Manager Back Office

Mona Syal

732-***-**** ********@*****.***

SUMMARY

Versatile IT and financial services professional with experience in Capital Market products and specializing in Post trade technologies with emphasis on Broadridge & FIS Suite of products.

19 years of experience in roles such as Technical/Functional SME, Lead Product Manager, Relationship/Business Manager, Project Manager/Business Analyst, UAT Lead, Data Governance Lead, Implementation specialist and Application Support/Problem Management.

Extensive interaction with end-users supporting Middle Office and Back Office (Trading Desk, Operations and Finance).

Detailed knowledge in business processes and technical implementations of Fixed Income & Equities Trading & Settlement, Wealth & Asset Management and Reconciliations Systems, with an in-depth understanding of emerging technologies in the financial sector.

PROFESSIONAL EXPERIENCE

Broadridge Financials

Subject Manager Expert in Broadridge Products (IMPACT, BPS, GLOSS, GPTM & Shadow Suite) with extensive experience in Product implementations, Client on-boarding, Professional services, Compliance & Regulatory directives and Conversions to emerging BR capabilities. Collaborate with BR clientele (Operations Subcommittee) for Industry initiatives and align product roadmaps to deliver the technical and operational solutions.

Lead Product Manager (Shadow Financials) March 2019 – Aug 2020

Lead Product Manager within Shadow Financials (a Broadridge Company) supporting implementations, enhancements and support of the Shadow product portfolio, including Shadow Suite, DataMart, Focus, Shadow Connect (ETL) etc. ShadowSuite - provides real-time, exceptions-based solution for middle and back-office post-trade processing, asset servicing, reconciliation, clearance, settlement, treasury and accounting for various asset classes - Equity, Fixed Income, Options, Futures, FX, Swaps and Cryptocurrencies.

Specific responsibilities include:

●Product support (Agile) for current clientele and implementations for onboarding new clients. Supporting, analyzing and leading the agile development and enhancements of key capabilities with emphasis on Fixed Income & Settlement operations with DTC, FICC and Fed.

●Primary focal in designing and implementation of FED settlement functionality for clients using third party vendor components. Designed and implemented the MSRB regulatory reporting functionality within ShadowSuite.

●Responsible for all Industry initiatives for the Shadow roadmap including developing and delivering solutions to both licensed and SaaS clients. Initiatives covering FICC GSD (Same Day Settle Phase 1 & 2), FICC Common Margining, DTC/FICC- Alpha numeric Format Change, BNY(ACAP), Regulatory initiative-CSDR, SWIFT SR & MX Standards 2020 changes and several others.

●Primary Focal for all DTCC products support for Institutional Trade processing (ALERT, OMGEO-CTM, OMGEO-OASYS). Designed and implemented FICC-Sponsored access enhancement within ShadowSuite.

●Manage all Vendor-Client relationships with external entities like BNY Mellon, SWIFT and clearing corporations like FICC, DTCC and NSCC.

●Collaborate with Architects and development team to provide design solutions for various enhancements adhering to the development best practices and regulatory & compliance guidelines. End to End Product support from designing, testing and implementations. Troubleshoot business/ technical issues to ensure minimal operational impact to clients.

●Provide product level nightly support for all releases and EOD processes for the SaaS solution for clients.

●Participated in BR collaboration efforts with Amazon Web Services (AWS) to accelerate digital innovation across financial services and other industries to drive efficiencies and improve the customer experience.

Project Manager (GTO-Conversions) April 2018 – March 2019

GPS (Global Processing services) Test Lead for the GTO-Conversions group for the ICBC Conversion project.

●Built all Test scripts (end to end functionality from IMPACT (Fixed income settlement system) to BPS (Equity settlement system) for all Fixed income and Equity products and operational processes. Scripts also include testing into MBSE (Mortgage Back Settlements) and GLOSS (International Settlement system).

●Involved in the Setup of the different environments for GPS within IMPACT/BPS and other BR-Suite of products.

