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Customer Service Manager

Toronto, ON, Canada
October 10, 2019

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David Yam

Telephone: 647-***-****



A professional IT Financial engineer with extensive experience in Banking industry. Key strengths include:

Extensive knowledge gained in SWIFT SCRL in Hong Kong from year 1992 to 2008 and proficient in SWIFT services, Standard Changes, application testing, message type usage, netting, and business knowledge in Category 2 (Payment Transfers), Category 3 (Treasury Markets), Category 5 (Securities Markets) and Category 9 (Cash Management) with good operational understanding of connected applications, SwapOne/Global One (Equity), Murex (Options), ARROW securities reconciliation (Paramax MT540 - MT547), Wallstreet FX (MT300), Wallstreet MM (MT320) and SmartStream TLM (MT950).

Successful replacement of SWIFT Accord Services MT300 (FX) and MT320 (MM) confirmation matching for Scotiabank Asia by Confirmation Hub in Toronto as well as centralized reconciliation of individual depository securities holdings (DTC/BONY FED/CDS/BNP/Euroclear/CITI/Clearstream/HSBC) into Confirmation Hub in Toronto.

Good understanding with timely implementation of the Office of the Currency (OCC) Heightened Standards (Sep 2014) for Large Financial Institutions to facilitate the Data Capture and Data Reporting, the Federal Reserve large banks reporting compliance with Comprehensive Capital Analysis and Review (CCAR) FR Y-14M (monthly) and FR Y-14Q (quarterly) schedules, and Moody’s Analytics CreditEdge Data File Service replacement for Credit Monitor legacy desktop solution how risk managers accurately assess and manage credit risk for both public and private companies.

Competent in rolling out new or enhanced TSX/TSXV products and services through waterfall project management in years 2014 to 2015 with Business Managers, Business Analysts group, PMO, Quality Assurance using HP Quick Test Professional/LoadRunner for the QA reports and Production promotion team for going live without delays.

Extensive knowledge in large scale project waterfall or Agile management using Microsoft Project Plan or Jira together with SharePoint or Confluence for document repository plus Business Analyst skills from eliciting requirements, testing, regression, automation and handling conflicts while achieving business objectives on time on budget.

Excellent communication and people skills, capable of working with cross functional groups in different countries with different cultural backgrounds; always listening with trust and empathy aiming to grow as a team of high achievers with proven management experience, keeping effective and efficient rapport with all project stakeholders.


Scotiabank Jun 2017 – Mar 2019

Senior Business Analyst, GWRT, Ops Control, Confirmations, Common Utilities

Responsible for all aspects of requirements organization including eliciting requirements, estimations, requirements and approval process, test strategy, test plan and test cases, SIT / UAT / Pre-Production testing of Confirmation Hub for replacement of Accord Services which had ended for support on October 31, 2017 including all SWIFT related messaging from all front office trading services to our confirmation hub.

Acted as Lead Business Analyst and wrote the whole BRD to vendor for replacement of SWIFT Accord Services MT300

(FX) and MT320 (MM) confirmation matching for Scotiabank Asia by Confirmation Hub in Toronto.

Global Wholesale Operations (GWO) Confirmation Hub project commenced at the beginning of 2017 to replace Scrittura, the system used since 2004 to manage the confirmation of OTC Derivative trades for GBM and Group Treasury, with Confirmations Hub, a fully integrated combined offering of Web Services Integration’s (WSI) confirmation workflow system and Thunderhead’s document generation system.

GWO is currently undergoing a reorganization moving from a product centric model to a centralized utility model. In the utility model, similar processes will be migrated to a single center of excellence that supports all asset classes. Confirmation services for K2 (Scotia proprietary derivatives trading application), SwapOne/Global One (Equity) and SCOTS (Energy), Murex (Options), securities reconciliation (ARROW Paramax, IMPACT, GLOSS), SWIFT Accord replacement, Wallstreet FX (MT300) and Wallstreet MM (MT320).

For Securities book of records in Toronto, Asia, London and New York hosted by DTC, BONY FED, CDS, BNP, Euroclear, CITI, Clearstream and HSBC, SWIFT copy services from hosting services of MT540 to MT547 were incorporated to be reconciled against our book of records in Confirmation Hub so all holdings can be centrally processed.

