1. JOHN C. KANE
32 Salem Ridge Drive
Huntington, New York 11743
631-385-9684
631-942-8100 (cell)
Email: mkane4@verizon.net
OBJECTIVE
Situation to fully utilize experience based upon knowledge of global multi-
currency trading, middle office and back office systems suitable for
Custody/Prime Brokerage, Investment and Retail Banking. This is based on
multi-years of experience in business analysis, quality assurance, project
management, and product development, writing of business and functional
specifications, plus other aspects of the financial service industry. I have a
detailed knowledge of all instruments used in the financial securities industry.
EMPLOYMENT
Independent Consultant 1995 – Present
Senior Business Analyst 2012 - 2015
Citibank Jersey City, N.J.
• Hired as part of the BE R2 UI upgrade requirements team to build and go live with
the client/user facing BE Portal web application platform.
• As part of this effort, wrote the requirements and provided mockups for Multi-factor
Authentication login, Single Session Enforcement and Market Data widget
applications.
• Wrote the CitiDirect Shortcuts and Available Reports FRDs for the CitiDirect 1.3
system.
• Converted the Quick Task functionality existing on BE Mobile and wrote the CD 1.3
FRD to move that functionality on to BE Portal.
• Worked with the various SSO application teams to determine the changes they
needed to onboard to the BE Portal platform. Added the SSO login, menu mapping
and registration requirements to the Portal frd.
• Advised the Dev teams on needed SQL inquiries to obtain data requited to resolve
Test & Production issues.
• Helped to develop and then document the requirements for the widget gallery by
working with the Product, Development and UX teams.
• Developed the parameter criteria and rules required to produce communication
messages and various static pages in TeamSite and the display of those messages in
BE Portal
• Worked with Product and Development teams to produce search criteria for
communication messages and produce MIS reports.
• Worked with QC and UAT teams to resolve issues and managed issue tickets in
TeamTrack and HP Quality Center.
• Converted Word version of Portal FRD into Blueprint FRD. Wrote Use Cases in
Blueprint.
2. • Managed the submission and distribution of CAS & Portal local language strings
requiring translation with the vendor and the release of the translation to the PreSIT
and UAT environments.
• Starting in May, 2013 till Feb, 2015was also responsible for the CAS (Client Service
Administration) requirements for the London based 3rd
party Phoenix in the Phoenix
Admin frd.
• Worked with Phoenix staff and Citi developers to produce country based Default
Client Settings for Import & Export File formats
• Also worked with the same teams to develop revised Role Profile (Usergroup)
association functionality & screens
• Modified requirements and screens for Service Package Cascading
• Added additional countries to Default Client Settings
• Wrote the ABSA data migration frd.
• Worked with Phoenix team to add second Authentication Device type to system
• Wrote some widget text descriptions for widget gallery
Senior Business Analyst 2011
BofA Merrill Lynch New York, N.Y.
• Joined the GM Cross Product Portal Team as a project manager/business analyst to
develop and then rollout the firm’s new institutional Global Markets Mercury Web
portal. Wrote the Business Requirements Documents for the portal product pages for
Foreign Exchange, Commodities Overview, Commodity Indices, Short Term Fixed
Income and a number of the Equity pages.
• Wrote the BRD and created the screen mockups for the Short Term Fixed Income US
& International offering pages. This was for the primary and secondary offering of
CP. ECP, CD & ECD paper.
• As part of the BRD effort conducted requirements gathering sessions with the
various business lines and reviewed, demonstrated and explained the pages to QA.
Conducted unit testing of the pages as they were developed. Produced web page
mockups of proposed screens in PowerPoint and the configured the actual pages in
the WEB test environment using Liferay.
• Using Quality Centered managed page issues through development, and testing to
production. Used Visual Studio Team System to enter and track user stories and
release issues
• Produced Client Help material to facilitate the client’s move from the Legacy web
platform to the new Mercury platform. As part of this effort composed and
configured the Help page and created the Help videos using Adobe Captivate.
• Developed the methodology for the creation of portal entitlements during the on-
boarding of new accounts for the branded URLs that reside outside of the Mercury
portal.
• Took part in the migration activities from the legacy GM portal to the Mercury
portal.
Senior Business Analyst 2010
Deutsche Bank New York, N.Y.
3. • Hired by Global Business Services Control as part of the effort to develop and install
a Web based trade capture reporting platform, designed to lessen the firm’s
operational risk exposure by capturing all potential high risk trading and cancel,
correct and amend activity. Worked on producing this uniform Web platform to
capture and display the trading from multiple front office systems and the reporting
requirements of the different front and middle offices for applications.
