PROFILE

Senior Business Analyst / Project Manager with broad experience in leading large-scale internet, client-server, and mainframe application development and third-party vendor integration projects for Fortune 500 Corporations. Demonstrated expertise and innovation t significantly increase revenues, reduce costs, and increase efficiencies by identifying, proposing, and implementing process improvements. Excellent communicator with strong technical, analytical, and leadership skills. Authored the published novel,

PROFESSIONAL EXPERIENCE

Senior Business Analyst Consultant

As a member of the ForwardThink Group management consulting team at client TIAA-CREF, leading the business analysis t develop medium and long term strategies that align business goals and strategies with IT architectures, organization, and implementation programs.

• Senior Business Analyst / Project Manager Consultant, Business Transformation Systems
• Responsible for all Wealth Management applications.
• Leading the business analysis of a new platform t support all aspects of the Registered Investment Advisory RIA business, with 5 billion of Assets Under Management AUM . Projects within the program include:
• Developing a new web-based Registered Investment Advisory RIA order entry system.
• Performing business analysis t process all data feeds name and address, positions, transactions, security master, pricing, market data, etc. required for Books and Records Regulatory Reporting, Compliance Post-trade Analysis, Sales Reporting, and Commissions. Analysis includes data mapping and gap analysis t determine if data will be sourced directly from Asset Managers SEI, Brinker, Curian, Genworth, Matson, etc. or through a data consolidator Investig / Broadridge or Albridge .
• While documenting the current state of the Sales Reporting and Commissions systems, employed critical thinking that identified major gaps. Presented findings t Senior Management, the result of which will be significant changes t business processes, defining extensive business rules, and developing robust automated solutions.
• Performed the business analysis for creating a process t close accounts in the Books and Records system. This prevented sending the regulatory three-year letter t closed accounts.
• Managed the conversion of 25,000 accounts between RIA programs.

• Senior Business Analyst / Project Manager Consultant, Trading Product Development
• Responsible for the conversion between JPMorgan and Bear Stearns for mutual fund processes and products.
• Spearheading key initiatives in the 200 million trading program for Global Clearing Services. Projects include:
• Developing a new web-based trading application for retail accounts. Working closely with third-party vendor SunGard t provide the front-end.
• Developing an automated web-based mutual fund sales charge calculator which is integrated int multiple front-end trading systems.
• Developing a mutual fund systematic purchase / redemption PIP/SWP application that fully integrates with the Money Movement system.
• Developing a system t identify securities t fund a Required Minimum Distribution RMD and t automatically recalculate the amount each security funds as the RMD amount changes.
• Developing an automated mutual fund Letter of Intent LOI fulfillment process.
• Creating a dashboard for critical notifications t financial consultants.
• Upgrading the restricted stock system.
• Partnering with senior management, business operations, Traders, Compliance, Legal, Global IT onshore and offshore , QA, and vendors SunGard, Charles Schwab, Morningstar t create best-of-breed applications and processes. Successfully manages complex projects through rigorous SDLC.
• Performed gap analysis. Identified solutions and formulated cost and work effort estimates.
• Suggested and implemented a major redesign of the manual mutual fund breakpoint processes that automated the processes using Broadridge market data and increased the accuracy of complex processes. Benefits included reducing firm risk, expediting the mutual fund order entry process, and significantly decreasing the number of rejected transactions.
• Evaluated third-party requirements tools and made presentations t senior management.

Senior Business Analyst / Project Manager Consultant

• Responsible for the information technology effort t implement Wealth as a new business
• product / channel in the United States for Barclays Bank.
• Directed IT effort t implement Pershing as the executing and clearing broker for the new Wealth initiative that targeted Ultra High-Net Worth clients with 25MM in assets. Product offerings included equities, fixed income, equity derivatives, structured notes, and other alternative investments.
• Performed gap analysis of requirements against existing infrastructure. Identified opportunities t leverage existing processes / applications.

