Business Analyst role.

Elicitating requirement,

Requirement walkthrough

coordination with various stake holders

Project managemetn

resourcing.

Wells Fargo Securities (WFS) line of business plans to create a cash and collateral management solution to enhance transparency and monitoring of actual and projected cash and collateral sources and uses across all WFS businesses, including trading, PB, and the FCM as well as over-the-counter derivatives funded out of Wells Fargo Bank, NA (WFBNA), Principal Investment Group and Available for Sale portfolio. The Cash & Collateral Platform CCMP will provide Accurate Views; of cash balances and collateral positions, locations, encumbrances and availability throughout every phase of the business/trading life cycle. Cash & Collateral Projections; accurate projection tools to predict resources required to optimize and ensure WFS is fully funded each day Credit Risk Exposure; Track and Manage collateral requirements associated with counterparty credit risk exposure between affiliates ,including foreign branches. Any Business Day: Identify the legal entity and the geographical Jurisdicton where counterparty collateral in held. Document all netting and re-hypotheticaton arrangements with affiliates and external parties by legal entity. Integration & Interconnectivity; for which Collateral STP, robust analytics and management or regulatory reporting is dynamically achieved. A Trading System; that identifies sources/uses of collateral, integrates the governing terms for deployment of that collateral, and seamless trading / pledging to meet funding requirements

Business Analyst role.

Elicitating requirement,

Requirement walkthrough

coordination with various stake holders

Wells Fargo Securities Lending and BorrowingTrading Desk leverages a vendor application named OTIS (Online Trading Information System), has various limitations and challenges, in supporting the scale, functionality, straight through processing needs, workflow initiations, and usability aspects. A comprehensive review was undertaken by the core-team to review various vendor products on the street, to analyze the Build vs. Buy options across Securities Finance Products. Finally, a decision was taken to build an in-house trading application (over a multi-year period), to meet our needs for the Build out of New Application named GSF (Global Securities Finance) build on Carina Framwork. This is being currently used by the Security Lending Desk for all the Security Lending and Borrowing,Short Sale Locates and Multi Currency modules.

Business Analyst

Elicitation of requirements

Test Management

coordingation with developers and testers for Requirements

SPrint planning

Arts is the Anvil Repo Trading ssystem, the ION Vendor application which supports following aspects of Trading . Repo and Securities Finance trades: Where securities, bonds, or equities are involved. Treasury Trades: Where only cash is being exchanged. Settlement Actions: Where you can book the movement of securities or cash in transit between two agencies. This can be on a principal or agency basis.Additionally, you can enter more complex trades where more than one piece of collateral is involved. This document describes how to enter simple Repo,Treasury, and Settlement Transactions. For position management purposes, it is also useful to draw a distinction between Repo and borrow styles of transaction. With Repo, there is a movement of cash that counteracts the movement of securities in each direction. With borrow there is no movement of cash.

The Foreign Account Tax Compliance Act (FATCA) is a United States federal law that requires United States persons, including individuals who live outside the United States, to report their financial accounts held outside of the United States, and requires foreign financial institutions to report to the Internal Revenue Service (IRS) about their U.S. clients .Following the FATCA regulatory changes business requirement is raised to include FATCA details and FATCA management process in WECCO for Clients onboarded in WECCO. (Wealth Electronic Client Onboarding).As a result, it is required that a set of configuration changes is done in WECCO to meet these new business requirements. FATCA changes effect on all existing Individuals, Corporates and Trusts .Fatca status change include the following: W-9 - US Person W-8BEN - Non US Person Undocumented or recalcitrant Not received from client yet Complete End to End onboarding is verified from CRM to Wecco. Depending upon type of Fatca Status respective documentation like W9 Form or W-8BEN form are gathered as part of onboarding process. Onboarding process includes KYC submission Document Imaging, PBE Check list, CDD check and Verify and Fatca Activity done by various levels such as PBE(private banking Executive),Private banker(PB),ML(Market Leader) etc.

Transfers is an Barclays Proprietary application which takes care of Transfer &Sale of Stocks, Transfers IN and OUT of clients portfolio in Barclays.This caters for three main business areas 1.BSL- Barclays Stock Brokers Limited 2.PB- Private Bank 3.GIML-Gerrard Investment Management Limited

This is a Client onboarding application. Onboarding is performed on WECCO (Wealth EcCo Client Onboading) platform. Client information is prepared in CRM application and sent to onboarding via CDI gateway to WECCO. Client information is sent in the form of prospect. When prospect is reached to WECCO, KYC is performed. After risk approval, client gets onboarded.The onboarded information is then gets stored into different application like CIM/PBC. The onboarded information is sent back to CRM via CDI application

