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Analyst Manager

New York City, New York, United States
September 23, 2019

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New York, NY 10019


Phone: 917-***-****


Certified Business Analyst offering advanced analytical skills, developed through delivery of applications including the management of risk (Market, Credit and Operational). Products supported include fixed income, equities, FX, money market instruments, structured products, as well as rates and credit derivatives (Listed and OTC).


University of Alabama, Huntsville, AL

●Ph.D. in Industrial and Systems Engineering, Major in Operations Research, Minor in Econometrics, June 1977

●M.S., Industrial Engineering

●B.S., Industrial Engineering

Project Management Institute – Project Management Professional (PMP) certification awarded by PMI. Certification Number: PMP #1263728. Member since 2009 & Recertified in 2013 and 2018

Stony Brook University, Stony Brook, NY – Business Analyst Certification awarded in 2009

International Institute of Business Analysis (IIBA) – Certified Business Analyst Professional (CBAP) certification awarded by IIBA. Certification Number: CBAP #1056. Member since 2010. Recertified in April, 2017

Agile Certified Scrum Master (CSM), August, 2019

Lean Six Sigma Certified (May, 2019)


Morgan Stanley, New York

Transaction Reporting Operations

June-July, 2019

Senior Business Analyst

●Re-engineered a set of project Steering Committee reporting templates for North America and APAC regulatory reporting development, within an Agile scrum environment, i.e.

CFTC for equity derivatives and swaps in the US market

Consolidated Audit Trail (CAT) in the US

●Implemented new required regulatory reporting for Australian Securities and Investment Commission (ASIC) in APAC

BNP Paribas Global Markets, New York

August, 2018 - February, 2019

IT Business Analyst

●Senior IT Business Analyst on project to launch a new product within Equity Derivatives business to permit BNP to issue SEC-Registered fixed income Structured Notes. Worked with business sponsor to obtain approval of Project Initiation Document (PID).

●Worked with Development leads to establish Solution Design, that included: structuring the fixed income trade, pricing the trade, booking, P&L and risk monitoring and hedging using the Arbitrage desk, clearance and settlement, payments,, system reconciliations, all within the control parameters of the Sarbanes-Oxley regulatory mandate.

●Estimated the build effort required and generated the project plan with milestoneand dependencies.

●Completed BRD to capture requirements and worked with IT teams to help the developers understand the equity derivative underlyings used to generate these fixed income Structured Notes, and the management of Market Risk using equity swaps.

UBS Investment Bank, New York

Feb 2017- July, 2018

IT Business Analyst/Architect

Worked within Group Technology, supporting Cash Equities and Rates & Credit business with respect to e-commerce projects including:

●Business Architect on updating of Market Risk Management controls that provide direct OMS market access to the Exchanges. Provided backtesting to gather evidence that controls were working properly.

●Solution Architect on expansion of US Equity Order Flow to include the new Mexican exchange (BIVA), with Smart Order Routing, Algo slicing of orders, and Best Execution rules as in scope. Also, functioned as BA to gather payments requirements and wrote the BRD.

●Functional BA to gather requirements into BRD for Exchange Traded Derivatives risk management controls into the OMS for US order flow.

●BA on 2017 Annual review and backtesting of risk management controls that are built into UBS and vendor systems that provide direct market electronic access to the Exchanges.

●Capturing of business requirements for US order risk management controls for Exchange Traded Derivatives.

●Solution Architect on project to establish market link to Dark Pool exchange in Canada

●Business architect on Consolidated Audit Trail project.

Deutsche Bank Private Wealth Management, New York Aug 2013 – January, 2017

IT Business Analyst, Asset and Wealth Management Solutions – Global Technology & Operations

●Migration of the Wealth Management Capital Markets trade workflow from four instances of Charles River to one instance of Blackrock Aladdin. Functions included price discovery, pre-trade compliance, trading (order entry and execution); and post trade (booking, clearance and settlement). Documentation of Current and Future State workflows (As-Is and To-Be). Scope of analysis included roles of: Client, Relationship Manager, Trader, Middle Office, Payments and Operations, and Counterparty. Products included Cash Equities, Fixed Income, FX, and Structured Products. Focused on design and implementation of a new Trading MIS Data Lake, with reporting capabilities (using QlikView and QlikSense BI tools). Reports from the trading data lake were imported from the CRM system (Salesforce) to manage client positions and trading activities. Made presentations to key portfolio managers as part of the on-boarding process which enabled the use of these Business Intelligence tools for gaining insights into their client trading activities and patterns.

