Global Head of Program Management for FINRA Audit & Compliance Programs                          

Regulatory projects are always synonymous with tight deadlines and need a leader who sets exemplary standards of delivery under pressure. With the credibility I have established in managing and delivering global, cross-functional programs, I have always been the management’s first choice to lead regulatory projects.

• Spearheaded the end-to-end analysis & design, determining impact across 100+ systems to comply with FINRA audit observations

• Partnered with Enterprise on building an end-to-end trade flow (booking systems, books and records, client statements, down stream systems, margin calculations) on the back of FINRA audit and pioneered the build of strategic reporting platform in Client Services Technology

• Turned around an audit critical project that had lost credibility with senior management by expanding business partner involvement, providing transparent status, issue management, and implementation of risk mitigation plans

• Orchestrated the development of strategic automated workflow for the Audit Confirmation team in Operations that included automation of the upload and retrieval of client statements resulting in reduction of personnel requirement by 4 head count during the peak auditing period

 

Global Head of Exceptions Platform Program Management and PMO 

Exceptions, also known as, IFAs (Items for Attention) are anomalies in the ledger. Detecting and highlighting those to Operations on a daily basis in a timely manner is the heart of the ledger functionality. Delays in detecting these could expose the firm to regulatory penalties

• Pioneered the vision and implementation of next generation strategic Exceptions Platform by working closely with business partners to understand their needs, create solutions, budget resources, and deploy staff

• Documented the current logic of ~300 complex IFAs including regulatory ones by reverse engineering the current code and helped Operations prioritize their top most pains and gains, which in turn set the stage for an Agile approach of incremental delivery from inception to conclusion

• Chaired metric-focused war room brain storming sessions with Design, Engineering and Operation teams to draft an agile roadmap of delivery

• Uplifted general project management practices by managing the PMO office globally for Client Services Technology team

• Strengthened firm’s PMO practices by introducing the first-ever Project Management Framework

 

Program Manager for Equities, Fixed Income, and Bank Ledger Programs         

• Helmed and synergized the efforts of an international team in transitioning the firm to a distributed ledger platform that increased real time access of financial data thereby increasing operational efficiency by more than 50%

• Gathered UX requirements from Operations and partnered with Technology team to deliver a content rich UI that increased their day-to-day productivity by almost 75%

• Spearheaded the design, and implementation of strategic client statements platform

  • Advocated and influenced senior management to adopt Agile approach of incremental delivery

  • Acting as Scrum Master, led the collaboration and deftly identified dependencies and risks, resolved blockers, made use of metrics to improve delivery, and leveraged Agile best practices to optimize velocity, quality, and predictability

 

Program Manager for EOL (End of Life) Programs

• Championed global-wide programs with up to 350 infrastructure and application projects—implemented cloud based solutions that improved production plant’s stability and reduced costs by 80% and soared Operations Technology’s efficiency

• Partnered with senior business/vendor and technology managers to lead effort in transitioning the firm to Credential Vault which eliminated security threats to all applications across Operations Technology

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