Business Analyst Project Manager

CHARLES D. BENNETT, Ph.D., CBAP, PMP, CSM, * Sigma

Address: *** **** **** **

New York, NY 10021

Email: *******.*******@*****.***

Cell phone: 917-***-****

SUMMARY

Certified Business Analyst/Project Manager offering the ability to build and maintain strong relationships with business, operations, compliance, and technology partners while delivering needed organizational transformations. EDUCATION, CERTIFICATION & TRAINING

University of Alabama, Huntsville, Alabama

● Ph.D. in Industrial and Systems Engineering; June, 1978. Major in Operations Research, Minor in Econometrics

● M.S., Industrial Engineering; June, 1972

● B.S., Industrial Engineering; June, 1970.

Project Management Institute – Project Management Professional (PMP) certification awarded by PMI. Certification Number: PMP #1263728. Member since 2009 & recertified in 2013 and 2017, and 2021.

Stony Brook University, Stony Brook, NY – Business Analyst Certification awarded in 2009

International Institute of Business Analysis (IIBA) – Certified Business Analyst Professional (CBAP) certification awarded by IIBA. Certification Number: CBAP #1056. Member since 2010. Recertified in 2013, 2017 and 2021.

Agile Certified Scrum Master (CSM), Certified in August, 2019

Lean Six Sigma Certified (May, 2019)

PROFESSIONAL EXPERIENCE

UBS Wealth Management Americas

Enterprise Modeling Group within Data Management Office Business Analyst - February 2022 - Present.

● Generate project plans for expansion of the Wealth Management Americas business domains within the Data Governance Platform (DGP)

● Using Power Designer to communicate expansion and obtain update approvals from Data Owners and Stewards.

● Interviewing SMEs within Wealth Management business lines to perform data governance model enhancements and expand Data Dictionary to include Regulatory reporting requirements and other multi-tenancy applications such as MegDP.

● Worked with offshore IT developers in an Agile methodology to gather existing database structures using supplied DCLGen’s. Credit Suisse Asset Management (CSAM), 11 Madison Avenue, New York, NY Senior Front Office Business Analyst - August 2021 - January 2022 Supporting investment operations, IT with the Charles River (CRD) Order Management System (OMS) within the Quantitative Investment Strategies

(QIS), Municipal Bonds, and Commodities desks of CSAM.

• Supported the Swaps trading desk with UAT testing related to the planned transition of CSAM positions on December 31, 2021, from using LIBOR benchmark to the new Secured Overnight Financing Rate (SOFR) benchmark.

● Applied Agile change methodology with offshore Dev team, employing JIRA and Confluence artifacts for customized API interfaces with CRD.

● Authored BRD’s for business requests (Including QIS and Muni Bond desks) and worked with portfolio accounting and investment operations team on Solution Designs.

● Planned and executed UAT testing with the traders for Charles River OMS upgrade from version 9.8 to version 21R1, for the following products:

o Single Name Equity Swaps

o Equity Index Swaps

o Excess Return Swaps

o Bond Swaps (IBOXHY and JPEICORE)

o Foreign Exchange

● Maintained ongoing Book of Work tracking system and held bi-weekly status meetings with the traders and operations.

● Worked with Investment Guidelines & Management (IGM) group to perform SQL analysis for setting up new Compliance rules in CRD.

● Worked with portfolio Accounting (SS&C) for SQL reporting and customized file interfaces with CRD.

● Authored workflow documents to describe Front Office steps for entering swap orders and hedging the FX exposure into CRD. Broadridge Financial

Senior Business Analyst/Project Manager - January 2021 - July, 2021

● Production Readiness effort to prepare for the WMAP (Wealth Management Americas Program) program go-live.

● Focus on Service Level Agreement contractual agreements to be established between Broadridge and UBS for the following Product services:

Availability

Accuracy

Speed (UI Response time)

File deliveries (batch)

API's Requester and Responder.

RTO/RPO.

UBS Private Wealth Management

Senior Business Analyst

August, 2019- January, 2021

● Re-engineering of UBS monthly and quarterly client Performance Reporting engine as part of WMAP, to enable functional migration to selected outsourcing vendor systems.

● Gather and document WMAP Future State requirements from UBS Wealth Management business for Performance Reporting SQL extracts, including:

Asset Wizard extracts including Benchmarks, Positions, Rates of Return, Transactions and Security Price files, resulting in Functional Requirements Document (FRD) and facilitated obtaining approval from the UBS business.

Held Away Outside Account files, including Asset Balances, Liability Balances, and Positions. Wrote FRD to capture key data for Outside Accounts and worked with development team to understand sample files.

For UBS Resource Management Account (RMA), debit card processing, check payee updating and statement generation. Gather requirements and documented in FRD and worked with portfolio accounting team to obtain approval.