Senior Business Analyst / Project Manager, Financial Applications

• Responsible for all broker/dealer commissionable applications across multiple product lines that encompass Equities, Annuities, Mutual Funds, and Insurance.
• Spearheaded IT effort in critical strategic initiative that increased annual revenues by over 12 million and increased customer base by 93,000 clients by implementing new clearing broker platforms Pershing, ADP/Broadridge and adding new clearing charge markup functionality. Gathered requirements from senior management and business units. Set agenda and facilitated meetings with software vendor Xtiva, clearing brokers National Financial Services NFS , Pershing and ADP/Broadridge, and internal application development team t provide customized, integrated solutions. Transformed business requirements int functional / technical requirements for Xtiva
• and for internal application development team. Worked closely with business units t develop and execute comprehensive test plans. Managed project plans, issues, risks and expectations. Awarded prestigious Catch A Rising Star Award by the President of Independent Financial in recognition of exceptional performance for delivering this high-profile, time-compressed, complex project on-time and within budget while producing the highest quality products.
• Revamped existing front-end processes from account opening process through order entry. Wrote requirements for third-party vendor Scivantage.
• Managed the transition from Independent Financial t acquiring company LPL Financial. Performed gap analysis and developed short and long-term solutions. Converted 325,000 accounts and associated data after extensive data mapping.
• Successfully completed the Books and Records Three-Year Notification project. Quickly assimilated int Independent Financial's environment, learned new tools and the business, and delivered a critical product in first five weeks of employment while working under extremely challenging circumstances, including a major scope change and a tight, SEC-imposed deadline. Researched SEC regulations and developed viable options t satisfy SEC regulations. Worked closely with the Broker Dealer, Compliance, Legal, and Information Technology departments and print vendor Peder Press t negotiate the plan of action and drive the execution.
• Built strong relationships with internal business partners, vendors and clearing brokers.
• Created SDLC compliant artifacts including business, functional and technical requirements documents, fully dressed use cases, business process maps, data dictionaries, mockups, prototypes, comprehensive development and user acceptance test plans, project plans and estimates.

Business Analyst / Project Manager, Asset Management

• Responsible for front and back office applications for Mutual Funds and Asset Management products, which generated 1.2 billion in revenues annually.
• Coordinated, directed and managed the strategic initiative t perform business process improvement on the Letter of Intent LOI process. Interfaced with multiple business units including Mutual Fund Operations, Mutual Funds Marketing and Compliance. Benefits realized included reducing LOI discount errors on trades by 98 percent, establishing audit trails, enforcing compliance regulations, providing LOI notification and warning mechanism, creating an LOI database, and developing an LOI tracking and repayment process for contracts where the LOI obligations were not met.
• Managed the NASD B Share Class Remediation project. Working with the NASD, identified and documented the complex process t identify clients eligible t receive compensation, calculate payment amounts, produce and mail agreement letters, track responses t letters, and issue payments accordingly. 20 million in payments were disbursed t 27,000 clients.

Senior Business Analyst, Applications Development Support

• Provided business analysis and technical support t mission-critical object-oriented web and mainframe financial applications.
• Identified process improvement that resulted in recurring annual savings of over 80,000. Suggested, designed and led implementation of an automated tool t deploy Windows registry entries across enterprise application servers. Reduced registry entry deployment time by 95 , increased accuracy of data, provided detailed audit trails, and employed functional security.
• Conducted technical architecture reviews of application designs across projects and made recommendations.
• Created the web technical training curriculum and instructed several classes.

Project Leader, Retail Branch Systems

Led the design and development of object-oriented Intranet and Client-Server applications for 19,000 financial consultants and sales assistants located in 500 offices nationally.

Project Leader, Retirement Plan Systems

Led the design, development and support of all retirement plan regulatory, operational and marketing applications. Managed the conversion between Smith Barney and Shearson for all retail retirement processes and products.