BMO Aug 2015 – Nov 2016

Business Analyst, Lending Transaction System (LTS), Corporate Commercial Lending (CCL)

Responsible for all aspects of requirements organization including eliciting requirements, estimations, requirements and approval process, test strategy, test plan and test cases, SIT/UAT testing and regression, Quality Assurance Compliance; coordinate all regression and performance scripting using HP QuickTest Professional and HP LoadRunner.

Highlights include:

Early Warning Indicators, Concentrations, Collateral Tracking & Monitoring

The Office of the Currency (OCC) finalized its Heightened Standards for Large Financial Institutions. The project was to facilitate the Data Capture and Data Reporting requirements for these work streams under the Heightened Standards program.

Commercial Real Estate Heightened Standards

Collateral was considered to be ‘Real Estate” reportable if the collateral types belong to certain criteria like 1st or 2nd Charge (>$10MM) for Commercial R/E, Farm Properties, R/E Construction or R/E Residential Mortgage.

Comprehensive Capital and Review (CCAR) Reporting Improvement

The Federal Reserve required large banks to comply with CCAR FR Y-14M (monthly) and FR Y-14Q (quarterly) schedules. Entity was considered to be mandatory for CCAR reporting if Entity was a primary Borrower of at least one Facility with Facility Applied Amount >= 1MM (in USD). Only Facilities belonged to a subset of Facility Types were CCAR reportable.

Moody’s Analytics CreditEdge Application

Credit Monitor® was a legacy desktop solution which would be replaced by Moody’s Analytics. CreditEdge Data File Service extracts daily files for each customer and places them in Secure File Transfer Protocol (SFTP) Portal for individual retrieval.

Cornucopia (LTS Redesign)

LTS was delivered in 2004 so Wireframe methodology was adopted and AngularJS was chosen to rearrange all web pages and address the webpage payload issues from server side to client side.

TMX Mar 2014 – Jul 2015

Project Manager, Listing, Compliance & Financial

Responsible for all aspects of resource planning including Development, Quality Assurance and Application Services Delivery teams; project delivery artifacts and hosting of project governance committees’ meetings. Mandates covered status reporting, risk management and issue resolutions for on time on budget delivery, successfully met all business and technology stakeholders’ objectives. All TMX and TSX/TSXV projects required kickoff and regular meeting minutes, Project Chartered / Document, Project Plan in MPP, Requirements Document, Test Document, Production Release and Project Closure with all related stakeholders’ approval.

Highlights include:

TMX Datalinx Short-sale File Market Parse

The Short Sale Summary Report provided a daily summary of short sales on the TSX for the constituents of the S&P/TSX Composite Index which also included a daily TSX Short Sale Corrections file, sourced from IIROC.

TSX Venture Exchange Listings Application

The TSX Venture Exchange introduced a new online filing portal, called V-File, for private placement submissions.

TMX Datalinx - Alpha Historical Market Data Product

All end-of-day Alpha Trades & Quotes data and Alpha Trading Summary data would be made available at after Alpha trading was transitioned to TMX Quantum technology.

TSX/TSXV Market-On-Close Autofill and Registered Trader Invoicing

This initiative was to deliver the equity fee model changes in time to support the upcoming removal of board-lot volume requirement for MOC orders.

TSX 2015 Listing Fee Amendments

TSX proposed a sustaining fee amendment to remain competitive with comparable exchanges, as measured by continued strength in the TSX listings business, which was worth fifteen millions.

TSX/TSXV, Select & Alpha 2015 Equity Trading Roadmap

TMX Group intended to close TMX Select as well as Alpha Exchange's IntraSpread facility.

Grandtac Limited Sep 2012 - Jan 2014

System Analyst, Enterprise Resource Planning

Responsible for all aspects of IT solution including company website development by Joomla 3.0 on top of PHP and XAMPP environment, Mercury e-mail server with Thunderbird web client, new store setup and vendor management.