● Gathered required specifications for web services APIs used for real-time intraday updates to the performance engine. Applied Postman application to test API calls.

● Work with on- and off-shore solution architecture teams to ensure understanding of functional specifications and allow estimation of work required and schedule for delivery.

● Interfaced with off-shore QA Group and used SQL for resolution of database and UI issues discovered during testing.

● Established and distributed Open Items spreadsheet for tracking and resolving issues.

● Assisted with identification of dependencies, milestones and project planning. BNP Paribas Global Markets, New York

August, 2018 - March, 2019

Project Manager/Senior Business Analyst

● New product initiation within Equity Derivatives business to permit BNP to issue SEC-Registered fixed income Structured Notes. Worked with business sponsor to obtain approval of Project Initiation Document (PID) and formulated project plan with milestones.

● Engaged with Solution Architects to establish Solution Design, which included: structuring the fixed income trade, pricing the trade, booking, P&L and risk monitoring and hedging using the Arbitrage desk, clearance and settlement, payments, system reconciliations, all within the control parameters of the Sarbanes-Oxley regulatory mandate.

● Estimated required effort and generated Program and Project Plans with resourcing and delivery milestones.

● Authored BRD to state requirements related to how equity derivatives are used to generate fixed income Structured Notes, and the management of Market Risk using equity swaps.

UBS Investment Bank, New York

Feb 2017- July, 2018

Business Analyst

Within Group Technology, supporting Cash Equities and Rates & Credit business with respect to e-commerce projects including:

● Updating of Market Risk Management controls that provide direct OMS market access to the Exchanges. Provided back testing to gather evidence that controls were working properly.

● Expansion of US Equity Order Flow to include the new Mexican exchange (BIVA), with Smart Order Routing, Algo slicing of orders, and Best Execution rules as in scope. Also, functioned as BA to gather payments requirements and wrote the BRD.

● Gathering requirements into BRD for Exchange Traded Derivatives risk management controls into the OMS for US order flow.

● QA manager on 2017 Annual review and back testing of risk management controls that are built into UBS portfolio accounting systems that provide direct market electronic access to the Exchanges.

● Capturing of business requirements for US order risk management controls for Exchange Traded Derivatives.

● Solution Architect on project to establish market link to Dark Pool exchange in Canada

● Business analyst on regulatory mandate termed the Consolidated Audit Trail (CAT) project. Deutsche Bank Private Wealth Management, New York Aug 2013 – January, 2017 Business Analyst - Asset and Wealth Management Solutions – Global Technology & Operations

● Migration of the Wealth Management Capital Markets trade workflow from four instances of Charles River to one instance of Blackrock Aladdin. Functions included price discovery, pre-trade compliance, trading (order entry and execution); and post trade booking, clearance and portfolio accounting system (Geneva). Documentation of Current and Future State workflows (As-Is and To-Be). Scope of analysis included roles of: Client, Relationship Manager, Trader, Middle Office, Payments and Operations, and Counterparty. Products included Cash Equities, Fixed Income, FX, and Structured Products. Focused on design and implementation of a new Trading MIS Data Lake, with reporting capabilities (using QlikView and QlikSense BI tools). Established access management capabilities based on user identifying parameters for the new MIS Data Lake. Reports were imported from the CRM system (Salesforce) to manage client positions and trading activities. Made presentations to key portfolio managers as part of the on-boarding process which enabled the use of these Business Intelligence tools for gaining insights into their client trading activities and patterns.

● Enhancement to Charles River Investment Management System for Global Fixed Income Desk. – Migration of US trade blotters to New York from Frankfurt desk for US accounts. Including test planning (Test Plan, cases and scripts) for SIT and UAT testing.

● Gather requirements for Dodd Frank regulatory changes needed for OTC Derivatives Margin calculations – Wrote Functional Specifications Document for each business line that was impacted by the Dodd Frank/EMIR regulations for uncleared margin for OTC derivatives, to include Value at Risk (VaR) calculations required.

● Established program plans for evaluation of each region within Asset and Wealth Management as to the implementation need of Dodd Frank/EMIR solution. Use Clarity project management tool for milestone and bi-weekly status reporting with the PMO.

● Elicited business requirements within AWM for CSDR migration to T+2 settlements for range of Equity and Fixed Income securities traded on European exchanges. Identified impact to all trading systems and operations globally.

● Elicited business requirements for Volcker project involving writing AWM BRD for reporting DB investment positions in funds and calculation of actual positions against regulatory 3% limit. Developed functional specifications and worked with in-house developers to build the application and test it. Strategically, planned and designed the migration to new Finance Data Warehouse which will act as golden source for all Deutsche Bank regulatory reporting.

