If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.

00026391

PROFILE:

• Top graduate with 1st Class BSc Honours in Computer Science, Business Information Systems & Finance Technology.
• Over 16 yrs. Front Office Trading Operations/Support/Senior Business Analyst & Project Manager experience in a Financial Services environment.
• Order Management System/EMS Implementation & Support Specialist & Market Data Process Implementation - Tier 1 Banks & Asset Mgt.
• Financial Products Knowledge: Cross Asset Class (Fixed Income/Equities/Derivatives/FX/Commodities/ETD/OTC Products)
• Regulatory Reporting Experience: Regulatory Change, Compliance Advisory, Consulting (Capital Markets, Investment Banks/Asset Management)
• Front Office Change Delivery, Project Mgt. Operations, Regulatory programmes
• Recent Projects: EMIR Refit-EU/FCA, MIFID II Transaction Reporting, SFTR Remediation, MAS, KAIZEN Accuracy, FinfraG, SEC SBSR, FINRA, CFTC

EDUCATION:

• Bachelor of Science: 1st Class BSc, Computer Science IT/Business Information Systems –University
• Executive Education: Executive Diploma in Business Data Analytics, AI Analytics & Machine Learning – University
• Professional Course: Investment Management & Corporate Banking

SKILLS:

• Advanced Microsoft Office: Excel Functions, VLook-Ups, Macros, Microsoft SQL Server Queries, Stored Procedures, Unix & Perl Scripting
• Developed Option Pricing Tool with Excel & VBA (OptionPricer/OptionPage), Business PnL Explain, Attribution & Back Office Settlements.
• Front to Back Trade Flow Support experience, covering OTC/Exchange Traded Derivatives, Fixed Income, Equities, FX & Commodities Transactions
• Project Management, Project Coordination & Delivery: PRINCE 2, SDLC, Azure/Agile [Scrum & KanBan], MS Visio, UML, JIRA, Alteryx, User Stories.
• Front Office Trading Systems: (Charles River OMS/EMS, Thinkfolio OMS/EMS, Aladdin OMS, Bloomberg AIM/TOM/Murex/LZ Minerva, TradeWeb)

CAREER HISTORY:

February 2021 – Present

Investment Banking

PM/BA– [Regulatory Reporting Change]–[EMIR REFIT ESMA/UK /SFTR /MIFID II Remediation/SEC SBSR Reporting]