Bank of Montreal Hong Kong Branch Aug 2011 – Jul 2012

Software Development Manager Hong Kong

Led a development and business analysis team of 5 people in providing IT technology services to the Private Client Group (PCG) business expansion in Hong Kong and Mainland China. Worked closely with all business groups including Legal, Finance and other technology teams in Canada. Total IT support budget was over CAD$2.4mm with global infrastructure deployment.

Bank of Montreal (China) Co. Ltd. Feb 2010 – Jul 2011

Software Development Manager, Guangzhou (China)

Responsible for one of the largest IT initiatives undertaken by BMO for Asia Expansion. Replacing a Core Banking System including General Ledger with Global reporting capabilities by Oracle FLEXCUBE Universal Banking. This initiative was seen as the cornerstone for BMO to successfully incorporate for business in China.

Led a development and business analysis team of six people. Operating as both the development lead and project manager interfacing with all stakeholders in China and Toronto, Canada.

Grandtac Limited Sep 2008 – Jan 2010

System Analyst, Enterprise Resource Planning

Responsible for all aspects of IT solution including XAMPP installation with PHP scripting to Microsoft SQL Server for displaying on-line store sales, statistics and management reporting; maintain service continuation of in-house inventory control and Point Of Sales plus marketing services using Adobe Illustrator and Photoshop.

SWIFT Far East Limited Jan 1992 – Apr 2008

Responsible for external clients and internal service continuity either regarded as an incident or with proper escalation for crisis management, SWIFT is the global provider of secure financial messaging services. Experiences involved extensive project budgeting and planning.

Senior Customer Engineer, Customer Support, Second Level Management 2004 – 2008

Solely responsible for the SWIFT products and services incident and crisis management from Customer Service Front Line as well as Customer Service system administration, purchasing and provisioning of testing facilities within the worldwide controlled capacity and operating expense accounts.

Interface & Application Team Lead, Customer Service Front Line 2000 – 2004

Led a team of six Application Support and enhanced team productivity by regular coaching in handling application issues.

Sales Support, Customer Service 1997 – 2000

Being chosen as the first pre-sales support for all products and services including SWIFTAlliance, Accord, NOSTRO and FIX with responsibilities to assist Business Development Manager and all Sales forces in Asia Pacific for achieving and exceeding targets.

Customer Support Engineer, Customer Service 1992 – 1997

Travelled extensively for SWIFT interface ST400, SWIFTAlliance, PC/CONNECT, NOSTRO/400, NOSTRO/PC, ACCORD and FIX implementation for banks in Asia Pacific and Australia.

Logica Technology Services Limited Oct 1990 – Dec 1992

Consultant, Banking Solutions

Responsible for SWIFT interface product called FASTWIRE with development of “Automatic File Transfer” being implemented successfully in Standard Chartered Hong Kong.

Winter Partners (HK) Ltd Nov 1987 – Sep 1990

Consultant, Banking Solutions

Responsible for SWIFT interface and banking application support for Asia Pacific region with major clients such as HSBC, Barclays Bank, Bangkok Bank, Asian Development Bank, etc.

Delivered new module development in wholesale banking such as Securities & Depot Management and Trade Finance for Barclays Bank Hong Kong, enhanced Treasury module with Intraday and Overnight Limits for Affin Bank Malaysia as well as the wholesale banking implementation in Government of Investment Corporation Singapore.

Onflo Computer Co., Ltd Apr 1986 – Oct 1987


Accomplished account payable and receivable modules in COBOL on Honeywell mid-range systems for Camelpaint Hong Kong.

Wide Trade Foundation Ltd Nov 1985 – Mar 1987

System engineer

Responsible for Data General’s AOS and AOS/VS OS, programming language, application installations and configurations with major projects delivered in Dalian Locomotive Works and Beijing Fishery Department.


Bachelor, Computer Science Specialist Program, University College, University of Toronto (1981-1985)


Microsoft Certified Professional certification (1998)

Internal Quality Auditing Course (1999)

HACMP Implementation (1999)

AIX Ver.4 Advanced System Administration (1999)

Business Language Testing Service BULATS with overall writing skills of '4-' (2002)

ISO 9001:2000 Internal Auditor Training Course (2004)

WebSphere MQ Introduction & System Admin I for Distributed Platforms (2004)

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