RESUME

PERSONAL / PROFESSIONAL DETAILS

Name

:

Narsimhulu Sanigaram

Email

:

adhb8x@r.postjobfree.com

Address

:

**** ********* **, *** *, Maryland Heights, MO-63043, USA

Current Occupation

:

Senior Lead IT Consultant

USA Visa Type (Validity)

:

H1-B (31-MAR-2021)

USA Green Card Status

:

I-140 approved

Systems Worked On

:

ACTIMIZE Visual Modeler 4.28, ActOne Case Manager 6.3, ACTIMIZE Risk Case Manager Designer 5.13, NORKOM 6.0, Detica NetReveal 6.1.1, Kapow 9.3.6

Computer Languages Known

:

PL/SQL, C, Perl, C++, Javascript (High Charts), JQuery, Angular 2+, XML/XSLT, HTML, Visual Basic and Core and Advanced Java

Operating Systems

:

UNIX, LINUX and Windows

Databases Worked On

:

Oracle 19c, MSSqlServer-2019, UDB and DB2 9.7

Scheduling Tools Worked On

:

Control-M v6, v8 and Autosys

Release Tools

:

Tortoise SVN, GitHUB, Jenkins, Anthill pro, UrbanCode Deploy, JIRA, Rally, Change Management (Change Requests/Incident Tickets/Problem Tickets/Service Requests/Work Orders and Requests etc.), ALM (Application Lifecycle Management) and DevOps

SDLC Models

:

Water Fall and SAFe Agile

Business Application Areas Worked On

:

Anti-Money Laundering (AML) - Know Your Customer (KYC) /Customer Due Diligence (CDD) / Enhanced Due Diligence (EDD) / Ongoing Due Diligence (ODD) / Watch List Filtering & Management (WLF / WLM) / Suspicious Activity Monitoring (SAM),

Sales Practices & Suitability (SP - Wealth Management and Compliance),

Trade Surveillance (Equities/Fixed Income/Derivative/Options/Forex/Annuities),

Financial Market Compliance (FMC) - Enterprise Trade Surveillance (ETS),

Market Surveillance Enterprise (MSE),

Consumer Compliance / Integrated Fraud Management (IFM) (Consumer/Business Cards Fraud, Deposit Fraud)

Alert Ingestion Framework, Manual Alerts, Employee Surveillance.

Total Work Experience

:

11-JUN-2007 To till Date [13+ Years]

CERTIFICATION DETAILS

1

FDN-CM101-Capital Markets - Securities – Overview

2

FDN- CM102-Capital Markets - Derivatives – Overview

3

PR 101 OS Foundation Certification

4

BN (Banking Domain) Overview.

5

FDN-CM104- Capital Markets -Equities Overview

6

PR 201 OS Basic Programming C++

7

OS (Open Systems) Technology 202 (C, C++, Core Java, Oracle, VB, Perl, UNIX)

8

SCALED AGILE - SAFe for Teams Course (4.6)

9

Business Process Management (BPM) - Fundamentals

10

Fundamentals of Information Technology

DETAILS OF THE PROJECTS WORKED ON

1.

Project Name : CIB Compliance Metrics and Reporting – Actimize Implementation

[Apr 2020 to Till Date]

Employer : Matrix – IFS, NJ, USA

Role : Senior Lead Consultant

Domain : Brokerage Compliance

Project Description:

CIB Compliance Metrics and Reporting - an initiative taken by Wells Fargo Securities (Brokerage Firm) to remediate a Matter Requiring Attention (MRA) issued by Comptroller of the Currency (OCC) in a report to CIB (Corporate Investment Banking) Compliance.

The cause was an inadequate investment in compliance technology, resulting in a lack of transparency on compliance risks and a significant amount of manual aggregation and reporting.

This project is sub categorized as:

a.CIB - Manual Measures

A system is required to collect manual measures and findings to support compliance risk reporting.