• PMBA focused on leading the impact analysis & reg change covering Business/Tech Requirements, Analysis, Implementation, Operations
• Project planning of key activities with multiple teams to implement various remedial work on MIFID II, EMIR Refit EU/UK, SFTR, SEC SBSR & CFTC.
• Providing Regulatory Advisory & Consultancy on complex regulatory requirements recommending appropriate solution options & delivery plan.
• Completed Cross-Asset Class Analysis, Implementation & Testing on EMIR Refit ESMA/FCA Transaction Reporting - Credit/Rates/FX/ETD etc.
• Leading functional requirements analysis of EMIR Refit reportable fields based on DTCC Message Specs & Schema for EOD & Intraday Activity
• Coordinating efforts with IT and third-party vendors to build requirements for reporting UPI issued via ANNA Derivatives Service Bureau.
• Documented analysis, specifications and tested deployment of new EMIR Refit UPI/UTI generation and enrichment processes
• Working with developers to implement & coordinate E2E testing of DTCC EOD Reporting & Intraday Activity submissions - ACK/ NACK Responses
• Working on field requirements for the revised EMIR Refit lifecycle events (MODI,CORR,REVI etc) to include Crypto-Related assets trading portfolios.
• Working with Front Office Trading Business, Identifying Systems & Processes for a Wholesale FO Transformation/Performance Programme
• Worked on multi-jurisdictional remediation programme for SFTR ESMA/UK Validation Rules, MIFID II T+1 TR Accuracy & Completeness Reporting
• Identified & planned delivery of fixes for MIFID II TR Accuracy & Completeness Remediation changes using vendor KAIZEN Report-Shield solution.
• Reviewing Current State Reporting processes, identifying & fixing cases of MIFID II Underreporting, Overreporting and Misreporting for FCA T+1
• Analysed requirements of EU/UK MIFID II updates on Systematic Internalizers on Quotes Sizes & Order Matching, Pre/Post Trade Transparency
• Leading Project Planning of SEC SBSR activities and mobilised teams based on impact - highlighting accountable parties, specific actions & timelines
• Conducting detailed impact assessment of SEC SBSR using the CFTC rules as a reference point to identify – Higher bar, similar bar and lower bar etc
• Identifying key stakeholders to include IT, Legal, Compliance to oversee the program and appointment of CCO SBSR Programme.
• Provided project management support for SBSR covering senior mgt engagement, accountability across business, legal compliance, operations &IT
• Conducted analysis on key SBSR components – Business Conduct/Disclosure, Daily Marks, Registration, Special Entities, Recordkeeping & Reporting
• Worked with internal and external Compliance & Audit team to remediate Audit Enhancement points to comply with SEC and FINRA CAT rules.
• Created analysis & new process for additional fields required for SFTR Double sided Matching/Reconciliation with Trade Repository DTCC
• Providing hands-on SFTR Requirements Analysis and Delivery Coordination, Planning, Stakeholder Communications for SFTR back reporting project
• Implementing Regulatory Change within SFTR Reporting Solution Stack, covering impacts of the New ESMA SFTR Validation Rule – Due Sept 11
• Responsible for SFTR Quality Assurance and UAT testing of Upstream / Downstream Systems, Processes & SFTR Field Data mapping requirements.
• Creating SFTR Change Requirements Test Cases, Test Scenarios, Planning Testing, UAT and Regression Testing and taking part in UAT Testing Stages
• Created SFTR Reporting Analytics Data for Pairing & Matching functionality to include Records by Pairing Status, Ratio, Counterparty & Break Counts
• Implemented SFTR MI Analytics Dashboard showing Ack Ratios/Exceptions Count in Report Submissions & Responses to/from Trade Repositories
• Created requirements analysis and SFTR field mapping documentation for Implementing new products Single ISIN Cleared Repo to SFTR Reporting
• Provided analysis main Dataset for the implementation of IHS Markit SFTR Insight Reconciliation Tool showing analytics, timeliness of reporting.
• Coordinating SFTR root cause analysis, Identifying gaps, risks assessment and clear docentation & Implementation of Data Control framework
• Working with IHS Markit to implement UTI generation feed function with third party vendor PIRUM for transactions where counterparty generates.

February 2020 – February 2021

Big 4 | Investment Banking

Senior Reg PM/BA: Regulatory Change Implementation – [SFTR Implementation - MIFID II Accuracy, EMIR, UMR – Margin Rules]