• Directed offshore team on SQL queries needed to obtain and group cancel and amend
transactions.
• Wrote the Functional Specification Documents for several of the different trading
applications, including the GLOBAL Credit Trading (TSAR) and Global Rates
(Summit), for their move onto the new CCA Cognos Web platform.
• Also wrote the Business Requirements document for the Phase II move of the ARINA
& GEMS International Cash Equity trade systems to the web platform.
• Worked with the IT teams in London and India in the development, testing and
installation of the systems on to the web platform.
• Participated in first UAT round of the new web system.
• Assisted TMG middle office staff to understand the results of the existing Excel daily
trade activity reports.
• Worked with London Equity IT and NY Summit staff to close gap in P&L reporting
from the MIS 3 system caused by incomplete P&L report setup of the NY groups.
• Resolving open system issues from the Excel bases CCA reports in JIRA.
Senior Business Analyst 2009 – 2010
Credit Suisse New York, N.Y.
• BA working in the Prime Brokerage Margin group on the new WhatIf margin
requirements module to test the effects of different market risk stress scenarios,
position movements on margin calculations for existing client portfolios or what the
system margin requirements would be for potential new clients. The new module
accommodated changes to price, bond rating, volatility and ADtv to securities and
also permits ISDA adjustments. Final implementation goal is to have the WhatIf
module available to CS clients on the firms PrimeView client facing web portal.
System to allow for the client being able to run their own set of option stress grids to
calculate the WhatIf margin requirements. Worked with Business Development
Group in the requirements phase of the SDLC, to produce the business requirements,
for the Risk and Margin Ops groups in the project so that the module would have the
ability to process
o Equity Swaps
o Credit Default Swaps (CDS)
o Option Stress Grids
• After the BRD was approved, wrote Functional Requirements document and Use
Cases for the WhatIf module to complete the SDLC requirements phase of the
project.
• Wrote the FRD for Fixed Income margin concentration add-ons based on Instrument
Type project.
Business Analyst – QA 2006 – 2009
4. TD Ameritrade Jersey City, N.J.
• BA working on redesign of client web trading screens for the new OPRA/OSI CUSIP
and SYMBOL requirements required by the Option Clearing Corp (OCC) for options.
Work with options sales group to revamp the client facing web pages to accommodate
the new option format. Determine the changes and business requirements for the
BOS WEB back office settlement system screens. Wrote corresponding Use Cases for
the business requirements.
• QA for the integration and conversion testing of TD Waterhouse onto the Ameritrade
trading platforms. This included the testing of the gap programs/projects and
involvement in the planning, development and execution of the test cases and scripts
to be run through Mercury TestDirector and HP QC 10. QA lead, including co-
ordination of UATs, for several major projects, including: Automatic Fail
Reconciliation, automatic settlement by matching & posting records from the DTC
files and manual entries by the BOS WEB back office system: PINT Files, the
passing of informational files to the new VEO front end WEB system: Periodic
Payments, functionality for multiple, scheduled payments to client via entry from the
Client Web screens: Enhanced Statements for All, new statement layout
functionality and processing: Cash Covered Puts, allowing margin clients to sell
“Put” options without owning the underlying: Fixed Income Initiative and
BLOOMBERG/TOMS System upgrades: Credit Risk Management, Monitoring of
concentrated and option positions and position limits. TAXES 2008, changes to 1099
and 1042S. Institutional Account Statements conducted the regression and
enhancement testing for the spin-off of institutional accounts to a separate print
vendor. Revised Margin Requirements, testing of the revised margin calculation
schedule, position and concentration limits. Mortgage Backed Securities Upgrade,
enhance display of security and tranche information.
• QA tasks required running SQL to interrogate the system databases for test result
information.
Senior Business Analyst/PM 2004 – 2005
Xchanging Ltd. (Deutsche Bank) Frankfurt, Germany
• 2004 – 2005 - Recruited to lead the data migration team for the conversion and loading of
Citibank Germany onto the ee2 trade and settlement back office operating platform. As
part of this assignment, I was the Project Manager and responsible for the development
and management of the migration concept and project plans that were to be used for the
loading of Citibank’s 400,000 customers, their 1.5 million trading positions and other
required data sets. This we accomplished on the scheduled Go-Live date and below
budget.
• The migration concept included the handling and settlement of In-Flight Trades,
Corporate Events, plus the manner of loading the different position and other databases,
including synchronizing security master data within the ee2 operating system.
