Bharat Dasa

The Project was based on customizing the web portal for Advisors in a wealth Management Platform that integrates resources and aggregates data on a market basis, allowing Financial Advisors/Managers to conduct investment actions quickly and efficiently. This project involved Data analysis and data migration to a reporting system

• Worked with Financial Advisors and portfolio manager to acknowledge the business requirements by prototyping meetings
• Identify the Data Sources and define them to build the data source views for easy access
• Used MS Excel and SQL Server to implement data mapping, data validation, data reconciliation, and data enrichment
• Assist Financial Advisor in conducting comprehensive reviews including asset allocation, risk management, preservation of wealth, accumulation, and wealth transfer strategies
• Monitor progress against goals and objectives and provide timely updates to stakeholders
• Worked with the development team to verify that business needs were fulfilled and quality deliverables were produced within a specific budget and time
• Documented history of creating and bringing new financial products to market and monitored all investment instruments in domestic and global security market
• Maintained RTM(Requirement Traceability Matrix) for the current business process and proposed changes
• Interacted with SME and senior BA to conduct training sessions to make the users comfortable with functionality
• Identify areas of improvement within existing software systems to achieve optimum quality
• Helped testing team develop and implement test plans, and test reports, did high-level validation testing, and provided support to defect management
• Tools: Visual Basic, MS Visio, MS Office, Tableau, UML, SQL server 20.4, Jira, MS Project, Tableau
• Conduct software functional tests, code reviews, system integration tests, regression tests, UAT, and other types of testing as needed.

The goal of the Project was to implement a centralized KYC platform for multiple lines of business. The centralized KYC platform allowed business users to retrieve customers' risk scores based on U.S. KYC/AML regulations. Also, I have worked on enhancing the client onboarding process so it can comply with regulatory requirements.

• This project was based on the Agile-Scrum methodology
• Performed detailed GAP analysis to understand the legacy system and prepared for GAP analysis documents
• Facilitate the conversation with compliance officers regarding KYC, CDD(Customer Due diligence), and EDD(Enhanced due diligence) processes
• Prepare Data mapping document – with the help of the ETL team extract data from the existing system to the AML compliance data marts under specification given by the Actimize Team Implemented workflow diagram and use case diagram by MS Visio to help IT team get a better understanding of customized requirements
• Interacted with KYC analyst to execute investigation based on client onboarding profiles, Maintenance, Transaction monitoring referrals, Government sources, and referrals from business partners and other control areas
• Prepared the reporting formats for regulatory filings for internal use and helped the Actimize team produce SAR reports
• Create sprint tasks, and dev tickets, and track defects using JIRA
• Performed high-level validation testing, and functional testing, developed test plans, test cases, and test execution, and gave support in Defect management
• Tools & Technologies: Agile Scrum, JIRA, MS Office, Actimize, Jira, SQL server, Tableau.

DST(Deferred Sales Trust) Brokerage Solutions service and registered broker-dealer and independent advisor marketplace. These customers operate their financial services business under stringent oversight and regulation administered by the Financial Industry Regulatory Authority (FINRA), Investment Industry Regulatory Organization of Canada (IIROC), and State Securities and Insurance administrators. The project was based on managing and customizing the two main applications account onboarding and DST compliance according to the client's needs, DST compliance application provides broker-dealers with financial account supervision and trading surveillance tools for managing their business

The application can take data feeds from a variety of clearing firms and present the trade data in an easy-to-use user interface. The application user can be alerted to potential trading issues and examine transactions in specific detail. The application provides an array of standard tests that help the organization comply with regulatory requirements

• Understood FINRA, IIROC rules and regulation to comply with requirements
• Interfaced with business users to prepare and update business process requirements(BRD), and Software system requirements(SSR)
• Provides a list of data attributes needed to implement rules
• Facilitated JAD session to perform GAP analysis to check if the business has all data attributes to implement requirements
• Extensively involved in data mapping and data validation for different compliance users
• Worked on data mapping for the ETL Process
• Developed use cases, workflow, screen mock-ups, and ER Diagrams
• Ensure all Artifacts are compiled with SDLC policies and guidelines
• Prioritized outstanding defects and system problems, ensuring accuracy and deadlines were met
• Conducted sprint planning sessions for SQL and development teams and helped formulate user stories
• Assist in process modeling, conducted and participated in JAD sessions with system users, and helped with design walkthrough with stakeholders for baselining architecture.

The goal of the project was to enhance a fund and stock tracking application that provides daily trading volume, price changes, and market capital changes information (real-time streaming and data), a customizable dashboard as well as generate weekly, monthly, and yearly reports. The project facilitates business users such as portfolio managers, Financial Analyst, fixed income, and Equity Traders to Quickly obtain centralized information from the platform to monitor performance or make quick actions such as buy/sell/hold to bank's customers

• Gather requirements from key stakeholders, customers, and SMEs to define the scope and requirements of the project
• Define the context of the system by creating various use cases, epics, and artifacts and facilitate requirements of functional and non-functional requirements
• Acted as a liaison (Facilitator) between the business and development team to discuss the requirements, and track and manage the requirements
• Develop product demo presentations for internal meetings and stakeholders
• Created screen mockups for the new transaction filter functionality
• Daily stand-up meeting, backlog grooming session, defect management
• Perform manual testing on the website of the company site, Mobile responsive site, and IOS and Android applications in multiple test environments
• Perform testing for customer-facing and back-office applications on various test environments
• High-level validation testing, regression testing, and UAT testing
• Developed and prepared test cases, and assisted in developing test strategy and test scenarios
• Contribute to the identification of potential risks, test case suggestions, test case creation, and recommendations, ensuring the successful execution of projects.

The project is to develop a loan pre-qualification system to let prospective customers compare rates, make quotes, and perform assessments before trying to apply for loans. The system would also allow customers to initiate the application process for appropriate loans

• The project follows the waterfall methodology
• The project involves the enhancement of the automated mortgage loan origination process from origination/Opening a mortgage application through funding/closing
• Interviewed business area experts, interacted with SMEs to elicit (Draw out) business goals, and define goal-level requirements
• Collaborate with mortgage bankers, personal bankers, investment analyst and accountants and analyzed risks, documented risk logs, and created requirement traceability matrix (RTM) Created system requirement specifications (SRS), System design specifications (SDS) and system information sheets
• Participated in JAD sessions to resolve open issues, change request so that application met the business requirements and deadline
• Performed functional testing of complete bank site (Customer) includes Accounts Dashboard, Payments & Transfer and Account Management
• Conducted testing of bank account opening application - Concierge which included the opening of different types of banking packages for a different type of customers
• Conduct software functional tests, code reviews, system integration tests, regression tests, UAT, and other types of testing as needed
• Involved in test plan preparation and actively participated in integrated system testing(SIT), User acceptance testing(UAT) phases Reported the bugs to developers(Onshore and offshore) and participated in the defect management process.