• Responsible for project managing delivery of activities necessary to analyse, document and implement solutions to comply with SFTR
• Coordinating impact analysis, requirements documentation to include field data sourcing & mapping for SFTR – BSB, Repo, Sec Lending etc
• Supporting SFTR Delivery Planning Phase – creating project governance, delivery activities via Backlog Management, Daily Scrum, Release mgt etc
• Leading and supporting regulatory reporting and providing Regulatory Advisory on Regulatory Rules Interpretation with legal and compliance
• Worked on general requirements and scope determination for reporting Initial Margin IM for Uncleared Margin Rule Phase 6
• Providing hands-on support to Regulatory Change Projects – Epic related tasks covering Jira Stories, Business Requirements etc
• Worked with Global Investment Operation PMs to Plan, Analyse, Document & Implement processes for EMIR/MIFIR Reporting Remediation
• Worked with Front Office to determine scope of non-centrally cleared derivatives trades based on % of notional exposure or open gross NAV
• Created product specs for uncleared OTC derivatives products- FX Options/NDFs/FX Forwards/Equity Swaps/Forwards/Hedging Trades/Swaptions
• Lead SFTR Product SME creating Functional/Non-functional Requirement covering scoping, documentation, data source mapping, specification.
• Translated SFTR regulatory rule text from RTS into clear business requirements - BRD/functional specifications for Technology Implementation
• Working with Business and Technology Stakeholders -Developers, QA Analysts, BAs, Testers - Analyse, Design, Implement and Test Requirements
• Responsible for communicating Business Strategy and Vision by aligning the squad with the project goal to maximise throughput.
• Responsible for creating Product Roadmap, Planning releases with other Product Owners, Sprint Planning and Reviews for Reg Change
• Working with KAIZEN MIFIR/EMIR Accuracy Reporting Project on Field Accuracy, Requirement Mapping, Reconciliation & Back-Reporting
• Working with IT partners, Compliance & Legal throughout the project life cycle, validating requirements and agreeing proposed changes.
• Documented BRD to include all Functional and Non-functional Requirements with Traceability Matrix to Support Change Implementation.
• Responsible for General Regulatory Scope analysis, capturing trading scenarios and booking models to determine the bank’s reporting obligations.
• Using on IHS Markit systems for QA on OTC Derivatives trade booking, matching, confirmation, settlement and clearing
• Implementation of new Target Operating Systems from gap analysis on AS IS process to requirements of future state process.
• Driving reporting efficiency via thorough regulatory rule interpretation, data mapping, field level rule description, validation & report generation

September 2018 – January 2020

Big 4 | Investment Banking

Senior BA/PM - Regulatory Change: Global Banking & Markets Corporate Sales - [Front Office Risk/Controls – Reg Reporting Remediation]

• Senior Regulatory Change Business Analyst/PM for Global Regulatory Project Change, Front Office Operations and MIFID II Remediation Programme
• Part of the banks FRB Program delivering Regulatory Change, Compliance and Audit Related Actions to comply with the banks FED ‘Mis-Selling’ Order
• Conducted Market Data Quality review, Overhaul of Data Source Mapping documents & review of misinterpretation of regulatory rule text (RTS)
• Coordinated MIFID II Data and Report Validation Exercise covering key stakeholders – Compliance, IT, Front Office Operations etc.
• Documented Current State and Proposed Future State of MIFID II Reporting Obligation and created new Front Office Control Framework.
• Worked on Global Markets LIBOR Project, Documented Scope/Impact Assessment, Operational Readiness IBOR Alternative Benchmark
• Coordinated Product Risk Reviews and documented migration activities of existing benchmark across markets products, systems and processes.
• Provided Deep-Dive Analysis on Data Requirements & Attribute Data Sourcing & Mapping across multiple Regulations [EMIR, MIFID II, DFA]
• Created 65 Attribute Field Descriptions, Data Analysis & Sourcing for Business Requirements Document for MIFIR Transaction Reporting.
• Engaging External Counterparties in Resolving Data, Systems and Process issues with Reporting Data - (Static, Reference, and Counterparty
• Providing input to Project Management Activities - Project Planning, Implementation Plan, Work Breakdown Structures, Budgeting & Resources
• Supporting Compliance Group with input to regulatory compliance MIFID II audit reporting with local competent authority - FCA.
• Analysing Root Causes using a combination of Excel Scripting for large datasets, SQL Queries to interrogate the database for results.
• Responsible for Quality Assurance on Data & Processes, documenting Test Strategy, Test Cases & End to End UAT Testing
• Supporting Business with analysing Market Data, Instruments Field Data Mapping, SQL Query Scripting, Excel and MI Reporting
• Working with Regulatory Compliance, Internal & External Auditors to Review, Validate & Approve Local Regulators’ audit points.
• Coordinating Stakeholder Reviews & Approval of Business Requirements, Tech Specifications and Solution Options and Proposals

May 2018 – August 2018

KPMG – (BANK OF MONTREAL CAPITAL MARKETS)

