SWAPNA

SUMMARY
Over all 12+ years of experience where 8+ years as an Influential Business Analyst with excellent project management skills in Finance domain including
Capital Marketing, Assets management, Credit Risk, Market Risk, Regulatory and Compliance.
Extensive knowledge and actual experience in Regulatory related projects such as BASELII, BASELIII, Sarbanes - Oxley (SOX), Dodd-Frank, and
Comprehensive Capital Analysis and Review (CCAR).
Strong understanding of market risk control, including Value at Risk (VAR), Anti-Money Laundering (AML), Bank Secrecy Act (BSA), and Know Your
Customer (KYC).
Experience in Software Development Life Cycle (SDLC) methodologies like Agile, RUP and Waterfall.
Solid working knowledge on Agile/Scrum concepts like Product Backlog, Spring Planning, User Stories, Daily Stand-up Meeting, Burn-down Charts, and
Pair Programming etc.
Strong Analysis skills in Project Definition Document (PDD) and Requests for Proposal (RFP).
Proficient in Business Requirements Document (BRD), Functional Requirements Document (FRD), User Interface Documents (UID), and Requirement
Traceability Matrix (RTM).
Excellent in GAP analysis and creating AS-IS and TO-BE documents and Process Maps.
Strong Experience in conducting Joint Application Development (JAD) session with onsite and offsite team.
Competent in creating Business Process Modeling Notation (BPMN) and Unified Modeling Language (UML) diagrams like Use Case Diagrams,
Sequence Diagrams, and Flow Charts by MS Visio.
Strong SQL background including SQL queries and ER diagrams.
Expert in Data Analysis including parsing and comparing XML files, data dictionary and running queries.
Professional in retrieving data, validating data, and preparing data mapping documents.
Experience in Change Management and Conflict Resolution at various stages of the project life cycle.
Involved in Test Planning, Test Preparation, Test Execution and Validating Defects/Bugs through various defect tracking tools like Silk Central, Jira and
Bugzilla.
Strong testing experience in performing User Acceptance Testing (UAT) and Root Cause Analysis.
Experience in creating User Manual and conducting User Training Workshops to the end users.
Extensive knowledge in Corporate Finance, Risk Management, Investment Banking, and Mortgage such as Financial Statement Analysis, Equity, Fixed
Income, Derivatives, M&A, IPO, P&C etc.
Developed Dashboards, Reports, Financial Models, Graphical Analysis of business and technical operations
Experience independently managing the entire project from its inception Working with Controllers, Analysts, Management, and Staff to understand the
business operations and requirements , to its completion development of technical applications in accordance with User requirements
Worked with creating databases and structuring of Big Data on servers SQL and Sybase and in applications, using data generated from live and static
feeds in a variety of formats
Experience working with aggressive project schedules to meet the demands of a high paced environment

PROFESSIONAL EXPERIENCE

Western Asset, Pasadena, CA Jan 2022 - Present

Business Analyst
Responsibilities:
Interacted with project stakeholders and business groups to evaluate business needs and worked with the technology team to implement solutions in a
timely manner.
Worked closely with Subject Matter Experts (SME) for different types of risk control violation, including conference call, Jira tickets and ServiceNow
issues for change request release.
Identified and documented business needs for new module or re-usability of an existing module, and maintained all the documents and tracking documents
on MS SharePoint.
Gathered Business Requirements, notional calculations of financial futures, options, fixed income and equity, and also key point of contact with business
users.
Performed GAP analysis including AS-IS and TO-BE analysis to identify the potentials of current system.
Met with the business users and SMEs to create Business Requirement Document (BRD) and ensured requirements have coverage on business values,
business scope and business rules of Confidential.
Conduct Functional Requirement Work Session with Architectures and Application Teams to translate Business Requirements into Functional & Non-
Functional Requirements (FRD).
Used UML to produce Use-Cases diagrams, Sequence diagrams and Activity diagrams to explain user activities, process flows and functional
specifications.
Developed the Data Flow Diagrams (DFD) to understand the method to be employed under the new system to the entire development and testing team.
Understood the AS-IS and TO-BE business process and developed the GAP Analysis and performed gap remediation by working with developers and
support team to close RCA gaps on time.
Responsible for writing the Business Requirement Document (BRD) and the Functional Requirement Document (FRD) and data analysis specification for
the application.
Defined Use cases, Class Objects, Sequence Diagrams, Activity and Workflow Chart using UML to define functionality requirement for the application.
Offered data support and checking using SQL/Query and developed complex spreadsheets using VBA\SQL.
Experience in database and SQL queries to retrieve and validate data, prepared for data mapping document.
Completed Data Critical Program (DCPNP) survey for all applications under Treasury and Risk IT as part of general technology compliance regulations
(SOX).
Involved in Privilege Accounts Downgrading (ITPA), assigned developers within team to raise CRs and cooperated with Windows Team to make sure the
process successfully.
Worked with QA team to make sure all key changes have been test in UAT environment before releasing and did post check after releasing.
Developed Issue Tracker and Risk Tracker and organized regular weekly meeting to close these issues.
Assisted testers in developing a variety of possible Test Scenarios and Test Cases to ensure that the system built according the requirements.
 Worked closely with the business users to elucidate the User Acceptance Testing (UAT) strategy and offer strategic validation solutions to the business.
Helped users with UAT tests, wrote User Memo and Support Memo after getting feedback from UAT tests.
Provided status update monthly to Senior Managers of progress made on all aspects of risk control and milestones achieved and shared with RTB team to
improve their performance.