●Worked with the PMO to plan, coordinate and perform scripted and other testing events including SIT/UAT/MOCK conversion for the client implementation.

BNP Paribas

PMO- Consultant July 2017 – March 2018

Worked as Project Manager and Lead business analyst within the Capital Markets Trade Processing; Custody, Clearance, & Regulatory IT areas with specific focus on Data quality and Data governance.

Project Manager and Business Analyst: Data Governance - DQIP

As Project Manager and lead business analyst, I was responsible for setting up the primary Data governance processes for GMIT systems (BR-IMPACT), OMR (Order Management), PDM (Product Data-Referential) and Prime Brokerage – BR. Also served as the liaison with EDM (Enterprise Data Management) and Data stewards to ensure data quality and data fidelity with Global Markets Systems.

●Worked with the technical team to define tasks to trace Data flows and define current data governance and data quality checks through the applications covered by the project.

●Reviewed current data governance processes and data quality checks and document them in the defined format.

●Confirmed all data governance processes and deliverables were properly handed off to the users and data stewards.

●Ensured the project followed the Group Policies and Procedure – including proper Project Governance and reporting.

●Developed all Program Governance artifacts for the DQIP project – PID (Project Initiation), GA (Governance Assessment) and CAP (Architectural Changes) with the Project Lifecycle in BNP mandated Project SDLC methodology.

●Developed & managed the project plan and ensured successful (on time and on budget) completion of projects.

●Ensured clear communication of goals, budget, risks and level of effort involved, as well as the progress of the project.

Business Analyst – Global Markets IT

Undertook several projects as lead business analyst under the Global Markets Fixed Income & Prime Brokerage IT:

●Regulatory: Abnormal Trading pattern- Managed the implementation of changes required to oversee Abnormal trading patterns for fixed income trading business.

●Regulatory: FINRA 4210: Primary BA to analyze the changes required in Internal feeds between IMPACT(BR), NYBOSS (BNP Internal Fixed income transaction management system) and ALGO to identify CMBS/RMBS securities for FINRA4210 (Margin) requirements.

●Electronic statements and Confirms: Primary BA for solutioning Customer Confirms and Statements to Electronic mode for BNP Fixed income and Prime brokerage business.

●Broadridge IMPACT- Enhancements and 945/946 Upgrade: Helped with planning of several tasks for the upgrade of ICI-IMPACT (Fixed Income Settlement system) and formulated enhancement documentation, testing and implementation of IMPACT enhancements such as Auto resolution of Open Item and Pair off enhancements for Operations.

Barclays Capital

PM - Securities Settlements and Operations May 2015 – July 2017

Worked as Back Office Operations Lead - PM for the Octon Program. This program is Barclay’s consolidation of all US legal entities under a single US Intermediary Holding Company (IHC). The IHC will have Federal Reserve (Basel 3 based) capital, liquidity and leverage requirements, including both US Tier 1 leverage and ‘supplemental’ ratios. As part of the set-up of the IHC, the Equities and Equity Finance businesses reduced their balance sheet usage in IHC. A key business driver for the Migration of Bank Prime and Listed Firm Hedge assets from the US Broker Dealer (BCI) to the UK Bank (BBPLC) is to reduce the leverage ratio requirements under the US IHC structure.

Functional Lead and Business Analyst: OCTON-Settlements and Asset Servicing

Back Office lead for Coordinating test plans, testing, deliverables and all the associated exceptions and error management for BCI Back Office BPO & Retained Oversight team.

●Worked with all functions of Settlement and Asset Servicing – P&S, DTC Settlements, Securities Lending, Buy-Ins, Options, FED settlements, Corporate Actions, and Dividends teams to articulate all the test cases and process improvements associated with the change. Worked with technology teams and middle office to trace specific business requirements to functional requirements.

●Worked with Broadridge to establish a new BPS Instance for to provide a clearance and settlement platform for the BBPLC entity inclusive of on-going steady-state support, implementation management, and testing coordination.

●Managed the BR-BPO relationship and served as the primary contact for environment management, access control, metrics capture & reporting and other program management activities for Octon.

