python, Power BI.

●Working with architects for Data Model Design, Data Warehouse Schema Design, and business reference/source system data integration.

●Writing requirements and working with developers/QA to migrate data into Azure Cloud platform using Azure Data Factory, Synapse, data ingestion pipelines, hashkey concept and DevOps.

●Leading and facilitating daily scrum, sprint planning, sprint review and sprint retrospective meetings. Supporting product owners to maintain product backlog issues (e.g. Epic, user stories) and dashboard management in JIRA.

●Provide clarification and resolve requirement conflicts during triage sessions, supporting QA testing by reviewing test plan/test cases, conducting user acceptance testing (UAT) and post implementation production support as member of 2nd level support team.

Client

Home Trust Canada (Credit cards, Loan origination and processing)

Designation

Sr. Business analyst (July 2018 – March 2019)

Project

Applications

Credit card and mortgage underwriting & funding system upgrade

SAP CRM (COTS application), MS Office, MS Visio, MS suite, JIRA, OpenText, SQL, agile scrum, digital channel, SharePoint

Roles and Responsibilities:

●Writing business and systems requirements to upgrade the existing CRM framework to modify mortgage underwriting business rules and CRM processes, enhance mortgage loan and underwriting queue management system rules and gating logic, document management and workflow, provide Real Time dashboard functionality to business users in order to monitor loan application flow.

●Writing system integration rules, data governance rules, data ingestion and data mapping among various upstream and downstream systems so that data flowing through these systems is flawless.

●Leading and facilitating daily scrum, sprint planning, sprint review and sprint retrospective meetings. Supporting product owners in the mortgage business to maintain product backlog issues (e.g. Epic, user stories) and dashboard management in JIRA.

●Planning and Conducting requirement’s gathering sessions, interviews & workshops with credit card’s business stakeholders and producing end to end business requirement documents (BRD) for equity line VISA credit products.

●Performing requirement analysis and producing documents including business process maps, business rules, use case, UID, UI/UX wireframe mockups, data dictionary and traceability matrix for credit cards.

●Creating, reviewing and finalizing the System diagram, process map, swim lane diagram for credit cards origination and equity line VISA credit product’s current state end to end process and future state process in consultation with business and tech stakeholders using BABOK guiding principles.

●Creating complex SQL queries in oracle DB to perform data analysis, RCA and generate various ad-hoc/weekly reports and store them in sharepoint.

●Provide clarification and resolve requirement conflicts during triage sessions, supporting QA testing by writing/reviewing test plan, test cases, conducting regression testing and user acceptance testing (UAT) and post implementation production support as member of 2nd level support team.

Client

HSBC Canada (Retail Banking)

Designation

Sr. Business Analyst (September 2016 – July 2018)

Project

Applications

Real estate secured and Commercial loan origination

In-house Loan processing system, SQL, PL/SQL, SAS EG, MS Office, MSVisio, Excel, SharePoint, JIRA, agile scrum

Roles and Responsibilities:

●Comprehending existing end to end retail product’s (i.e. Commercial loan, Mortgage, Line of credit etc.) process flow including application details capture, pricing negotiation module, adjudication engine rules, loan fulfillment and booking.

●Conducting requirement gathering workshops with business to capture end to end requirements for mortgage loan origination and processing systems and writing BRD, user stories, use case, business transformation rules, data governance rules, UI mockups, data dictionary, system diagrams and the data flow diagram.

●Writing business requirements for enhancing mortgage loan application capture UI, adjudication engine rules, post approval underwriting queue management process and gating logics. Using sharepoint to store and manage requirement change requests.

●Refining mortgage origination rule by performing data analysis and updating mortgage approve/decline/refer rules, updating debt service ratio (TDSR/GDSR) calculation logic, creating system rules for document management workflow.

●Building and proposing changes to loan adjudication business rules by performing data analytics using SAS EG coding language and building decision trees models using SAS eminer, performing credit risk variable analysis such as delinquent trade, loan to income ratio, interest rate risk, risk-based pricing, outstanding balance and total credit exposure etc. using customer level data, third party data and credit bureau data.

●Leading and facilitating daily scrum, sprint planning, sprint review and sprint retrospective meetings. Supporting the product owner in maintaining product backlog issues (e.g. Epic, user stories) and dashboard management in JIRA.

●Creating complex SQL queries in oracle DB to perform data analysis, RCA and generate various ad-hoc/weekly reports.

●Work in collaboration with Sr. Project manager, development manager, developers, business analysts, and quality assurance teams to ensure that the program/project is delivered on time and within budget.

●Provide clarification and resolve requirement conflicts during triage sessions, supporting QA testing by reviewing test plan, test cases, conducting regression testing and user acceptance testing (UAT) and post implementation production as member of 2nd level support team.

Client

CIBC Canada (Real Estate Secured Lending)

Designation

Business analyst (November 2015 – September 2016)

Project

Applications

PEGA PRPC-Multi point Sales origination, adjudication, fulfillment and cross sell

PEGA PRPC( COTS Application), Top Team, MS Office, MS Visio, SQL, HP ALM, agile scrum, digital channel, CRM

Roles and Responsibilities:

●Holding discussion with product team, process engineering team and risk management team to understand the Real Estate Secured lending product pre-approval and fulfillment product functionality.