EMEA platinum 1 project deals with on boarding private banking clients in Europe, Middle East & Asia region. These clients are private banking clients with high net worth individuals. Business flow is such that private banker approaches a client, collect all client information & feed it to the CRM system (Customer Relationship Management). The data entered for potential client is called as prospect. CRM validates the information of the prospect & send it to the Avaloq, where on boarding of prospect happens. Once on boarding completes then avaloq send back the notification & data to CRM. Status of the entity is now changed from prospect to client. The journey from prospect in CRM to client in CRM includes couple of interfaces i.e. CDI (Client Data interface) and SPW interface which make sure the fields from CRM system & that of Avaloq system are in sync. Prospect data flow as below CRM->CDI->SPW->Avaloq->CDI->CRM. We were responsible for the integration testing of the system. Scope of the project includes on boarding of new clients, amendment to existing client, data migration, Security & visibility testing for client data, performance testing of the interface. Integration test needs to be done manually

FMS is CLSAs order management system that supports trade in equities for different Asia Pacific markets like India,Honkong,Japan,Korea.It supports all the exchanges in different sites. It is used by CLSAs users across the Globe for respective sites. This Order Management System is generally used by CLSAs for placing orders on behalf of clients. It supports both one way and two way orders and various functionalities like capturing orders through order entry window and routing orders to different destinations for execution. It also provides current market data and gives traders/Broker the position summary. It sends orders to the middle office for settlement process.

COMET is Citis order management system that supports trade in equities for NSE and BSE exchanges. It is used by Citis users across the Globe. This Order Management System is generally used by Citigroup world wide for the equities trading. It supports both one way and two way orders and various functionalities like capturing orders through order entry window and routing orders to different destinations for execution. It also provides current market data and gives traders the position summary. It sends orders to the middle office for settlement process.

Citi EMEA Testing project is based on the Equities domain and has been created to test order entries to various exchanges from Citigroup EMEA region. The QA environment consists of various applications to enter client orders, firm orders, view client / firm orders and other repositories to store executed orders. The QA team is involved in various releases involving fixes to any of the apps or flows to new exchanges or upgrades to existing exchanges. The various applications in the scope of testing are Aegis (client simulator) - It is used to send orders to sales trader COMET- Citi Order Management and Equities Trading system. EDTS – This is a sales trader application to receive orders from client or enter orders on behalf of client. These orders are sent from here to trader applications like GATE. GATE – This is a trader application to receive orders from sales trader applications like GATE. It can also be used to enter firm orders. These orders are then sent down to exchange. ECOM – This is an application to view trades coming down from client applications like Aegis simulator PTE – This application can be launched as a sales trader or as a trader to send orders down to exchange SOR – This is a smart order router used to direct orders coming down from upstream systems down to various exchanges using inbuilt strategies Citismart – This is another algorithmic router similar to SOR. COLT – This application is used to store audit trails of booked trades. UNIX logs – These are a series of UNIX logs which are used to trace the order flow to exchanges and back from the exchange. Another set of logs is used to trace booked down to trade repositories like COLT.

Business requirement elicitation

Stake holder management

writing user stories and BRD/FRD.

Test Execution

Test planning and estimation

Requirement Walkthroug

COMET is Citis order management system that supports trade in equities and equity based derivatives. It is used by Citis users across the Globe. EDTS is Citis Equities Desk Trading System that supports trade in equities . It is used by Citis users across the Globe. This Order Management System is generally used by Citigroup world wide for the equities trading. It supports both one way and two way orders and various functionalities like capturing orders through order entry window and routing orders to different destinations for execution. It also provides current market data and gives traders the position summary. It sends orders to the middle office for settlement process. The application supports various functionalities like: - Order Capture - Order Management which includes, Splitting orders, Order cancellation, Order Modifications, Manual Fills. - Current market price view using Level 2 montage screen - Managing incoming executions. Assigning/Reassigning - Baskets - Trade allocation and Ticketing. - Rule 92 (RegNms Compliance)

Wall Street Systems an End to End Treasury solution that enables Straight through Processing for Securities, Money Market, Foreign Exchange and Derivative Instruments.Wall Street Systems has adopted a policy of making the latest functional developments available to all their clients on a continuous/ as requested basis. WSS is a front office to back office treasury dealing market solutions package currently supporting business needs of DB Fixed Income - IT. Involves testing at Front Office – Pricing Deal Capture, Real Time Positions and P&L. Middle Office – Portfolio analytics, Credit System configuration, Security, G&L and Portfolio accounting. Back Office – Settlement & Configuration, Static data and depository activity monitor.

MOAR (Middle Office Accounting Reconciliation) is a reconciliation tool that matches the cashflows which are received from upstream systems. Cash Flow information is fed at the account level to Moar. 3D Match is a strategic matching & Reconciliation Tool developed for Derivative operations. It does Trade Linking, Trade Reconciliation Cashflow Reconciliation, Market PV Reconciliation and CRES Reconciliation.