●Worked with external vendors, Network management and Internal IT teams to establish DTCC, NSCC and Loanet Participant Membership required to establish PLC entity.

●Also supported Octon specific projects in the areas of Liquidity, Execution and Risk Management (LERM) and Fixed Income, Fed Settlements and DTCC participant conversions.

In addition to the above Octon specific responsibilities, I also led, managed and helped in the implementation of several other projects including the upgrade to IE-11 for the DTCC and rationalization & upgrades to end-user applications that are leveraged by operations. I worked as the operations liaison for DTCC-T2 (Shortened settlement) industry initiative.

Citi

Vice President (Institutional Clients Group - Business Process and Analytics) September 2011 – April 2015

Team member of Broadridge Migration Program, where Citi’s current Settlements platform was integrated with the Broadridge suite of products (IMPACT, BPS, ICS, MBSE, GLOSS and FinancePRO). This broad-based program includes (but is not limited to) all functions across back office processing, trades processing, P&S, clearance & settlement, asset servicing, stock loan, finance, compliance, regulatory reporting, reconciliation and operations control.

Project Manager: ICG-PMO: Operations and Technology (January 2012 – April 2015)

●Worked with Broadridge and internal business teams, technology and operations stakeholders to provide on-going steady state support, and assist in managing the implementation of important business and regulatory enhancements and necessary maintenance releases. Also worked with all work streams and stakeholders to provide day-to-day direction of test plans and staging activities.

●Worked with technology teams, front office and middle office to trace specific business requirements to functional requirements and developing BRDs and FRDs.

●Ensured that all requirements and testing processes and documentation followed compliance and regulatory guidelines. Proficient in error and exception management tools such as JIRA and XM reporting.

●Coordinated all testing (UAT and regression), process integration and enhancements for the program around conversion to Broadridge systems namely ATD –BPS (505), CBNA/CGMI – IMPACT, BPS and MBSE and CITI Internal Systems. Developed all testing related materials to closely track and manage testing activities, defect management, test automation and performance testing and determined the appropriate tools and techniques for test planning, execution and reporting.

●Led the installation of SHOWCASE Server (SQL Reporting tool out of BR-IMPACT/BPS) and was the primary resource for developing, implementing and managing all SQL based queries for the Fixed Income settlement system.

Consultant (Sr. BA) FPG Group - Broadridge Implementation September 2011 - January 2012

●Was responsible for Project Management, Analysis and UAT testing within the Finance work stream for the ongoing conversion of Citi-ATD (Convergex) to Broadridge (BPS)

●Leveraged my understanding of Broadridge products (IMPACT and BPS) to analyze current finance & reconciliation systems and identified gaps between internal data and Broadridge data.

●Performed reconciliations to ensure that data migrations as part of Broadridge implementation did not impact the Chart of Accounts or the General Ledger

●Was involved in troubleshooting issues with the converted CBNA Bank migration.

Barclays Capital

Vice President (IT Operations and Settlement) March 2010 – September 2011

●Worked within the Fixed Income IT Operations group, supporting the Fixed Income Operations and Mortgages Business. QA/ Assurance testing lead for IMPACT.

●Responsible for maintaining testing / UAT processes for all new enhancements, bug fixes and trading flows for the Fixed Income (Broadridge- IMPACT) product line

●Responsibilities included production support, business analysis, requirements implementation, application management, and overseeing all support activities relating to US Fixed Income business which uses Broadridge (IMPACT) and other products including MBSE Expert, SYSTR (Barclays Middleware) and FinancePro.

●Additional responsibilities included creating functional/ business requirements and workflow documents (including working with Compliance, Legal, Regulatory and Operations teams), serve as liaison between Broadridge and internal application teams, work with development teams to ensure requirements are understood and implemented appropriately

●Ensured that SDLC best practices were followed throughout the project life cycle, including stakeholder sign offs, issue escalation, document organization and managing overall project delivery.