●Enhancement to Charles River Investment Management System for Global Fixed Income Desk. – Migration of US trade blotters to New York from Frankfurt desk for US accounts. Including test planning (Test Plan, cases and scripts) for SIT and UAT testing.

●Gather requirements for Dodd Frank regulatory changes needed for OTC Derivatives Margin calculations – Wrote Functional Specifications Document for each business line that was impacted by the Dodd Frank/EMIR regulations for uncleared margin for OTC derivatives, to include Value at Risk (VaR) calulations required.

●Established project plans for evaluation of each region within Asset and Wealth Management as to the implementation need of Dodd Frank/EMIR solution. Use Clarity project management tool for milestone and bi-weekly status reporting with the PMO.

●Elicited business requirements within AWM for CSDR migration to T+2 settlements for range of Equity and Fixed Income securities traded on European exchanges. Identified impact to all trading systems and operations globally.

●Elicited business requirements for Volcker project involving writing AWM BRD for reporting DB investment positions in funds and calculation of actual positions against regulatory 3% limit. Developed functional specifications and worked with in-house developers to build the application and test it. Strategically, planned and designed migration to new Finance Data Warehouse which will act as golden source for DB regulatory reporting.

●Gathered regulatory requirements for CCAR stress testing as well as Basel II capital reserve adequacy.

Barclays Wealth and Investment Management, New York, NY Jul 2012 – Jul 2013

IT Business Analyst, Private Wealth IT Division

●Migration of investment management order flow to the new Charles River OMS for Barclays Wealth Management product called “Investment Philosophy Portfolio Multiple Accounts” (IPPMA). Go-live date for the migration was June, 2013.

●Gathered requirements from BWA (Barclays Wealth Americas) advisory business unit and authored Business Requirements Document (BRD) as well as Functional Specifications Document (FSD) for application to be used to establish and maintain IPPMA portfolios, each consisting of a set of BWA client accounts and payments. Additionally, gathered requirements for Client Reporting, and worked with client on-boarding team to establish criteria for establishing set of BWA accounts that are in scope for IPPMA. Interfaced with the Salesforce CRM system.

●Configured the Advisory business rules for Compliance monitoring that were employed within the Charles River application.

●Environment: Java front end with Oracle database, using XML for communication between applications. SWIFT for psyments.


The Bank of New York/Mellon Asset Management, New York, NY Apr 2008 - Jul 2012

Business Analyst - Business Solutions Delivery (BSD) Division

●Project Manager for update of the fact sheets for all money market funds, to include new fields such as weighted average maturity and credit rating compositions from S&P, Moody’s and Fitch.

●Performed business analysis in 3-month Agile project to update the precision level for net asset value amounts stored by all Dreyfus applications, as per Securities Exchange Commission (SEC) regulations regarding money market reform. Worked with SEC agency to clarify requirements.

●Project Manager in migration project to change the transfer agency used by Dreyfus from DST (outside vendor) to the internal asset servicing group.

●Migration of municipal bond and money markets trading applications, running the Charles River order management system (OMS) to a new Charles River Center of Excellence. Migrations included the Dreyfus instance in New York and the Standish instance in Boston. Established and entered concentration limits into Charles River which were required by Pre-Trade Compliance.

●Updating of daily money markets holdings reports to the web site, to include reporting of asset backed commercial paper separately from regular commercial paper.

●Update of fixed income and equity holdings reports to include all off-balance sheet positions such as options, futures and swaps.

●Re-engineering of the management fee process, whereby all advisors charge the funds for fees including management, 12b-1, shareholder services and administrative fees, to include waivers and reimbursements. Project included authoring of BRD, FRD, and high level design documents for construction of in-house web application. Scope included calculation of payments and fees, communication of the authorization for the transfer funds to the custodians and reporting back to the Dreyfus line of business.

●Re-engineering of the expense accrual process to optimize the processing of expense accruals. Project involved generation of Business Requirements Document (BRD), Functional Requirements Document (FRD) and high level design for the in-house construction of a new expense accrual system, automatic matching of payments against open accruals, and re-engineering of the workflow used to adjust the accruals used to calculate the daily net asset value of each Dreyfus fund.

●Leverage system capabilities to automate compliance testing of certain Cash Investment Strategies (CIS) policies. This involved designing an application that uses reference data from internal and external sources to scan transaction activity and account information to isolate exceptions that compliance personnel can use to assess the compliance with CIS procedures.

