Project Manager

JOHN E. CARROLL

*** ********** ****** 201-***-****

Hoboken, NJ 07030 ***************@*****.***

Highly analytical, performance-focused, and tenured professional, offering extensive experience in the financial industry involving project management, quality assurance, and business analysis. Equipped with strong background in managing all phases of the SDLC process. Expert at leading complex/critical projects while managing both onshore and offshore resources. Accountable for all aspects of project management oversight, including day-to-day operational and tactical aspects of project execution to ensure: on-time, quality delivery of critical path activity; risk and issue management and reporting; stakeholder identification and inclusion; project status reporting; meeting initiation, coordination, and facilitation, and ongoing status reporting.

MBA in Financial Services • MS in Technology Management • NASD Series 6 & 63 Licenses

PROFESSIONAL EXPERIENCE

CONSULTING ENGAGEMENTS

Deutsche Bank New York, NY• August 2016– August 2019

Senior Project Manager/Project Management Office

Transaction Monitoring Project Manager – Assembled project teams and developed detailed project plans, project charters, defined deliverables, scope, schedules and budgets for global projects.

TM Release Manager - Owned the scheduling, coordinating and management of quarterly releases across Transaction Monitoring. Releases included application updates, OS patches, security improvements, hardware upgrades, projects, and production deployment.

Mantas ACH TM project - Managed the process for mapping the new ACH feed to the Mantas requirements. Mantas ACH TM was an end to end project (source system through data warehouse to Mantas/Actimize). Products were wires (ACH), MI (cash, checks, etc). Managed offshore SIT and onshore UAT Teams for Mantas and Actimize. Post ACH data ingestion, managed the Scenario Tuning and Calibration effort (ATL/BTL Analysis) to ensure Mantas Threshold accuracy.

Collaborated with stakeholders to establish project plans for major initiatives and drive efforts to production releases

Managed dependencies on existing programs and work streams to ensure delivery was on track. Escalated to Senior Management as required.

Managed an integrated program schedule across cross functional teams to enable successful US BSA/AML Risk Management remediation delivery, ensuring all projects had proper resource allocation.

Trade Surveillance Project Management Office – Created and administered project governance and escalation processes across the Trade Surveillance group. Provided direction and guidance while ensuring adherence to PMO processes and policies through close collaboration with senior management.

Managed the Surveillance Data Working Group. Analyzed Transactional & Reference data for completeness and accuracy. Created a Data Remediation & Governance Framework to collect, prioritize, remediate and escalate data related issues.

Tracked progress and closure of Corrective Action Plans stemming from Surveillance projects, plans, and processes while providing project level reporting to senior management.

Prepared Surveillance Program Board and Management Forum Tableau reports and presentations to ensure transparency to senior management.

Assisted with the KYC implementation and Client Repapering effort while complying with Deutsche’s CIP/CDD/EDD requirements.

Liaison with applicable stakeholders, including global and regional senior managers, CDO, Data, Technology and Business teams, to ensure appropriate ownership of deliverables and associated risks and issues

Citigroup, Inc. New York, NY• November 2011–August 2016

Project Manager

As Project Manager for AML Monitoring Technology was responsible for end to end planning, execution and delivery for multiple simultaneous global projects and activities.

Assisted in data quality measurement and the data governance process for Anti Money Laundering (AML) Transaction Monitoring. All Mantas data quality issues were analyzed with Compliance and Operations support. Once defects were fixed, 'what-if' scenario analysis was performed to see if any other AML issues were still present using the 'fixed data'.

Managed day-to-day project activities, monitored and reported on progress to identify and mitigate potential showstopper and issues. Responsible for highlighting dependencies with other projects.

Responsible for project plans, budgets, test environment, project schedules and facilitated requirements gathering for Technical and Business requirements

Defined and tracked project milestones while developing, maintaining, and reporting on an overall integrated delivery plan

Ameriprise Financial, Inc. New York, NY• July 2010–July 2011

Project Manager

Created and led a QA Department in support of the creation of a Datawarehouse incorporating cross-organizational initiatives. Defined department policies and procedures and staffed a 50 person department (both onshore and offshore) with Test Coordinators, Test Leads, and QA Analysts.