●Facilitating requirements gathering workshops with business stakeholders and capturing business needs.

●Authored the Program BRD for common requirements that are applicable across the entire project and touching different departments.

●Manage and deliver business requirements (BRD) for different reporting requirements, which include creating UI/UX mockup wireframes and documenting different non-functional reporting requirements using BABOK guiding principles.

●Facilitated workshops to elicit requirements, conducted JAD sessions, documented business process and system diagrams, business model, business rules or user interface design.

●Leading the team of BA in writing and reviewing the system to system integration document (PEGA PRPC, CLASS, Capstone) with data governance and business validation rules.

●Support and participate in QA activities of development of test strategies, test cases, test scripts and performing regression testing as well as UAT..

Client

TD Canada (North American Credit Cards Management )

Designation

Business Analyst (August 2014- November 2015)

Project

Applications

Origination and adjudication, Credit exposure project

FICO OM4 (COTS application), API mapping, SharePoint, SQL, PL/SQL, Oracle DB, HP ALM, XML payloads, MS Suite, MS Visio

For TD to minimize the risk of credit assessment for new card issuance and to gain total exposure of customer credit, TD required a consolidated financial view of all current customer credit products (Credit Cards, Loans) across TD systems.

Roles and Responsibilities:

●Analyzing and authoring MBNA credit risks business requirements, Cloud API mapping, data model design, data warehouse schema design and system diagrams.

●Created API Source to Target Mappings for retail products & source systems - Analyze incoming feeds, conduct data profiling and map the relevant fields to the target repository incorporating data governance rules and business validation rules to integrate the data. Storing and managing requirements CR through SHarePoint.

●Assisting in resolving complex problems to meet business needs of stakeholders using methodologies such as data management skills, prototyping, process modeling etc.

●Engaged multiple stakeholders from various work-streams to define consistent & integrated requirements for the program.

●Performed detailed data analysis (SQL) & created data dictionaries, data lineage and business rule catalog.

●Performed data analysis with writing complex SQL queries (inner join, outer joins, union, sub queries etc.) to analyze source data in masked Production Environment.

●Author test cases, Support and participate in QA activities by providing input to the development of test strategies, test cases, and test scripts, ensuring adherence to approved business requirements

●Provide clarification and resolve requirement conflicts during triage sessions, supporting QA testing by reviewing test plan/test cases, conducting regression testing and user acceptance testing (UAT) and post implementation production support as a member of 2nd level support team.

Client

CIBC/TCS Canada

Domain

Designation

Capital Markets: Treasury and Risk management technology

Business Analyst (January 2012 – August 2014)

Project

Applications

BASEL-3 banking regulation compliance project

WallStreet FX, SQL developer, SharePoint, Oracle Database Unix,, ETL methodology, data warehouse, MS Visio, MS Suite

Roles and Responsibilities:

●Lead detailed requirement analysis & design phases, assess, research, and document business and systems needs.

●Formulate the process/data flows for different systems involved and document the business requirements.

●Developed the requirement for Capital markets derivative products like FX swaps, NDF, Strip, options, swaps, forwards etc. that include notional amount, mark -to-market, counterparty limit calculation logic based on market reference data (Bloomberg, rating agency data) etc.

●Develop business requirements for regulatory data reporting, records management, record keeping and data governance of daily trade data coming through various trading systems such as wallstreet fx (WSS Feed).

●Analyzing and comprehending Business Requirements, Data Model Design, Data Warehouse Schema Design, system diagrams and business reference/source system data.

●Analyzing and writing the Business requirement document (BRD), system requirement document (SRD), data element catalog and traceability matrix as per BABOK guiding principles.

●Creating the source file to import table population business logic and source default logic for individual CIBC Retail/Wholesale market products based on business requirement. Storing and managing CRs through Sharepoint.

●Creating Technical ETL mapping document which consists of data population logic of individual dimension and fact table attributes for each CIBC Retail/Wholesale market products including Deposits, GIC’s, Loans, Option, Swaps, Futures, Forwards, Bonds, OTC derivatives etc.

●Writing complex SQL queries (inner join, outer joins, union, intersection, sub queries etc.) to analyze source and business reference data integration, data modeling and analysis.

Client

CIBC/TCS Canada (Credit Cards Technology)

Designation

Business analyst (September 2008 Till December 2011)

Project

Applications

CIBC-CITI Credit card portfolio conversion, Credit cards data warehouse

FICO Capstone (COTS Application), JAVA Web-based CRM application, ETL methodology, SQL, PL/SQL

During this period, I was part of various projects such as CIBC Mastercard launch, CIBC-CITIbank conversion project etc.

Roles and Responsibilities:

●Analyzing and writing Business requirement document (BRD), system requirement document (SRD), system diagrams, use case document, UID, data element catalog, system integration rules and traceability matrix for chordiant CRM application.

Contact this candidate