For each particular type of finding or manual measure, one or more groups of users will have access to create and update these findings and manual measures.

b.CIB – Findings

Findings are items that cannot be systematically observed elsewhere, but are necessary to be reported on, the system serves only to document and disposition these findings. In a similar vein, measures are quantitative representation of risk and cannot be observed elsewhere. In both cases, a formal metric will be linked so that this system can supply the data necessary to report on that metric.

c.CIB – WBRS Ingestion

Ingest determined WBRS (Wholesale Banking Reporting System) data into Actimize to support LOB (Line Of Business) surveillance activities. CIB compliance will develop or enhance timely compliance program reporting for CIB management and for compliance senior management that will include content relevant to team member compliance program conformance, including monitoring and surveillance activities and results, Key Risk Indicators (KRI), Key Performance Indicators (KPI), other metrics trends and resolutions of concerns.

Responsibilities:

Business/Functional requirements gathering and analysis

Estimation for individual models

Evaluate Detection Logic for each model

Creation business flow diagrams

Data analysis to map data to business requirements

Data procurement methodology design

ETL implementation

Technical Design and review of the models

Implementation and review of the models

Unit Testing

Quality Testing Support

Code release management

Production Support

2.

Project Name : Transform Supervision – Actimize / Angular, .NET Implementation

[Apr 2019 to Apr 2020]

Employer : Matrix – IFS, NJ, USA

Role : Senior Lead Consultant

Domain : Banking and Capital Markets

Project Description:

Supervision & Oversight at Wells Fargo Advisors (Brokerage firm), is a suitability-based supervisory system that allows compliance users (Qualified Supervisors) and/or their qualified delegates to:

i.Identify firm accounts and transactions that may warrant further attention and

ii.Electronically document and track their supervisory activity.

Transform Supervision of WFA targeted to replace the existing compliance process via external or internal solution (or hybrid) to ensure

i. Improved, proactive risk management reducing regulatory scrutiny and fines and protecting the firm’s reputation

ii. The ability to quickly introduce tasks into end-to-end Supervisory and Oversight processes to mitigate emerging risks

iii. Client protection from activities that are perceived as or not in their best interest, or that conflict with contractual agreements.

For the implementation of Transform Supervision, WFA has chosen Actimize Sales Practices (SP) and Suitability solution which ensures proper sales practices for financial institutions by monitoring accounts, transactions, and sales representatives. The solution covers a broad range of sales practice issues and products such as account review,

suitability, registration, sales of mutual funds and annuities, approval levels of options and more. The SP solution models are integrated with an intelligent scoring mechanism – where each factor contributes to the generation of highly focused alerts (“red flags”). This approach prioritizes and isolates most suspicious activity and behavior while maintaining a significantly low false positive ratio.

The Sales Practices library of rules is implemented within the Actimize platform, which comprises the Actimize Intelligence Server (AIS) and the Actimize Risk Case Manager (RCM).

Transform Supervision has been chosen to pilot Scaled Agile for WFA.

Scaled Agile provides the framework to institutionalize a systemic process to continuously sustain and adapt the experience by:

i.Developing and consolidating multiple Agile Teams into a portfolio planning and program execution structure that aligns with Development Value Streams.

ii.Assigning people from both the LOB and Technology full-time within the virtual Scaled Agile construct

Responsibilities:

Following are the key responsibilities of SAFe Agile – Development Teams.

As part of ongoing solution development, participate in Program Increment planning.

Build Kanban (where all features, stories, enablers, prod support items and risk items are organized with their corresponding dependencies on each other)

Attend daily scrum meeting.

Actively participate in continuous delivery pipeline i.e CE (Continuous Exploration), CI (Continuous Integration), CD (Continuous Deployment)

oDevelop Features for next program increments

oWrite Stories with proper acceptance criteria

oPerform TDD – Test Driven Development

oPerform Automated testing

oPerform Deployment activities

Demo each sprint with Product Owner signoff.

Retrospective each sprint.

Review Backlogs.

Support system team to:

oManage source control

oAutomate builds

oAutomate Integration Testing

oPackage and Move code to Production

Support System Architects (Solution Architect, Data Services, Tech Infrastructure)

Support Program Manager and Agile Train Engineer to accommodate Business Demo to users.