Senior PMBA / Consultant - Regulatory Change /Consultant SME – MIFID II Post Trade/Transaction Reporting Implementation & SFTR

• Senior Business Analyst/Consultant delivering Cross Asset Regulatory Change for Front Office Business Processes, Compliance Projects & BAU
• Responsible for delivering key Data Reporting Solutions, Tech Specifications & Regulatory Change to Front Office Business & IT
• Documented Strategic Reporting Solution Options & created new Data Reporting Control Framework for SFTR and GTR solution.
• Organising stakeholder workshops, meetings, requirements reviews/feedback/sign-off across the wider project group.
• Working close with Traders, Compliance & Legal to initiate, coordinate and deliver full project scoping activities to business.
• Applying core project delivery principles at all stages of the project - Initiation, Scoping, Requirements, Implementation & testing
• Assisted in defining test strategy & approach, participating in UAT testing cycles, updating test scripts, reporting management KPI's
• Created Product & Legal Entity Applicability Matrix for Securities Financing Transactions, mapping products to Execution Systems
• Documented Process Flows and SFT trade lifecycle events & scenarios to identify reportable events, report/action types.
• Provided SME support to compliance on MIFID II Remediation (RTS 22/RTS 23/RTS27/RTS28) – Regulatory Reporting Obligation
• Applied Agile delivery methodology to ensure timely delivery, risk management of requirements (Data, Process and Systems)
• Worked with DevOps/Front Office Operations, Audit and IT to validate Reporting Solutions & Attribute Data feed for MIFID II TR
• Owned the delivery of SFTR Business Requirements Document (BRD) based on SFTR Final Report - RTS Implementation Standard
• Reviewed Current Reporting Architecture – EMIR Rewrite Schema, MIFID II and documenting system reengineering options.

October 2017 – March 2018

Big 4 | Asset Management

Senior Business Analyst: Global Front Office Change / Investment Operations – (Aladdin, MIFID II Reporting, Thinkfolio OMS, Charles River)

• Lead BA - Responsible for Front Office Change Delivery and OMS Implementation of Charle, Aladdin Fund Migration]
• Provided hands on Project Coordination, Implementation, Project Management & Delivery of Charles River Order Management System
• Successfully documented Scoping and Dataflow delivery activities and Configuration of CRIMS, Aladdin, Risk Systems & Processes
• Consultant BA/SME on multiple CRD Implementation Projects - [Charles River upgrade, 3rd Party OMS Integrations & migration
• Documented Derivatives Trade Scenarios and Flows highlighting reporting obligations across all impacted lines of business.
• Created & Tested MIFID II Transaction Reporting 65 field data mapping, reportable data attributes for all in scope T+1 Transactions.
• Planned project activities alongside IT, Business Stakeholders, aligning OMS Vendor activities with internal implementation plans.
• Successfully led the overall Scoping & Dataflow delivery activities and Configuration of CRIMS, Aladdin, Risk Systems & Processes
• Delivered Technical Requirements for MIFID II Post Trade Reporting, Compliance Monitoring/Batch Compliance Setup in Charles River
• Interpreted guideline rules & setup fund prospectus/mandate rules for AIF/UCITS VI on CRIMS compliance/monitoring module.
• Supporting New Manager Workbench Configurations, Trade Blotters, Order Workflows and Compliance Rule Coding
• Provided Post implementation support on the compliance workflows and user privileging, creating What If analysis etc.
• Documented Order Blotter Configuration, Performance tweaking across multiple processes and supporting batch job
• Documented steps for Portfolio Rebalancing to models and created quick guide on Benchmark alignment to positions.
• BAU Production Support Activities: Creating & replicating trades using Indices, Stock/Category Level Models, Cash Investing etc

May 2017 – October 2017

Big 4 | Banking

Senior PMBA - Front Office/Regulatory Change Lead: (MIFID II - Best Execution, Post Trade & Transaction Reporting, UnaVista)