SMBC Group –Los Angeles, CA Aug 2020– Dec

2021
Business Analyst

Responsibilities:
Wrote Business Requirement Documents detailing product controllers’ functional requirements and outlining migration procedures for Front Office, real-
time trading systems to new Cobra P&L system.
Organized weekly meetings with Development team, DWH, PMO, and Prod Control representatives to review project status and issues and prepared
minutes highlighting items discussed and to be followed up.
Provided regular updates on status of project issues and defects (utilizing JIRA tool) for Project Lead PM
Heavy utilization of Excel, Access, Visual Basic, and SQL queries in extracting and analyzing test data.
Assisted Development team in creation of Functional Specification documents to remedy defects and issues.
Heavy Visio documentation of current & future work processes and utilization of VBA & SQL queries.
Substantial accounting and operational exposure to multiple Equity & Fixed Income products including Exchange -Traded & OTC Derivatives (Options,
swaps, ETFs) and Interest Rate & Credit Derivatives.
Worked with business users to gather the requirements and coordinated with Project Manager and SME to understand the feasibility of their need.
Prepared BRD’s from the collection of the functional requirements from the System users.
Worked on Agile/Scrum development methodology.
Facilitated (JAD) Joint Application Development sessions to identify the business rules and requirements and then documented them in a format that can
be reviewed and understood by both business people and technical people.
Studied and analyzed competitor's applications and brainstormed to gather effective requirements for a quality product.
Engage in project initiation activities such as developing the Project Charter, Project Scope and assisting the management in resource and budget
estimation.
Created Business Requirements Document and converted them into System Requirement Specifications Document.
Extensively used SQL Queries and performed Data Analysis.
Implemented Business Modeling, Data Modeling, and Object Modeling using MS Visio to develop the business architecture for the application.
Analyzed and looked for the deference's between production data, staging data and new system core and reference tables for Trade System Project.
Analyzed Requirements and created Use cases, BPM, Use Case diagrams, Activity Diagrams using Enterprise Architect
Created and managed project templates, use case project templates, requirement types and traceability relationship in Requisite Pro.
Used Rational Clear Quest for defect tracking and change management request and reported them.
Involved in preparing a simple and detailed User manual for the application, for an intended novice user.
Researched discrepancies for various data elements.
Ensuring that work is performed in a timely manner and deadlines are met as mentioned in the WBS (Work Breakdown Structure).
Worked with DWH development in order to ensure the requirements and project goals are being met
Used BEA (BPM Tool) to map Process flows and migrated Visio Process flows into BEA Tool.
Created Test Strategy developed UAT Test cases and execution of Test cases
Prepared test plans and executed Unit, Integration, User Acceptance testing using test cases to endure that the systems conformed to specifications of
business requirements & performance criteria.

