SUMMARY:

• Over eight years of experience as a Financial Compliance Analyst & Automation Tester/Software with emphasis on both manual and automation testing efforts
• Expertise in writing and executing test plans, test scripts and test cases and performing functional, integration, regression, product, installation, system, acceptance, load, stress and performance testing for both client server and web applications
• Responsible to write robust, scalable, high - performance, code using object oriented Apache, MySQL and other server side technologies to create dynamic web applications with multiple data serializations.
• Extensive experience writing and executing automated test scripts using QTP, WinRunner, LoadRunner, TestDirector and performing manual testing on Windows and UNIX platforms.
• Experience in non-functional requirements with various stakeholders
• Experience in tools like HP Load Runner, HP Diagnostics, Jmeter, Native Performance tools for Web/App and DB layer
• Experience writing Selenium scripts to automate execution of test cases simultaneously in multiple browsers using Selenium RC and PHP Unit. Developed automation framework for Selenium RC.
• Thorough knowledge of all phases of Software Development Life Cycle (SDLC).
• Expertise in Functional testing, Integration testing, Regression testing, GUI testing, Back-end testing, Black Box testing and System testing.
• Experience in front-end functional testing and back-end database testing.
• Experience in testing of Client/Server and Web Based Applications
• Expert in validating Databases, Oracle and MS SQL Server using SQL queries.
• Experience with Mobile Automation Tool Device Anywhere and Appium automation framework and knowledge of SeeTest.
• Sound knowledge of Capital Markets, Derivatives, Commodities, FX, Equities and Fixed Income, Front office, Treasury, Finance and Operations, and trading.
• Experience with Money Markets, Interest Rate Derivatives and Mortgage-backed securities, Equity, Total Return Swaps, Inflations Swaps, Equity Derivatives and Fixed Income.
• Developed test frameworks for UI regression test automation and executed unit test automation (Java/JUnit) primarily for API/Web Services.
• Strong interest in investment management (multi-asset portfolios): portfolio risk & analytics, manager selection & due diligence, portfolio construction.
• Extensive experience with various phases of implementations of Charles River, Sentinel and Blackrock, focusing primarily on Compliance and Fixed Income, with secondary emphasis on Order Management and Equities.
• Worked with business users, management and end client on Investment management agreements ( Confidential )
• Business-side experience of Compliance BAU enables greater communication with Compliance and Risk groups.
• Excellent technical writer who has authored many Management Reports and Test Cases, and designed and delivered training documentation and post-implementation support procedures.
• Worked on Agile and Extreme methodologies using TDD, SCRUM, MDD, etc.
• Manual Functionality Tests of Web pages including HTML Code Check, Cross-Browser Compatibility Tests, Browser-based Testing
• Good experience in tracking bugs and generating reports using Test Director, Quality Center and documenting test documents using MS Office tools
• Expert in configuration management and source code management on VSS, CVS, and Subversion.
• Experience in basic database design
• Worked on Scheduling, automating PeopleSoft batch and Adhoc jobs
• Proficient in writing and executing SQL queries using joins and SQL functions to perform backend testing.
• Good experience as a Data warehouse tester in testing the ETL process.
• Extensive knowledge developing and executing shell scripts for testing in UNIX environments and Linux environment

TECHNICAL SKILLS:

Testing tools: QulityCentre 10.0/9.0/8.0, Win Runner 7.5/7.0/6.0, Load Runner 7.5/7.02, Quick Test Professional 11.0/10.0, Selenium IDE and WebDriver, soap UI

Bug tracking tools: Rational Clear Quest, Test Director 8.0/7.6/7.2/7.0, PVCS Tracker, Jira

Languages: Java, C++, UNIX shell, TSL, 4Test, XML, JavaScript, VB Script, SQL, HTML, CSS

Operating Systems: Solaris 9.0/8.0/7.0, Windows 95/98/NT/2000/XP/7, RedHatLinux, Suse9.2, FedoraCore3, HP UX, IBM OS/360, MS-DOS

Web Servers: IBM Web Sphere, BEA Web logic, Apache Tomcat, IIS 4.0

Database Systems: Oracle, SQL Server, Microsoft Access, DB2

Revision control: CVS, ClearCase, Subversion, Visual SourceSafe

Trading Systems: Charles River, Blackrock Aladdin

PROFESSIONAL EXPERIENCE:

Confidential, Wall Street, NY

Financial Compliance /QA Analyst

Responsibilities:

• Comparing Confidential with the client portfolio in Confidential
• Purpose the new rule to the portfolio manager
• Reviewing the Financial data from Bloomberg and Barclays.
• Provide real-time support for Portfolio Managers and Traders to remediate malfunctioning compliance rules.
• Develop overall workflow guidelines from inception of new accounts to live trading.
• Coordinate efforts between New Client Onboarding, Guideline Monitoring, Legal Compliance, and Portfolio Management to define guidelines
• Work directly with the head of compliance in the Americas to develop, document and execute Standard Operational Procedures for new account setup and enhancement of compliance rule
• Built relational database with SQL Server to analyze market data, yield curve and fixed income products.
• Reviewed the Requirements and analyzed them.
• Involved in complete Software Testing Life Cycle (STLC) and SDLC.
• Assisted in Creating Detailed Timelines, Test Plans and Test Strategies for major releases and organized strategy review meetings.
• Conducted extensive Smoke Testing, Functional, Regression Testing and Sanity Testing on the application.
• Develop and enhance testing process documentation including a suite of Regression scripts.
• Good experience in Behavior driven technique (BDD).
• Analyzed scalability, throughput and load testing metrics against test servers
• Assisted in designing, developing and reviewing test processes
• Performed detailed test results analysis after each test execution cycle and maintained Test results. Recorded and plays back test in Fire fox using Selenium IDE.
• Attended daily scrum meetings for the new projects that followed Agile scrum methodology
• Performed Integration, system Testing and executed Regression testing to identify errors in each modified build in the process of testing
• Conducted Regression testing, smoke testing, cross browser testing through automated testing tools like Selenium and cucumber along with Manual testing
• Tested entire functionality of the application on different browsers and operating systems based upon system specs
• Test pre and post trade compliance rules across all assets classes and metrics such as Duration, Delta exposure and benchmark during migration from Charles River IMS into Blackrock Aladdin
• Reviewed pre-trade warnings and alerts, determine if they are valid, and address with the Trade Desk and/or PM’s as necessary
• Programed and updated compliance rules for the Fund and separate accounts
• Reviewed pre-trade warnings and alerts, determine if they are valid, and address with the Trade Desk and/or PM’s as necessary
• Reviewed post-trade portfolio management reporting, reconciliation, performance measures, and accounting
• Identify discrepancies between coding and actual Confidential functional requirement, facilitate a resolution, and escalate change requests
• Review alerts during trade entry and portfolio holding violation to ensure compliance rules function as expected
• Create audit trail documentation for QA testing and subsequently verify compliance rules during parallel implementation
• Optimize and recommend workflow change for guideline monitoring to support best practices
• Utilize the various application of Aladdin and Charles River IMS to locate securities to place simulated trades to test rules
• Compared Confidential to Charles River and proposed rules that should be applied to various portfolio in Aladdin
• Done Parallel testing comparing Charles River account summary report to Aladdin Green package
• Verifying Charles River coding matches with Aladdin BQL
• Logged failed rules into SharePoint and coordinate with BRS to resolve issues
• Performed re testing and successfully closed the issue

Environment: QTP, Load Runner 9.5, Clear Quest, Linux, Quality Center 10,Test planning, soap UI 3.0, UAT, Selenium, SQL Server, Java, Unix, Web Application, Data warehouse (SSIS Package),DOORS,, Siebel, AGILE SCRUM, Erwin, UML, Visio, Charles River IMS, Blackrock, SharePoint, MS office, Window 7, SQL IBM Rational Requisite Pro, WebDriver, JUnit

Confidential, San Mateo, CA

Financial Compliance Analyst/Tester

Responsibilities:

• Involved in Business, Design and Test reviews of Valuation Dashboard releases.
• Performed Functional, Regression, GUI and End to End testing of Asset Recovery, Valuation and Sales functionalities.
• Created QTP scripts for Test Automation
• Writing rules in Sentinel based upon Charles River setup and client mandates, focusing on complex and conditional rules relating to Fixed Income accounts, including Derivatives and Muni
• Verifying that mandate requirements were met and speaking with Compliance/AM/PM when they may not do so.
• Debugging live rules, correcting problem rules and preparing Sentinel accounts for live monitoring.
• Documenting differences between Charles River and Sentinel results, including detailing data differences.
• Initiated special projects to remove duplicate rules and clean up library structure
• Conducted Data mapping of Clients and Issuers from central database
• Mentored new team members in Sentinel rule logic and Testing.
• Developed SQL queries to retrieve the data from one or more tables using joins and validated the data as per the business requirements.
• Prepared client reports and identified system set-up issues.
• Authored test plans using Quality Center and performed testing of Fixed Income Securities in Confidential and the flow-thru to the Accounting System interface.
• Performed XML validations to ensure the data sent to and from Bulk vendors are as per the schema and passed business requirements.
• Utilizing strong Business and Technical knowledge of Charles River, wrote Test cases in Quality Center for Portfolio Manager Interface to Charles River and the interface from Charles River to the Accounting system.
• Worked with Business Analyst and System and Programming to understand requirements and detail necessary changes due to problems found.
• Performed requirements traceability matrix (RTM) of test cases to business requirements to ensure coverage.
• Logged defects in Rational Clear Quest and coordinated with development team to resolve issues.
• Performed retesting of defect fixes and successfully closed issues.