Actimize Sales Practice (SP) application, canned models customized and supported:

oBSS - State Blue Sky of Security (Product Registration)

oOHT - Off-hours Trading

oVHS - High Load Product Switching for Variable Annuities

oVMT - Variable Annuities Market Timing

3.

Project Name : Forex trade surveillance and compliance monitoring– Actimize (ETS/MSE) Implementation

[June 2014 to Mar 2019]

Employer : Matrix – IFS, NJ, USA

Role : Senior Consultant

Domain : Banking and Forex/Capital Markets

Project Description:

FX Trade Surveillance and ETL application at Deutsche Bank aims to have a global surveillance and supervision compliance risk-management platform that detects and deters noncompliant activities, providing financial institutions with expanded coverage for existing and new regulations, system-wide flexibility and an enhanced user experience.

The solution (Actimize canned application ETS-5.5.1[Enterprise Trading Surveillance] /MSE-5.8 [Market Surveillance Enterprise]) is based on an improved system that offers firms new technical and functional capabilities.

The ETS/MSE suite addresses these issues holistically by providing a full range of compliance capabilities for financial institutions, including broker dealers, prime brokerage, asset managers, hedge funds, and exchanges.

Actimize ETS/MSE provides a comprehensive approach to addressing the supervision and surveillance requirements of financial firms.

The suite combines out-of-the-box detection and investigation capabilities for detecting potential market manipulation and client abuse, with robust query and reporting tools, desk supervision, and compliance oversight capabilities. It also features a market visualization module (called AMV), that provides a graphical representation of the firm’s transactions together with market data. This rich functionality enables compliance users to investigate alerts combined with market news, including full-tick depth-of-market direct exchange feeds and additional custom and prebuilt analytics for risk management.

These capabilities ensure that the firm not only has adequate controls in place to monitor for potential trading and sales abuses, but can also document and demonstrate an adequate system of supervision to detect and prevent illicit trading behavior.

This project also focuses on an In-House ETL application, responsible for fetching Actimize ETS/MSE application required global market/trades data. This data is consumed by both Actimize canned models and In-House trade surveillance models.

Responsibilities:

Responsible for providing a high-level design of technical systems and software knowledge for modification, implementation, or conversion of Compliance and Surveillance systems involving Actimize.

Support the process of translating business needs into formal Business Requirements deliverables.

Collaborate with team for setting up target/vision with excellent communication, systematic in working, ability to work under pressure, expertise proactively and take ownership.

Participate in the design, development and implementation of Actimize based technology platform(s) to satisfy internal and external regulatory requirements.

Perform data analysis and extraction for model development.

Perform unit, integration, and system level testing of models.

Perform impact analysis and incorporation of business rule changes.

Support the implemented models.

Review and analyze models.

Actimize ETS/MSE application, canned models supported:

oFX - Wash Intraday (WSH)

oFX - Off Market Trades (OMT)

oFX - Marking The Close (MTC)

oFX - Front Running Large Orders (FRO)

oFX - Spoofing (SPO)

oFX - Layering (LAY)

oFX - Front Running Executions (FREX)

oFX - Market price Ramping (MPR)

Actimize In-House models developed and supported:

oFX - Momentum Ignition (MI)

oFX - Partial Fills (PF)

oFX - Mark Up Mark Down (MUMD)

4.

Project Name : Consumer Compliance Automated Testing – Actimize Implementation

[Jan 2014 to June 2014]

Employer : Infosys Ltd, Plano -TX, USA

Role : Senior Associate Consultant

Domain : Banking and Capital Markets

Project Description:

CCAT (Consumer Compliance Automated Testing) program at Bank Of America focuses on automated testing of compliance process in the service areas like USBC/USCC (Consumer Cards/Business Cards).

The main objectives of this program are:

Build a fully automated capability for continuous surveillance of consumer/business card transactions and exception alert workflow management / resolution.

Modify the existing test definitions and manual process to accommodate automated compliance testing.

Develop the centralized reporting system in CCT domain that represents the enterprise data needs as a whole for global compliance department.