Citi Group – New York, NY July 2019-

Aug 2020
Business Analyst
Responsibilities:
Connected among system users, scrum masters and software development team to collect requirements and business analysis into Business Requirement
Document (BRD)
Captured existing process of funding, banking and transfer, conducted Comprehensive Capital Analysis and Review (CCAR) which is the initial part of
the three phases of Basel
Created the Business Requirements Documents of all the business workflows
Wrote use cases and UML diagrams for report documents and detail clearance transactions
Lead on the data sourcing effort for Counterparty Credit, Market and Operational Risk, Income Statement and Balance Sheet Schedules pertaining to
CCAR and the FRY9C reporting to FED.
Developed project plan, collaborating with teams from EY, KPMG, and IBM effectively scoping out project for delivery execution for the IHC work-
streams regarding data sourcing project initiatives.
Evaluated Credit Risk strategies with multiple internal credit tools and inserted Basel II/III strategies to amplify balance availability
Coordinated Scrum Sprint Planning Sessions, Backlog Grooming, Sizing, Sprint Retrospectives & Reviews, Daily Stand-ups, User Stories and Acceptance
Criteria
Prioritized the Back Log in JIRA, involved in Planning Sessions and maintained User Stories and Acceptance Criteria
Gathered the needed information of current holding assets including equities, bonds and OTC derivatives using SQL along with the risk weights applied in
order to conduct VaR simulations of different scenarios
Conducted the ETL Process, extracted data from sources and transformed the data into the proper format and structured them to write queries and form
analysis as well as loaded it into system
Compile periodic value at risk and income at risk analyses to comply with regulatory and policy requirements of asset/liability management
Competent in the implementation of normalization techniques for optimal performance in OLTP/OLAP database environments for Business Intelligence’s
function
Integrated financial data and transaction data from source to target database for creating a central Risk Data Repository as required by Basel II/III
reporting regulations
 Made compliance documents related to exposure default and loss given default in details and conducted calculations to evaluate the fund availability so as
to meet liquidity requirements and leverage ratio goals
Accomplished data analysis to test mapping and development modifications
Updated CCRIP project plans, RAID logs, status reporting, metrics reporting, project charter, etc. for weekly senior management meeting.
Interact with other BAs to bring the Fed updates on MDRMs, reporting line items, Axiom issue registry into the UBS RLI Inventory.
Clarify the non-technical rules and develop pseudo logics for CCAR informatica coding.
Updated CCRIP Issue Log and Manual process with issues identified during Axiom RLI population and coordinate with offshore JIRA admins to upload
in JIRA on a weekly basis.
Ad hoc support for executive communications and CCAR Central PMO actions.
Partner with other CCAR team members to close any data quality related issues.
Coordinate with Share point admins to ensure the business requirement/gap analysis documents, data architecture, strategy & governance documents are
completed and up to date on share point site.

Excel straps PVT. LTD, India. Oct 2014 – Sep 2018

Business Analyst
Responsibilities:
Work with the Global Market group and other LOBs to understand business requirements and translate them into functional specifications for the
Enterprise Risk Initiative project.
Clarify the FSD with IT teams including the FX transaction timestamp capture, the data extraction and conversion from different donor applications etc.
Work with Project manager and test lead to ensure the project plan and test scripts/ cases are updated and well reflected current project status.
Assist Global Market head with the “Nostro bank /currency table” set up for FX transactions with various currencies for company’s future use.
Coordinate with Corporate Trust group to prepare the ERI workflow and document the Functional Requirement Specification.
Assist with the Dodd-Frank Act Stress testing based on supervisory scenarios required by FRB.
Conducted Requirement Walk-throughs with the development and test teams before the development and testing phases respectively, to ensure that the
requirements are accurately understood.
Conducted JAD sessions at different stages to resolve conflicted issues among business users and developer.
Created and maintained Requirements Traceability Matrix (RTM) to trace technical requirements to their business requirements and the test case
requirements to their functional requirements.
Assessed scope and impact of business needs using detailed knowledge of application features and functions.
Developed timelines for project delivery with project manager, and managed projects and resources to successful completion.
Assist DW data analyst in analyzing existing reports and identifying iteration metrics;
Lead the identification and documentation of business metrics.
Doing the data analysis and gap analysis of Global Market Shock Components for Supervisory scenarios based on the 28 variables.
Partner with CCAR team members to close any data quality \ related issues.
Coordinate with Enterprise Risk team to verify the risk dashboard and daily risk reporting details based on stakeholders’ requirements.

ICICI Bank, Hyderabad, IN Mar

2009-Oct 2014
Relationship Manager
Responsibilities:
Managing the Portfolio of High-Net-worth Individuals and Non-Resident Indians.
Ensuring high quality service to customers.
Enhancing existing relationship by way of enhanced customer base & value thereby taking referrals and acquiring new customer base.
Identifying process gaps & bridging the same locally or recommending the same for organization wise implementation by employees.
Coordinating with various departments for ensuring resolution of customer requirements within delivery level agreements and up to customer satisfaction.
Handling customer complaints and managing the branch with Nil escalations.
Leading, handholding and motivating team in achieving the desired results.
Drilling down the senior management expectations to each and every member of the team.
Strategizing & Implementation of Initiatives and new processes for managing better customer relationships.
Monitoring client’s portfolio performance, rendering sustained advisory services regarding investment decisions.
Experienced in managing and implementing strategies towards enhancing market penetration, business volumes and growth.
Ensured alertness to the risk of Money Laundering and assisted in the bank’s efforts in combating it by adhering to the
principles in relation to identifying your customer, knowing your customer, reporting suspicions, safeguarding, etc.

EDUCATION
PGDM (Financial Planning & Relationship Management) from NIIT, Hyderabad, IN
Bachelor of Science (Mathematics and Statistics) from North Orissa University, Odisha, IN.