Senior Business Analyst

TED LARKIN 917-***-**** New York, NY *****

http://www.linkedin.com/in/tedlarkin/ **********@****.***.*** BUSINESS ANALYST & PROJECT MANAGER

Accomplished and versatile professional with experience in business analysis, programming, development, team leadership and relationship building. Frequently assigned to supervisory roles to provide strong business, financial, and technical expertise. Instrumental in streamlining daily processes, introducing process improvements, and implementing technology solutions. Adept in identifying business requirements, performing gap analysis, writing specifications and test plans, and updating systems and procedures to improve productivity and reduce costs. Extensive experience in application enhancement and porting, problem solving, reducing development backlogs, quality assurance testing using SQL and other data manipulation languages, and regulatory changes. Core competencies include:

Business Analysis Cost Containment Programming & Coding

Project Management Fixed Income, Equities and Derivatives Software Development Life Cycle

Business Requirements Portfolio Analytics Database Design

Process Improvement Adaptability UAT + Quality Assurance SELECT HIGHLIGHTS

• Designed and supported the firm’s first real-time trading application in a previously batch-oriented processing department, enabling money managers to execute listed equity trades directly from the existing in-house back office allocation/query system through the NYSE/ASE SuperDOT and Common Message Switch (OMS) trading platforms.

• Managed teams of 5 onshore and 3 offshore (India) staff in 24/7 brokerage operations technology group while improving productivity and achieving a 50% decrease in status meeting time.

• Decreased backlog/issues list by 50% and improved client satisfaction by 100% in first month of supervising team.

• Planned application releases of compliance systems for 200 global users and completed over 100 program upgrades with full software development life cycle adherence.

• Authored SQL testing scripts, development schedules and specifications; allocated resources, defined test plans, and documented quality assurance testing.

• Played a key role in reducing regulatory issues and strengthening the firm’s professional reputation by enhancing the performance of the compliance department.

• Established the firm’s first client retail access to brokerage accounts while complying with SEC regulatory changes, enabling the firm to compete for new clients.

• Recognized as the subject matter expert SME “Go-to guy” for developer assistance and IT management. CAREER HISTORY

Consultant

PRIVATE INVESTOR, Los Angeles, CA, September 2019 to October 2019 and GLOBAL INVESTMENT FIRM, New York, NY, February 2019 to March 2019

• Performed data mapping and attribute analysis for back office conversion. Managed vendor delivery of trading, portfolio, and security data files: design, testing, data quality/QA, and implementation.

• Reviewed and advised on entrepreneurial proposals for venture capital investment in the financial, agricultural and computer software industries.

• Consulted on marketing strategy for financial software system currently in development.

• Researched industry news for equity derivative trading and public financial podcast; participated in podcast episode as guest speaker, viewable at https://www.youtube.com/watch?v=FnQiFxSavXQ Senior Business Analyst

OPPENHEIMERFUNDS, New York, NY, October 2017 to May 2019 Linked business users and IT development to provide critical and successful solutions.

• Initiated solutions from concept to implementation by partnering with Technology and Business to ensure requirements were satisfied and delivered on time, including developing and managing change plans.

• Enhanced shareholder disclosure reporting system: increased asset coverage from 90% to 99% of holdings.

• Analyzed business and technical processes and issues to suggest improvements, identify actionable opportunities and define requirements for strategic solutions.

• Wrote and evaluated business requirements for delivering new or enhanced software systems, documented the system requirements, and measured the implementation successes.

• Partnered with cross-functional teams to analyze, decompose and map current state processes and determine improvement opportunities including creation of target operating models.

• Developed and refined solutions with senior management, summarized findings and operationalized improvements.

• Lead discussions to support corporate strategic planning & management (including current state process mapping, future state process design, and root cause analysis).

• Built and developed business relationships vital to project success.

• Delivered presentations of findings and recommendations to multiple levels of stakeholders.

• Participated in build-or-buy analysis for business facing solutions.

• Project team won audience award for best innovation in 9 team Hackathon competition! AVP, Business Analyst

MITSUBISHI UFJ TRUST AND BANKING CORPORATION, New York, NY, 2015 to 2017 Managed projects: planned timelines, assisted development, and resolved issues/problems.

• Escalated issues and provided remediation paths to return projects to planned schedule.

• Assisted with vendor and consultant management; performed recruitment/interviews.

• Documented project adherence to Software Development Life Cycle policies.

• Implemented firm’s exposure risk system for Dodd-Frank Enhanced Prudential Standards reporting requirement.

• Designed database sources to replace manual calculations. Results: increased financial accuracy and system reliability.

• Translated business user requirements into effective technical requirements and test cases.

• Documented business cases and requirements. Provided user training on bank systems and financial regulations.

• Coordinated testing and quality control reviews to ensure accurate and stable deliverables. Senior Business Analyst, Consultant

ETTAIN GROUP, Bank of America, American Equities Compliance Group, New York, NY, 2014 Appraised and documented alert reports produced by brokerage transaction surveillance systems to ensure compliance by bank’s trading desks, client accounts, and employee accounts. Wrote business requirement specifications for IT development and compliance project management. Analyzed monitoring processes, regulations, thresholds, and parameters to ensure business rules were appropriate for business lines, client types, and transaction volumes. Reviewed documentation and system functionality with Global Compliance department for UAT and signoff approval.