Responsibilities:

Questionnaires Models implementation

Some of the models implemented are:

i) USCC Pre-Collections Collections Review

ii) USCC Charge-Off

iii) USBC Collection Adjustments and Reages Review

iv) USBC SCRA (Service members Civil Relief Act) Review etc.

Business/Functional requirements analysis

Estimation for individual models

Evaluate questionnaires logic for each model

Creation business flow diagrams

Data analysis to map data to business requirements

Technical Design and review

Implementation and review

Code release management

Production Support

5.

Project Name : AML – Actimize Implementation [Jul 2013 to Dec 2013]

Employer : Infosys Ltd, Plano -TX, USA

Role : Senior Associate Consultant

Domain : Banking and Capital Markets

Project Description:

AML Surveillance is one of the programs in the Risk and compliance arena of the bank (Capital One) which performs the checks on any suspicious activity that has happened or is happening in the bank or using the bank. If the activity is marked as suspicious the transactions are filed with FinCEN (Financial Crime Enforcement Network).

Suspicious Activity Monitoring (SAM) model identifies and anticipates the patterns of suspicious transactions and creates the alerts on accounts. Enhanced Due Diligence (EDD) model scores the customers of the bank and provides a holistic picture to management to make decisions on continuing /renewing the relationship. Alert Ingestion is a model where in the alert information along with the score is fed into the system for further investigation and filing with FinCEN

Responsibilities:

Analyzes and re-engineer’s business processes. Document AS-IS process flows and TO-BE process flows.

Working with BSA to understand the Business Requirements of Customer Metrics System

Creation of application architecture document and creation of design artifacts

Preparing technical documents like technical design documents and other support documents

Conduct review of Design, Code, Unit test Results and other deliverables

ETL project planning, tracking and status reporting

Providing Technical solutions and ensuring that the guidelines are followed during ETL design, development and implementation.

Ensure defect free software delivery

Support activities related to implementation and transition

6.

Project Name : OCRC's Transaction Monitoring and Case Management reporting

Program and CDD KYC 2013 [Feb 2011 to June 2013]

Employer : Infosys Ltd, Plano -TX, USA

Role : Senior Associate Consultant

Domain : Banking and Capital Markets

Project Description:

Clearing Corporation (DTTC) has a regulatory obligation to detect and report any suspicious activity that is transacted, or attempted by through or at Clearing Corporation. Clearing Corporation meets this obligation through its Transaction Monitoring and Case Management reporting program. These are currently maintained within Norkom's Transaction Monitoring and Case Management modules. This Project also addresses the inclusion of selected Clearing Corporation subsidiaries/entities into the KYC process that is currently utilized by clearing corporation firm. KYC process involves Account Administration, Risk Management, Relationship Management and OCRC collaborating in assembling customer Participant profile information and documentation. The primary objective of this project is to provide a technology solution that further supports the AML/BSA program for all Clearing Corporation subsidiaries/entities

Responsibilities:

AML Detection Models implementation:

i) Large share deposits, ii) Large share withdrawals, iii) TIW Referential Entity and iv) TIW Participant Entity

Business/Functional requirements analysis

Estimation for individual models

Evaluate Detection Logic for each model

Data analysis to map data to business requirements

Technical Design and review

Implementation and review

Code release management

Production Support

7.

Project Name : UBS NA CASH IMPLEMENTATION [Jan 2010 to Jan 2011]

Employer : Infosys Technologies Ltd, Hyderabad – AP, INDIA

Role : Senior Systems Engineer

Domain : Banking and Capital Markets

Project Description:

The project involves implementation of the Equity Compliance models as per the Federal laws in Trading and US govt restrictions for the client: UBS-Financial services company. This included implementation of Actimize canned models customized as per the business need of client’s regulatory requirement. The gap left out by the Actimize models are filled by client internal framework application created in lines of Actimize architecture to develop controls.

Responsibilities:

Detection Models implementation:

i.Market price manipulation

ii.Best execution

iii.Rule-92

iv.Fictitious orders

v.Front running large orders

vi.Wash trades

vii.Riskless principal transactions and

viii.Marking the close

Business/Functional requirements analysis

Estimation for individual models

Evaluate Detection Logic for each model

Creation business flow diagrams

Data analysis to map data to business requirements

Technical Design and review

Implementation and review

Code release management

8.