• Lead SME BA on multiple MIFID II Rule Interpretation Workstreams, focused on regulatory change impacting Front Office Trading, Risk & Controls
• Documented Scope and impact analysis for existing Target Operating Models and worked with Business & IT to develop new TOM
• Created MIFID II Project Plan to track activities, delivery progress and providing visibility to stakeholders via weekly status updates.
• Coordinated MIFID II impact analysis and requirement elicitation across all lines of business (Front Office, Middle Office & BO)
• Successfully implemented regulatory change to Trading Platforms & Internal Control Processes for MIFID II Compliance
• Created Implementation Plans and alignment with Vendor implementation timelines for front office trading systems rollout.
• Responsible for providing key Industry updates to regulatory programmes and updating the business through documentation.
• Planning & coordinating on-boarding activities for Trading Venue Vendor Systems – (MTFs, OTF, ECNs, and Inter-Dealer Broker System)
• Documented Full Business Requirements for Trade and Transaction Reporting on RTS 22 (T+1), RTS 27 & RTS 28 (Best-X), RTS 2.
• Conducted Full RFP and documented Vendor Selection Criteria & Options for APA/ARM Trade & Transaction Reporting.

July 2016 – May 2017

Big 4 | Investment Banking

Senior Reg PM/BA - Front Office Compliance & Regulatory Change| MIFID II Transaction Reporting Volcker Dodd Frank Implementation

• Lead Reg BA responsible for delivering Reg Change activities for MIFID II & MiFIR - Interpretation, Analysis, Requirements & Solutions
• Responsible for the workflow design of Strategic Reporting Solution for MIFID II Trade, Transaction Reporting and Best Execution
• Providing Support to Front Office Reg Change on multiple regulatory change Initiatives covering IT, Operations & Business Process Change
• Providing analysis and delivery support on the Implementation of Global Front Office Storage Tool for Order Record Keeping - WORM
• Documented analysis on ESMA requirements on Transaction Reporting, Order Record Keeping, Clock Synchronisation
• Coordinating general delivery activities including Planning, Scoping, Requirements, Solution Design, Data Delivery Framework
• Responsible for driving MIFID II Business & IT Requirements through implementation for all MIFIR reporting obligations.
• Global coordination of Implementation & Compliance Testing for MIFID II Trade Transparency Reporting to APA (TradeWeb).
• Produced Business Impact Analysis by capturing global trading activity Visio flows to identify MIFID II reportable transactions.
• Created Field Definitions, Data Mapping & Requirement for UnaVista ARM Transaction Reporting & internal control framework.
• Created Business Requirements for MiFID II Transaction Requirements/Post Trade Transparency, Best Execution & Algo Trading.
• Created RFP/RFI Vendor Selection Analysis across UnaVista ARM, TradeWeb APA, Bloomberg ARM/APA Offering for MIFID II Reporting Solutions.
• Facilitating MiFID II post trade requirements workshop, gap analysis and eliciting business requirements for the Front Office business.
• Delivered Business Requirement Documents for Dodd Frank Volcker Rule Implementation – Focused on activities of Prop Trading Desk
• Provided technical input to OTC data mapping and attribute data sourcing for Functional Specification & DFA - Volcker Reporting
• Created Work Breakdown Structures, Input to the global project plans, identified associated milestones for Solution design.
• Conducted Analysis on MIFID II /MIFIR Transaction Reporting rules and documented rule interpretations/impacts and reporting architecture.
• Stakeholder management across Business & Technology, establishing & maintaining working relationships with vendors.
• Implemented Regulatory Risk & Control framework, Governance Structure within the Front Office & Middle Office for MIFID II
• Created MIFID II product applicability matrix, highlighting impacted transactions flows and documented business scenarios.
• Worked with Compliance, Legal and External Counsel to interpret MIFID II Rules, RTS, Delegated Acts, and Technical Advice etc.
• Worked with Business/IT Stakeholders, Third Party Vendors to validate business & technology solutions for MiFID II/MiFIR.