• Supported IT project managers and coordinated global development teams.

• Managed compliance software enhancements in Oracle PL/SQL environment.

• Team reduced development backlog from 27 to 15 issues in 3 months.

• Decreased firm exposure and improved regulatory compliance: the team implemented 12 model logic upgrades in 3 months to increase surveillance and enhance system performance.

• Interviewed prospective candidates and summarized hiring evaluations for management. Assistant Vice President, Compliance Analyst

COMMERZBANK AG, New York, NY, 2013

Evaluated and resolved alerts produced by Anti-Money Laundering (AML) transaction surveillance system for international correspondent and bank-to-bank activity. Wrote business specifications for IT and Compliance project management.

• Analyzed historical transaction data to determine optimal scoring values for new rule implementation; achieved a new category of suspicious activity surveillance with a report volume increase of less than 10%, which enabled the Compliance department to increase transaction monitoring without increasing staffing.

• Evaluated and resolved Anti-Money Laundering (AML) transaction surveillance system alerts for international correspondent and bank-to-bank activity. Wrote business specifications for IT and Compliance project management.

• Supported other areas within the bank’s Banking Secrecy Act, Anti-Money Laundering, and Global Sanctions teams. Submitted regulatory reports to federal agencies.

Business Analyst

NICE – PROFESSIONAL SERVICES GROUP, New York, NY, 2010 to 2013

• Performed business analysis for configuration and deployment of brokerage compliance surveillance models.

• Collaborated with clients for solution configuration and product gap correction. Coordinated requirement analysis and project development with offshore teams. Augmented models to ensure accuracy and performance. QA testing.

• Organized defect queue for the project manager and achieved improved levels of customer satisfaction.

• Facilitated data/quality analysis including data mapping, data validation/remediation, and alert validation. Consultant/Business Analyst

PRINCETON INFORMATION – COMPLIANCE IT GROUP, Merrill Lynch/Bank of America, New York, NY, 2009

• Partnered with business users, analyzed workflows, and identified manual processes for automation. Developed design specifications from business requirements.

• Supported offshore development teams with requirement analysis and project coordination.

• Utilized SQL for database analysis, applications conversion, and data migration.

• Facilitated quality assurance testing of software enhancements. Assistant Vice President, Business Analyst

NEUBERGER BERMAN/LEHMAN BROTHERS – LEGAL COMPLIANCE & AUDIT GROUP, New York, NY, 2007 to 2008 Served as the development supervisor for web-based compliance systems.

• Managed offshore outsourcing and coordinated with in house development.

• Wrote SQL testing scripts and functional and technical requirements.

• Led efforts to monitor employee trading, money laundering, and adherence to rules of conduct. Developer/Team Leader

NEUBERGER BERMAN/LEHMAN BROTHERS – INVESTMENT MANAGEMENT DIVISION, New York, NY, 2003 to 2007 IT Group provided trade support processing and clearing for brokerage firm back office of 100,000 accounts and over 100,000 transactions per day. Coached consultants on firm best practices. Trained staff in Application Development Methodology and department standards. Managed quality assurance and compliance initiatives. Managed trading support schedule for front and back office systems. Became the back office SME and “go to” guy.

• Delivered application improvements, changing backlog queue direction from growing to decreasing.

• Played a key role in correcting trades and enhancing order management systems.

• Implemented FIX and in-house formats for transmitting trade files, creating and deconstructing transactions.

• Supervised 6 Programmer Analysts onshore, staff developers offshore and 24-hour on-call schedule. Programmer Analyst, Business Analyst

NEUBERGER BERMAN – INVESTMENT MANAGEMENT DIVISION, New York, NY, 1993 to 2003 Captured, processed, and transmitted the trade and money transactions for the firm’s brokerage accounts. Developed, expanded, and managed applications to support portfolio performance measurement. Tracked and reported account activity to managers and clients. Created systems to calculate commissions and settle trades with clearing agencies. Created transactions for Prime Brokerage client allocations. Supported all back office operation departments.

• Developed real time equity trading interface on existing user inquiry system including trade orders and updates transmitted through SuperDOT and Common Message Switch (CMS) on listed exchanges. Received trade executions and created allocations in front and back office systems.

• Handled portfolio management reporting, including data capture and compliance analysis. Over 40 systems converted from mainframe to UNIX server platforms.

• Implemented Point Of Sale debit card and on-line bill pay functions for brokerage account holders. Updated client statement processing to report retail transaction activity.

• Created fundamental data manipulation utilities incorporating into over 200 application programs. Early Career: I.B.M. Corp., New York, NY – Systems Engineer and Marketing Representative TECHNICAL PROFICIENCIES

Languages: C, C with Embedded SQL, Informix SQL/4GL, C Shell/Korn Shell. Environments: Oracle PL/SQL, AIX/Linux/UNIX, HTML, PHP, Sybase SQL, MySQL, FIX, SWIFT. PC Applications: TOAD, Microsoft Access, Excel, PowerPoint, Project, Word, Visio. EDUCATION

Bachelor of Science in Management Science, Concentration in Information Systems M.I.T. SLOAN SCHOOL OF MANAGEMENT, Cambridge, MA

VOLUNTEER WORK

Math and Computer Tutor – NYC Charter School

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