●Environment: C++ front end with SQL Server databases.

Swiss Re Asset Management, New York, NY; Jun 2006 - Dec 2007

Senior Business Analyst, Global Fixed Income

●Facilitated client workshops with fixed income portfolio managers, analysts and Chief Investment Officer to compile requirements for a new fixed income OMS for managing over $110B in fixed income assets. Issued request for proposal and managed evaluation of vendor proposals, to include Charles River, Latent Zero, and Blackrock Solutions. Completed project and assisted in the decision making process to implement the Blackrock solution application. Obtained steering committee approval for the contract and designed the architecture for interfaces to/from the Blackrock solution, including derivative positions from the Murex and Calypso applications.

●As an interim solution, functioned as an Application Development Project Manager. Developed enhancements to current in-house asset management tool, the Global Portfolio Guidance Model (GPGM) using UML use cases to model the requirements. Used SQL for trouble-shooting and communicated with IT resources in Zurich and the data center in Armonk, NY.

●Developed business requirements for derivative orders (futures, options, swaps, swaptions) from Murex and Calypso applications into the Hi Portfolio accounting system.

●Contributed to development of the requirements related to compliance guidelines within Linedata's LongView trading platform.

●Developed business requirements for credit default swap (CDS) trading used for hedging purposes to remove credit risk from the Fixed Income portfolios.

●Developed business process workflows for hedge accounting, in which floating rate asset backed securities are paired with interest rate swaps to enable the asset matching with the cash flows of long term, 30 year, underwriting liabilities.

●Environment: SQL Server database.

Bennett & Associates Management Consultants, New York, NY Nov 2004 - May 2006


Engagements for the following clients:

Citigroup Asset Management, Credit Risk Management (CRM), New York, NY; Feb. 2006 - Jun, 2006

Business Analyst. Worked with Fixed Income Traders (Municipal Bonds) to gather specifications for new CRM applications relative to the new Basel II capital adequacy requirements for regulatory risk management.

Alliance Capital, Fixed Income Investment Management Technology, New York, NY; Sept. 2005 - Jan. 2006

Business Analyst. Managed Minerva and Tesseract rollout of vendor Latent Zero’s Order Management System (OMS) and decision support application for asset management. Performed reference data and process modeling to identify reference data requirements as well as “as is” and “to be” workflow processes for each desk. Desk roll-outs included global, high yield, insurance and core.

Brown Brothers Harriman, Investment Management Technology Group (IMTG), New York, NY; May, 2005 - Sept. 2005

Business Analyst. Developed Charles River OMS integration with the Market Access and TradeWeb Brokerage applications, for taxable fixed Income trading and FIX connectivity to obtain Indications of Interest and prices from approved brokerage firms.

The Capital Group, Fixed Income IT Compliance Group, Los Angeles, CA; Mar. 2005 - May, 2005

Business Analyst. Developed Charles River compliance interfaces using UML with pre-trade and post-trade in-house developed trading platforms for new products to include credit default swaps, in which both buy-protection and sell-protection positions were taken.

Deutsche Asset Management, Global Technology and Operations, New York, NY; Nov. 2004 - Feb. 2005

Business Analyst, Front Office Technology Team. Gathered requirements for the new digital What If engine, a means for evaluating various scenarios for the portfolio managers. Also, used ETL tools (Informatica) to bring in source reference data to the application database.

Times Square Capital Management (TSCM), Asset Management Subsidiary of CIGNA Corp., New York, NY; July 2002 - Nov. 2004

Senior Business Analyst. Responsible for delivery of IT projects to the Small Cap portfolio managers for implementation of compliance enhancements for Equities exposure management, using the Charles River trading system, Eagle PACE reference data warehouse, and Invest/1 portfolio accounting system.

Bennett & Associates Management Consultants, New York, NY Jan 1991 - Jun 2002


Engagements for following clients:

Western Asset Management, Investment Management Subsidiary of Legg Mason, Pasadena, CA; Apr. 2002 - July 2002

Business Analyst. Integrated clearance and settlement notifications (using SWIFT) with their Invest/1Portfolio accounting application (Sungard). Assisted in the conversion from the PAM fund accounting application to Invest/1, and led the proof-of-concept testing to exercise the new middleware software to perform and record each of the test scripts for SWIFT message types 1xx, 2xx and 9xx from both PAM and Invest/1.

