CAREER SUMMARY:

• Data GovernanceMetadata ManagementData Lineage
• Data Quality Assessment / RemediationAML / KYC Regulatory ComplianceProject Management
• Brokerage OperationsFinancial / Operational / IT AuditingConsulting
• Risk ManagementProject Management / Business AnalysisSystems Development

SKILLS:

Extensive knowledge of financial services firm business processes

Extensive knowledge of financial services firm legacy systems

Data and systems integration

Vendor contract negotiation and management

Exceptional writing abilities and interpersonal skills

MS Office Suite (Word, Excel, PowerPoint, Visio, Project)

CHRONOLOGICAL EXPERIENCE:

Data Management Consultant

Confidential

Responsibilities:

• Remediated Client Data feeding the FED Call Report to close out a Federal Reserve MRIA
• Identified, defined, and compiled metadata for Order related Critical Data Elements (CDEs) loaded into SocGen’s global Data Dictionary, the Golden Source for the firm’s Worldwide Order Database data model
• Prepared Metadata documents, Data Lineage diagrams and process templates, and Data Quality Assessments in connection with Confidential mandated Data Governance initiatives

Confidential

Regulatory Data Management Consultant

Responsibilities:

• Defined and integrated Authoritative Sourcing governance processes in conjunction with DB’s Data Source Catalogue - the comprehensive, definitive, consistent view of all of the Bank’s data mandated by Regulators
• Developed the requirements and processes facilitating annual Dodd-Frank application recertification via the DSC platform
• Developed the functional requirements and processes for building Records Management capabilities into DSC: Records Inventory compilation and maintenance, Retention Schedule maintenance (global and local), Legal Hold data preservation, Records Disposition & Archiving

Confidential

Client Data Risk & Controls Analyst

Responsibilities:

• Participated in a governance program to focus on issues surfaced during CCAR review.
• Developed structured processes to inventory and rectify material data quality issues (MRIAs) surfaced during CCAR review. Implemented systems / processes to integrate Golden Copy Client Reference data into local product processors.
• Implemented cross system data accuracy reports to improve Client data feeding financial / exposure aggregation reports in connection with CCAR review.
• Implemented a Data Quality Metrics program to track Client Data Critical Data Elements (CDEs) data quality across three dimensions (Completeness, Conformity, Validity) using Trillium software
• Authored Client Data Management policies governing the application of Client Identifiers to Legal Entities and Transactions
• Transitioned the Entity Data Management Risk & Controls Self-Assessment (RCSA) program to the new Management Control Assessment (MCA) platform in compliance with a Confidential mandate. Automated testing and increased the scope of controls testing in the process.
• Conducted a Data Privacy review of Confidential ’s Account Master and Client Master systems. Identified 70 findings and recommended solutions to address each finding. Developed business rules and worked with IT to implement the solutions.
• Managed an independent audit of EMEA EDM Operations conducted by SRS Systems. Established Corrective Action Plans (CAPs) for major issues and tracked them through final resolution.
• Participated in internal and external audits of EDM Operations: CCAR, Basel II Data Elements Audit, OCC / FRB Examination of Basel II Readiness, Strategic Data Repository Audit, Dodd-Frank Operational Readiness Audit
• Satisfied a regulatory audit mandate to monitor Client data quality via system reconciliations.
• Statistically analyzed Client data errors to pinpoint the largest concentrations of errors in Confidential data
• Identified the root causes of Client data errors (needed system enhancements / infrastructure limitations / procedural inadequacies)
• Designed and implemented a Data Remediation Macro to proactively surface new data errors as they occur
• Defined and implemented Business As Usual (BAU) processes to run AIM / PTS reconciliation reports and resolve new exceptions in RTB BAU mode
• Drafted Business Requirements and Software Change Request Forms
• Managed UAT testing of software changes
• Documented data issues and tracked them through ultimate resolution
• Communicated progress and issues to Project Team at weekly Reconciliations & Controls meetings

Confidential

Responsibilities:

• Developed the Project Plan for the merger & integration of 3 core Client Data systems
• Defined the roles and responsibilities of the new Quality Control Group function
• Defined and documented business processes and workflows for the Quality Control Group
• Developed new processes and workflows to proactively monitor and apply changing Client data received from Kingland Systems
• Developed and executed UAT Test Plans for the real time capture and distribution of Client Reference Data between core Client Data systems
• Designed GUI screens for the new system interface
• Developed Training Guides and presented training to Operations and QC Group system users
• Defined and designed reports to be generated out of the new system
• Identified Project / Data issues and tracked them through ultimate resolution
• Communicated progress and issues to Project Team and Stakeholders at weekly Status Meetings and Monthly Operating Committee Meetings

Confidential

Responsibilities:

• Defined and documented Reference Data Management business processes and workflows
• Defined Reference Data Quality Control Metrics and quality tracking procedures
• Educated Senior Management on MDM Best Practices, Policies, and Procedures
• Defined MDM roles & responsibilities
• Designed alternative MDM Data Governance organizational structures
• Recruited and interviewed potential MDM staff
• Defined and documented Procurement business processes and workflows

Confidential

Executive Consultant

Responsibilities:

• Analyzed the business requirements for an MDM implementation at Confidential a leading international Freight Forwarding and Logistics company
• Developed MDM Proposals and Sales Decks, presented MDM solutions to Clients, and drafted Statements of Work in support of Business Development efforts

Confidential

Senior Manager

Responsibilities:

• Provided professional consulting services in the area of Regulatory Compliance, focusing on implementing advanced surveillance technologies to monitor Client transactions and customer information
• Assisted Clients in identifying gaps in their Anti-Money Laundering and fraud prevention capabilities and helped them integrate enabling technologies and redesign business processes to achieve compliance with Patriot Act, BSA, and Basel II rules and regulations
• Assisted Ameriprise, a large Midwestern Broker Dealer / Insurer, prepare for the early onset of Daylight Savings Time. Responsibilities included establishing the PMO Office, tracking server patching progress, identifying and contacting critical vendors, planning and directing the communications strategy, planning and staffing a DST Command Center, developing the testing approach, and advising the Client on industry developments.