Project Name : AML - NORKOM implemented models [Nov 2009 to Dec 2009]

Employer : Infosys Technologies Ltd, Manama – Bahrain.

Role : Senior Systems Engineer

Domain : Banking and Capital Markets

Project Description:

The project involves testing and validation of NORKOM implemented AML program as per regulatory body of the client (NCBC- National Commercial Bank Capital (Saudi Arabia)) location. This includes Norkom canned models’ implantation as per commercial bank requirements. Testing performed in pilot production. As part of testing and validation we need to ensure the product stabilization including the testing of scenarios, validating customer risk scoring and customer watch list management, customer due diligence and case management and provide signoff on all the test tasks and validations performed.

Responsibilities:

AML models worked on – Large share deposits/withdrawals, Unusually large cash deposits, Several cash deposits at different branches, Rising trend in cash deposits, Large monthly cheque deposit amount, and Large foreign exchange transaction

Writing test scripts for the modules case management including workflow actions, scenario manager, Customer and enhanced due diligence, Watch list Management, administration, Search and Report sections

Executing the test scripts

Preparing test data for scenario's testing and customer risk scoring

Alerts tuning

Identifying/validating the anomalies in the application, raising issues on NORKOM customer support portal and doing follow up for resolving the same.

Defining the process for data backup, data synchronization, data/application recovery and rollback procedures

Creating the users (MLRO and investigators) with required access privileges to required modules

Giving a training session to business users on NORKOM application usage

Applying NORKOM application patches

Documentation of test scripts, issues identified, process and operations documentation

9.

Project Name : Trading Surveillance ACTIMIZE Implementation

[Oct 2007 to Oct 2009]

Employer : Infosys Technologies Ltd, Bangalore – KA, INDIA

Role : Software Engineer

Domain : Banking and Capital Markets

Project Description:

This project involves implementing compliance solutions for Global Wealth Management Group in fixed income and equity trading using ACTIMIZE at client Citigroup. These solutions enable the firm to mitigate their transactional risks, manage their compliance and fraud programs more efficiently. Integrated Case Management enables the compliance officers to streamline the investigation and reporting process.

Responsibilities:

Detection Models implementation:

(a) Blue Sky

i.Blue Sky Exception,

ii.Blue Sky Rejection,

iii.Unsolicited Blue Sky and

iv.Blue Sky Weekly Security Accumulation

(b) Market Surveillance

i.Daily Order Splitting Alert-Single Account

ii.Daily Order Splitting Alert-Multiple Account

iii.Daily Front Running Alert

iv.Daily Pink Sheet\BB Alert

v.Daily Low-priced Security Alert- Daily Non-Pink Sheet\ Non-BB

vi.Weekly Low-priced Security Alert-Common Stock

vii.Daily Cross Trades Alert

viii.Daily Commission Over Grid Alert

ix.Weekly Closing Transactions

x.Daily Short Sales Alert

xi.Monthly FA Trending Alert

xii.Monthly Discretion Trending Alert

(c) Lending – Increasing loan declinations for minorities and protected classes.

(d) Fixed Income Variance

i. Fixed Income Mark,

ii. Fixed Income 3-Day and

iii. Fixed Income Intraday

Business/Functional requirements analysis

Estimation for individual models

Evaluate Detection Logic for each model

Creation business flow diagrams

Data analysis to map data to business requirements

Technical Design and review

Implementation and review

Code release management

10.

Project Name : Open System Training (Infosys IT Global Education)

[June 2007 to Oct 2007]

Employer : Infosys Technologies Ltd, Hyderabad-AP, INDIA

Role : Software Engineer

Responsibilities:

i.Relational Database Management System (RDBMS) training.

ii.Programming languages (C, C++, Java – Core and Advanced, Visual Basic, Oracle, UNIX, LINUX, Perl, java script, html, xslt, ) training.

iii.Banking and Capital markets business domain training.

iv.Compliance products (Actimize, Norkom, Caliber, Cognos) training.

v.Communication skills training.

Contact this candidate