● Gathered regulatory requirements for CCAR stress testing as well as Basel II capital reserve adequacy. Barclays Wealth and Investment Management, New York, NY Jul 2012 – Jul 2013 IT Business Analyst, Private Wealth Division

● Migration of investment management order flow to the new Charles River OMS for Barclays Wealth Management product called “Investment Philosophy Portfolio Multiple Accounts” (IPPMA). Go-live date for the migration was June, 2013.

● Gathered requirements from BWA (Barclays Wealth Americas) advisory business unit and authored Business Requirements Document

(BRD) as well as Functional Specifications Document (FSD) for application to be used to establish and maintain IPPMA portfolios, each consisting of a set of BWA client accounts and payments. Additionally, gathered requirements for Client Reporting, and worked with client on-boarding team to establish criteria for establishing set of BWA accounts that are in scope for IPPMA. Interfaced with the Salesforce CRM system.

● Configured the Advisory business rules for Compliance monitoring that were employed within the Charles River application. Dreyfus

The Bank of New York/Mellon Asset Management, New York, NY Apr 2008 - Jul 2012 Solution Architect - Business Solutions Delivery (BSD) Division

● Update of the Dreyfus.com fact sheets for all money market funds, to include new fields such as weighted average maturity and credit rating compositions from S&P, Moody’s, and Fitch.

● Performed business analysis in 3-month Agile project to update the precision level for net asset value amounts stored by all Dreyfus applications, as per Securities Exchange Commission (SEC) regulations regarding money market reform. Worked with SEC agency to clarify requirements.

● Migration project to change the transfer agency used by Dreyfus from DST (outside vendor) to the internal asset servicing group.

● Migration of municipal bond and money markets trading applications, running the Charles River order management system (OMS) to a new Charles River Center of Excellence. Migrations included the Dreyfus instance in New York and the Standish instance in Boston. Established and entered concentration limits into Charles River which were required by Pre-Trade Compliance.

● Updating of daily money markets holdings reports to the Dreyfus.com web site, to include reporting of asset backed commercial paper separately from regular commercial paper.

● Update of Dreyfus.com fixed income and equity holdings reports to include all off-balance sheet positions such as options, futures and swaps.

● Re-engineering of the management fee process, whereby all advisors charge the funds for fees including management, 12b-1, shareholder services and administrative fees, to include waivers and reimbursements. Project included authoring of BRD, FRD, and high level design documents for construction of in-house web application. Scope included calculation of payments and fees, communication of the authorization for the transfer funds to the custodians and reporting back to the Dreyfus line of business.

● Re-engineering of the expense accrual process to optimize the processing of expense accruals. Project involved generation of Business Requirements Document (BRD), Functional Requirements Document (FRD) and high-level design for the in-house construction of a new expense accrual system, automatic matching of payments against open accruals, and re-engineering of the workflow used to adjust the accruals used to calculate the daily net asset value of each Dreyfus fund.

● Leverage system capabilities to automate compliance testing of certain Cash Investment Strategies (CIS) policies. This involved designing an application that uses reference data from internal and external sources to scan transaction activity and account information to isolate exceptions that compliance personnel can use to assess the compliance with CIS procedures. Swiss Re Asset Management, New York, NY;

Jun 2006 - Dec 2007

Senior Business Analyst, Global Fixed Income

● Facilitated client workshops with fixed income portfolio managers, analysts and Chief Investment Officer to compile requirements for a new fixed income OMS for managing over $110B in fixed income assets. Issued request for proposal and managed evaluation of vendor proposals, to include Charles River, Latent Zero, and Blackrock Solutions. Completed project and assisted in the decision making process to implement the Blackrock solution application. Obtained steering committee approval for the contract and designed the architecture for interfaces to/from the Blackrock solution, including derivative positions from the Murex and Calypso applications.

● As an interim solution, functioned as an Application Development Project Manager. Developed enhancements to current in-house asset management tool, the Global Portfolio Guidance Model (GPGM) using UML use cases to model the requirements. Used SQL for trouble- shooting and communicated with IT resources in Zurich and the data center in Armonk, NY.

● Developed business requirements for derivative orders (futures, options, swaps, swaptions) from Murex and Calypso applications into the Hi Portfolio accounting system.

● Contributed to development of the requirements related to compliance guidelines within Line data's LongView trading platform.

● Developed business requirements for credit default swap (CDS) trading used for hedging purposes to remove credit risk from the Fixed Income portfolios.

● Developed business process workflows for hedge accounting, in which floating rate asset backed securities are paired with interest rate swaps to enable the asset matching with the cash flows of long term (30 year) underwriting liabilities. Feb 2006 - June 2006

Project Manager/ Business Analyst, Citigroup Asset Management Worked with Fixed Income Traders (Municipal Bonds) to gather requirements for new Citigroup Credit Risk Management application relative to the Basel II Capital Adequacy guidelines.

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