Thomson Financials, Boston, MA, Jan. 2002 - Apr. 2002

Business Analyst, reporting directly to the Board of Directors, who were interested in the feasibility of linking their middle office products, such as Audex for allocations, with their back-office products, such as the functions of the new Omgeo joint venture product developed with DTCC.

David L. Babson, Inc., Asset Management Arm of Massachusetts Mutual (Fixed Income), Springfield, MA; Aug. 2001 - Dec. 2001

Business Analyst Developed specifications in support of front office fixed income desk to determine investment performance and attribution for their fixed income portfolios.

Merrill Lynch & Co., U.S. Cash Equity Technology Group, New York, NY; June 1999 - July 2001

Business Analyst Generated a seamless link between the front-end application, Bloomberg, Reuters, etc., to Merrill’s proprietary order management system, using the FIX protocol. Orders of small size would then proceed to execution and settlement using Straight Through Processing (STP). Managed full project life cycle from requirements through development and unit, integration and finally UAT testing. Project completed on-time and within budget.

SG Cowen, Subsidiary of Societe Generale, New York, NY; Jan. 1999 - June 1999

Business Analyst. Developed regulatory reporting requirements for SG Cowen to become a primary broker-dealer with the Federal Reserve. Developed and presented the project plan to senior management at SG Cowen, including resource requirements, and obtained sign-off. Then managed a team of 10 analysts and developers to build the reporting capabilities and link into the accounting reference data residing in the vendor ADP’s application.

ING-Barings, New York, NY; Nov. 1998 - Jan. 1999

Business Analyst. Worked with upper management at ING to identify requirements for conversion of fixed income and equity systems to accommodate the new EURO - European Monetary Unit (EMU) currency, and managed the conversion to currency for all positions within the vendor applications, including Bloomberg, Tradewinds (Uptick), Stor/QM, and ADP.

Credit Suisse First Boston, EMU Systems Development Group, New York, NY; Mar. 1998 - Oct. 1998

Project Manager. Worked with Trade Support Group to analyze detailed requirements to prepare for EMU currency conversion of positions and trades.

J.P. Morgan, New York, NY; Sept. 1997 - Mar. 1998

Project Consultant. Supported Euro and Y2K projects within middle-office credit risk management group.

Chase Manhattan Bank, New York, NY; Apr. 1997 - Sept. 1997

Business Analyst. Developed new modules of the global Value-at-Risk system (VARS) for middle office risk management.

KPMG Peat Marwick, New York, NY; Feb. 1996 - Apr. 1997

Senior Consultant. Reviewed fixed income trade processing for Deutsche Bank’s middle and back office, including risk management and P&L calculations and settlement.

Bankers Trust, New York, NY; Oct. 1995 - Feb.1996

Data Architect. Developed logical data models for a new global custody system called Global Asset Architecture (GAA). Interviewed subject matter experts to gather requirements and documented in the reference data modeling toolset.

IBM, New York, NY; May 1995 - Sept. 1995

Business Analyst, Financial Services. Assisted with business development in international banking services, with focus on fixed income trading systems (MBS securities), primarily with the vendor ICI.

Citibank, N.A., Global Trade Finance Group, New York, NY; Aug. 1994 - Apr. 1995

Team Leader. Re-engineered a new reference data model for a Letters of Credit (LOC) system, including the development of end-user requirements for a new global multi-currency front-end LOC workstation.

Merrill Lynch & Co., Enterprise Modeling Services, New York, NY; June 1993 - July 1994

Business Analyst. Developed corporate-wide processes and data and process decomposition models in the area of capital markets, specifically books and records, client/counter-party reference databases, and product databases, as a first step in a major re-engineering to a distributed environment of the core legacy systems of the Corporate and Institutional Client Group (CICG).

Shearson Smith Barney, New York, NY; Sept. 1992 - June 1993

Business Analyst. Using CASE tools to develop data and process models. Gathered and modeled business requirements to determine functional specifications for new broker workstation. Developed prototype and participated as lead analyst when presenting results to upper management.

Oppenheimer & Co., New York, NY; Feb. 1992 - Aug. 1992

Business Analyst. Responsible for enhancement of nationwide portfolio management system, including a COBOL application with reporting interface to SAS, running on an IBM 3090. Met with mutual fund managers and served as project leader, with staff of three developers, for re-engineering of a PASCAL application to take advantage of ORACLE RDMS features which enhanced portfolio manager query performance.


Alpha Pi Mu (Systems Engineering Honorary Society). Member since 1972

American Mensa. Member since 1982

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