September 2015 – July 2016

Investment Banking

PMBA / Front Office Systems Operations – [MiFID II/SFTR (Analysis, Requirements, Tech Solutions & Implementation]

• PM/BA responsible for reviewing & documenting the impact of MIFID II Regulation across Front Office Trading & Sales - Capturing requirements.
• Documenting full scope and requirements for Transaction Reporting, Record Keeping, Post Trade Transparency via Regulatory Rule Interpretation
• Lead Analyst on Front Office Data Strategy Workstream (Order Record Keeping, Records Retention Solution - WORM, Trade &Transaction Reporting
• Provided general support oversight & delivery for Global Regulatory Programme on MIFID II & Market Abuse Regulation.
• Documented full MIFIR RTS 26 Requirements for T+1 transaction reporting fields, Target Operating Model (TOM), and Functional Specification
• Created Conceptual solution design document capturing full trade scenarios, trading models, data mapping and current state.
• Worked on requirements and requirements for initial margin calculation and collateralization for Uncleared Margin Rule Initiative
• Managed delivery of Rule Interpretation and Requirements for MiFID II Investor Protection, Post Trade Transparency & Best Exec
• Worked closely with Front Office Business, Compliance team to validate requirements - Fixed Income, Equities and Commodities
• Stakeholder Management & MIFID II Workgroup coordination across business, Legal, Compliance and Regulatory Change Team.
• Daily management of RAID logs - Risks, Assumptions, Issues and Dependencies, RACI & Weekly Project Status Reports.

October 2014 – September 2015

Corporate Banking & Securities

Senior Business Analyst - [Global Regulatory Swaps Reporting Program]

• BA responsible for multiple global regulatory programs-driving front office business/technical/regulatory change.
• Delivered Strategic Fix for EMIR Reporting of Collateral + Valuation Data, Margin Requirements, Dodd Frank CFTC - Volcker Rule.
• Created GAP analysis and Requirements for Dodd Frank Section 619 ‘Volcker Rule’ strategic compliance requirements & Solution.
• Provided input to Functional Specification documents, Testing and working with solution architects on solution designs decisions.
• Worked with Business Stakeholders in defining Volcker Reporting Obligation, Pre/Post Trade Transparency requirements.
• Planned and coordinated Data analysis using SQL and Excel Functions, Functional Specifications, Design and Implementation.
• Driving business requirements analysis for ESMA EMIR L1/L2 Validation, highlighting DTCC new rules on EMIR mandatory fields.

February 2014 – May 2014

Financial Markets

PM/Front Office BA –CFTC Swaps/EMIR Reporting Change - Commodities Position Reporting

October 2012 – January 2014

Banking

PM/BA – Charles River Implementation & Support- UCITS/AIFMD Fund Compliance (CRIMS, Murex)

October 2011 – May 2012

Asset Management

Front Office PM/BA/ Global Operations &Reg Compliance – (Charles River OMS)

April 2011 – September 2011

Wealth Management

Business Analyst -Front Office Credit Risk (Murex, Thinkfolio OMS)

August 2010 – April 2011

Investment Banking

Business Analyst/Compliance BA - Structured Products

June 2009 – August 2010

Banking

Front Office Business Analyst - (Fixed Income, Derivatives, FX and Cash)

April 2007 – June 2009

Investment Management

BA & SME Support for Buy-Side Order Management Systems – Thinkfolio (Perm)

March 2005 – March 2007

Financial Services

FO Business Support for Global Electronic Trading (Implementation, Trade Matching & Support (Perm)

January 2002 – February 2005

Investment Banking

Trade Floor Support – Orders/Trade Settlements & Reconciliations. (Perm]

References Available Upon Request

If you are interested in this candidate, please contact Charlie Watson via email cwatson@cerfinancial.co.uk or call on 0207 626 6065.
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