Environment: SOAP UI, Rational Clear Quest, QTP, Java, Doors, Quality Centre10, Oracle 10i, UNIX, Linux, Selenium WebLogic, Autosys, Tomcat, Rapid SQL, Toad, WSDL, Java Scripts, J2EE, Oracle 9i, Web 2.0, Agile, MS Office, Load Runner, WebDriver, Junit, soap UI

Confidential, Boston, MA

Investment Compliance and QA Tester

Responsibilities:

• Reviewed Business Requirement and Software Specification Requirements to achieve better understanding of the Application.
• Prepared Test Plan and Test Cases.
• Executed Test Cases and Gathered Test Execution results.
• Tested the Functionality of the application through manual Testing.
• Tested the Functionality of the application through manual Testing.
• Prepared automated scripts for Maintenance and Regression testing.
• Analyzed existing and planned business processes. Documented workflows and created functional specs for development
• Transaction testing was carried out and the SQL queries are written for testing to retrieve data backend DB2.
• Performed Front End and Functionality Testing using QTP
• Automated test scenarios for GUI, Functionality and performed data driven testing on the application inserting different data using QTP.
• Performed extensive functional GUI level testing and wrote /modified tests from scratch.
• Implemented T-SQL/SQL Scripts and Wrote SQL queries to validate data.
• Performed Sanity, Smoke, Functional, Security, Configuration and User Acceptance testing manually.
• Tested the Application in different Web Browsers and on Multiple Platforms-UNIX, Linux and Windows.
• Used Quality Center to generate reports and Test Planning
• Run tests by using Selenium remote control in different browsers.
• Familiar with Selenium Web Driver, Selenium commands and x-path
• Performed Back end testing using SQL queries
• Compiling information requested for internal and external audits and examinations.
• Confidential - Confidential (“SOX”) testing and compliance for the Investment Department.
• Preparation of investment compliance-related reporting to the company’s Board of Directors, Investment Committee, and external parties, such as the SEC, rating organizations (“NRSRO”), and state insurance departments.
• Preparation of monthly investment reporting Analysis including reconciliations, budgeting and cost reduction and assisting with internal audit attestation process.
• Testing and Implementation of Blackrock Solutions Portfolio Trade Compliance System
• Involved in preparing a detailed test plan by thoroughly reviewing SRS documents, system design and technical design documents.
• Performed Data Driven Tests with positive and negative data sets using Flat files using Quick Test Professional.
• Verified Charles River and Blackrock Compliance tests were set up according to Mandates.
• Reviewed Blackrock workflows to ensure implementation was ready to go live.
• Met with Business users and Compliance Officers to clarify ambiguities and report on more urgent findings.
• Produced detailed ‘go-live readiness’ detailed report, as commissioned by the CIO.
• Preparation of quarterly Security Valuation Requirements (“SVO”).
• Identified several major areas for improvement in the set-up process, such as data omissions, coding areas, and staff training.
• Created monthly, quarterly and annual reports based on key business metrics focused on cross-channel segmentation and outcomes; as well provided Adhoc reporting regularly to upper management and various teams
• Developed test frameworks for UI regression test automation and executed unit test automation (Java/JUnit) primarily for API/Web Services.
• Worked with the business users on User Acceptance Testing by mentoring them on various aspects of testing. Understood the Business Logic, User Requirements and test-objectives to develop Use Case Scenarios, Test plans, Test cases

Environment: HP Quality center 10, HP Quick testing pro, Websphere, J2EE, Windows, Unix, C#, Java Script, HTML, QTP XP/Vista/7,Tomcat, MS SQL Server, MS Project, MS Office, Visual Source Safe, AGILE, Load Runner, WebDriver, Junit, soap UI

Confidential, San Francisco, CA

QA Analyst

Responsibilities:

• Understand the application business logic with Business Requirements Specification Documents and functionality of application with Functional Requirements Specification Documents.
• Prepared a complete reference document based on the knowledge transfer which consists of the functionality of application in detail, Installation details, question and answers log, basic terms used in the application
• Prepared Test Plan and developed Test Cases in accordance with the functional specifications.
• Performed manual testing to check the functionality of the application.
• Responsible for development of automation test scripts for Functional and Regression testing using Quick Test Professional (QTP).
• Coordinated with business users on the test script review and sign-off.
• Used Quality Center for executing test sets, collecting test results, and analyzing the data.
• Tracked and logged defects in Quality Center and coordinated meetings with developers and business analysts to prioritize the bugs, bug fixes and problem resolution
• Worked closely with build integration team, business analysts and developers in order to perform testing activities as per schedules.
• Planned and executed Backend testing using numerous SQL Queries to verify the dataflow from the database.
• Organized and managed all phases of the software testing process, including planning tests, executing tests, and tracking defects.
• Actively participated in Enhancement meetings to distinguish between bugs and enhancements.

Environment: Java, Java Script, JSP, EJB, HTML, VB, Java Servlets, Web logic, QTP, Test Director, Windows NT, Solaris Unix, VB Script, SQL., LDAP, Web services, C#,LoadRunner