●Also responsible for (and hands-on experience with) RTB (Run the Bank) activities like upgrades, connectivity and management of external interfaces and feeds from Broadridge (IMPACT) to other homegrown and vendor systems.

●Hands-on experience on Broadridge-IMPACT, Broadridge-BPS and Broadridge- MBS Expert

HSBC

Consultant (Post Trade- Operations and Settlement) Sept 2008 – March 2010

●Worked within the Post Trade IT Operations group, supporting the Fixed Income, Mortgages, Global FX -FFI, Equities and Derivatives Trading Systems.

●Primary responsibilities include External Vendor management (DTCC, NSCC, FICC and other Settlement and Clearing corp.), Business analysis, requirement implementation, application management, and overseeing all support activities relating to US Fixed Income business which uses the Broadridge (IMPACT) and Broadridge (BPS) bureau service and other services.

●Responsible for all Data retention, Compliance and Regulatory Reporting for the Fixed Income (Broadridge- IMPACT), Equities (Broadridge -BPSA) and Foreign Fixed Income (FISCAL) systems.

●Also responsible for upgrades, connectivity and management of external interfaces and feeds from Broadridge (IMPACT).

●Hands-on experience on Broadridge-IMPACT, Broadridge-BPS, Broadridge- Postedge.

Dresdner Kleinwort - DRKW (Now Commerzbank AG)

Consultant (Capital Markets IT- Operations and Settlement) July 2001 – August 2008

●Within the Investment Banking Operations– Capital Markets IT group, supporting the Fixed Income, Mortgages, Global FX Money Market, Agency lending, Securities Lending, Equities and Derivatives Trading Systems at the company.

●Primary responsibilities included project management, business analysis, feature implementation, application management, and overseeing all support activities relating to US Fixed Income business which uses the Broadridge (IMPACT) and Broadridge (BPS) bureau service and other services.

●Responsible for analysis and resolution management of client facing support issues, technical support issues in the production environment and other proactive work to improve the operation of the platform.

●Managed the conversion of Broadridge (IMPACT) from a licensed to a service bureau model and was completely responsible for all conversion activities, including project planning, resourcing, and business analysis and vendor management. Once implemented, I was responsible for managing upgrades, connectivity’s to and reconciliations with Broadridge (BPS) and other settlement processes as well as requirements implementations to the Broadridge (IMPACT) system.

●Managed all interfaces between different Broadridge products (IMPACT, BPS and IMSD) and all EOD processing and data reconciliations between Broadridge and DRKW.

●Managed the Disaster Recovery processes and implementations as well as the development, implementation & support of external client interfaces.

●Designed, developed and implemented the pricing service for US fixed income business using external vendor models of FT Interactive, Bloomberg and Reuter’s data. Also managed and maintained the IPV service for the finance and product control group of the fixed income business.

●Hands-on experience on Broadridge-IMPACT, Broadridge-BPS, QUANT, Equities/Derivatives Trading (Fidessa/MLX-Omega), IMAGINE, Bloomberg, Global One (Agency Lending/Securities lending/Stock Loan), Martini and Ebond (In-house Bond Trading System).

Broadridge (formerly ICI/ADP)

Programmer/Business Analyst June 2000 – June 2001

As Programmer/ Analyst my responsibilities included developing and supporting the Fixed Income Trade Support Application (IMPACT). I was also involved in development of the Web based version of the application

●Analyzed product requirements and translated them into detailed system functionality. In addition, Developed and maintained software components in support of emerging business requirements

●Additionally, developed test cases and test data corresponding to the test requirements in order to maximize verification coverage of system variables. Performed unit-testing ensuring that the programs perform according to program specification and conform to the standards for application development.

●Part of the team that developed the global security application (IMSD) which involved the use of MQ Series that transmits financial information across other Broadridge systems.

Education

Degrees

●MBA (Finance major)

IMT Institute of Management Technology (IMT), Delhi University, India

Training

●AWS Cloud practitioner Essentials

●PMP Prep Certification (IIL)

●Project Management Fundamentals

●Databases-SQL, Oracle DBA

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