Designed standards, procedures and mentored staff in test plan, test case and test script creation. Ensured traceability to requirements and defects.

Defined roles and responsibilities of the department. Performed staff assessments and aligned skills with new roles. Identified staffing levels required to meet projected timelines.

Managed triage and defect remediation processes driving issues to closure to meet the corporate guidelines for production readiness.

ICAP LLC Jersey City, NJ • September 2009–July 2010

Project Manager

Led 4-member team of manual test analysts supported by 25 offshore automation engineers to provide a standardized and repeatable approach to QA within the Fixed Income QA group. Review and validate automated tests and execution results. Conduct Test Defect Resolution and retest as needed, providing improvement suggestions to programmers.

Reduced test cycle time and increased test coverage by developing standardized and repeatable QA methodology for FI QA group.

Promoted process optimization by implementing best practices for application development that comply with the Repeatable Level of the SEI CMMI.

NEUBERGER INVESTMENT MANAGEMENT (LEHMAN BROTHERS) New York, NY • April 2007–July 2009

Quality Assurance Manager/Business Analyst

Advanced business goals of Investment Management Division by developing, publishing, and implementing actionable test plans, test cases, use cases, and metrics for financial applications. Communicated with Equities Trading Desk, Legal, Compliance, and IT Senior Management to critically evaluate requirements and ensure shared understanding of project deliverables. Managed offshore QA team to conduct supplemental testing.

Authored full portfolio of clear and comprehensive project documents including Business Requirements, Functional Specifications, Report Specifications, Client Specifications, System Specifications, User Manuals, Project Plans, and Project Timelines.

CREDIT SUISSE New York, NY • May 2004–August 2006

Senior Quality Assurance Analyst

Applied analytical skills to develop a Quality Assurance process from scratch for the Interest Rate Products Division and the Fixed Income Division. Wrote and maintained functional, regression, unit, and integration test cases. Conducted Sanity/Acid testing on each new application release.

Streamlined and centralized GUI/Database testing including Blackbox, Whitebox, and functional testing by using SQL and Mercury Quality Center web-based test management tools.

Defined and maintained software lifecycle/workflow for all spreadsheets used for positions, desk-level risk, and P&L.

GENERAL MOTORS ASSET MANAGEMENT New York, NY • January 2003-December 2003

Business Analyst

Defined and wrote query and reporting requirements for financial applications working with business users. Created testing process and procedures for development team. Wrote and executed Business Requirements, use cases, UAT test plans and test scripts.

CITIGROUP New York, NY • January 2001–June 2002

Quality Assurance Manager

Launched a Quality Assurance Department to improve company’s risk management technology. Managed change control process and business continuity planning for Risk Management Department. Performed business analysis for global risk architecture area on the VaR integration effort across Citibank and Salomon Smith Barney market risk systems.

ING BARINGS LLC New York, NY • October 1998–December 2000

Business Analyst (Y2K / Decimalization / E-Commerce)

Safeguarded business continuity by completing Y2K certification for 75+ systems. Analyzed impact on Trade and Order Entry (OTC and Listed), mainframe batch processing, back office maintenance, prime brokerage and regulatory reporting.

Implemented web, Windows NT, and client/server and mainframe–based application testing in coordination with SIA, vendors, users, and exchanges (NYSE, NSCC, SIAC, NASDAQ).

Led design of decimalization test strategy and execution of test events based on SEC decimalization requirements for all equity and options systems.

PRUDENTIAL INVESTMENTS Newark, NJ • April 1998-October 1998

Quality Assurance Manager

Led 5 analysts to perform Y2K certification on numerous financial applications. Served as primary liaison with testing teams, development group, end users, and asset management.

FULL-TIME EMPLOYMENT

INSTINET CORPORATION New York, NY • April 1994–April 1998

Senior Quality Assurance Analyst

DATA EXCHANGE, INC. New York, NY • July 1991–April 1994

Fixed Income Quality Assurance Analyst

EDUCATION

MBA in Financial Services, STEVENS INSTITUTE OF TECHNOLOGY

M.S. in Technology Management, STEVENS INSTITUTE OF TECHNOLOGY

B.A. in Economics & Mathematics, RUTGERS UNIVERSITY

www.linkedin.com/in/johnecarroll

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