• The data sets to be loaded as part of the migration for Citibank included:
- Customer Static Data
- Security Positions
- Stückzinstopf (Accrued Interest)
5. - AGE (Ausschüttungsgleicher Ertrag) tran subsets
- Shareholder ID (share registration)
• Wrote the BRDs (business requirement document) and FSDs (functional specification
document) for the Positions load and Reconciliation for the migration. Also approved the
other FSDs associated with the migration, i.e. Corporate Event processing and Operation
Control. As part of this step, held workshops with the client to obtain their agreement
and signature of the documents.
• Additional duties included:
- Producing and maintenance of the conversion migration Project
Plan
- Development of test cases for the Migration UAT and Dress
Rehearsals
- Detailed time and execution plan for the DRs and Go-Live
weekends
- Run SQL queries on migration database to obtain needed
migration error data.
• Developed and lead the UAT and client and firm sign-off for the Account and Positions
loads onto the system.
Quality Assurance 2004
Societe Generale New York, N.Y.
• Responsible for the QA testing of the newly created Valid Hedge Risk Assessment &
Hedge Risk Effectiveness programs for fixed income positions. These programs were
developed to meet the new international Standard Accounting requirements for
derivation trading of interest rate swaps and measure the effectiveness of the hedges
against market risk.
• In this capacity, I was responsible for the design of the test concept and test cases to test
each of the different trading scenarios. The testing had to cover all of the different
parameters utilized by the hedge programs. Required entering of trades, matching the
test cases, and the linking of them together, in the SUMMIT trading system.
• Since the front-end feed was not operable, it was necessary to simulate its function, using
the manually entered trades for the test cases, and create the daily derivative trade file
in csv. After converting this file to pipe separated, I was responsible for running the data
through the hedge assesment and effectiveness programs.
Senior Business Analyst/PM 1999 – 2003
Deutsche Bank A.G Frankfurt, Germany
• 1999 – Was leader of the team responsible for the parameterization of the dbtrader back
office trade processing and settlement system for the new Deutsche Bank retail bank in
Paris, Deutsche Bank SA. Parameterized and tested the system modules such as FX,
Money Markets, and Equities to handle multi-currency and FX requirements. Developed
and installed the rules and matrices for the fee module to be used by the system. Worked
6. with the new accounting group in the setup of the bookkeeping matrices for the business.
Liaison between the local user group and the German development team. Conducted all
UAT testing for the fee module.
• 2000 – For the etb (European Transaction Bank), a Deutsche Bank subsidiary, part of
the team responsible for the migration of the first 3rd
party client, Sal Oppenheim,
Germany’s oldest private bank, onto the Deutsche Bank, dbtrader mainframe operating
system as a custody/Prime Brokerage client. Identified the business and system
requirements to handle the multiple instruments and currencies to be used and
parameterized the system tables accordingly. Also developed and installed the Location
rules and matrices needed for the proper settlement of all trades and non-trades.
Developed and wrote the functional specification document for the fee module,
settlements and FX handling. Installed the Fee module rules and matrices. Conducted
all UAT testing for the fee and location modules.
• Led the team responsible for the reconciliation of the migration of the client’s positions
onto the dbtrader platform. Performed all testing of the reconciliation process during
dress rehearsals.
• 2001 – Performed the same parameterization, setup of all system tables, rules and
matrices and testing functions for the addition of new multi-currency internet electronic
trading system, NEWCO, onto the dbtrader platform. Worked with the business users to
developed test cases and then conduct the UAT.
• 2002 – Led the team, as Project Manager and head analyst, responsible for the
parameterization of the system for the migration of the Sparda Banking Group, 16
separate retail banks, onto the platform. Developed and installed the trading and
positions limits controls to limit market risk and the settlement and location rules and
matrices for each of the Sparda entities so as to allow for the proper settlement and
delivery of each transaction. Wrote the functional specification document for the fee
module. Helped developed the Global Functionality which allowed the different Sparda
entities to operate using a set of master rules and matrices for the bookkeeping and fee
modules.
• 2002-2003 - Wrote the conceptualized documents, a Migration Toolkit, for the etb
Migrations group to be used with prospective new clients for migrating onto the platform.
These documents were to be used to determine the system, parameter and development
effort requirements. Worked to develop operational risk questionnaire to measure back
office risk potential in preparation for BaselII.
• 2003-2004 - Senior analyst for the team responsible for the development and testing of
the Actual Stock Position Engine. The stock engine sits outside of the new EE2 trade
processing platform and creates posting records for the actual settlement of the client
transaction in the market and also writes the corresponding records to identify the
holding by Deutsche bank sub-unit and by location.
• Responsible for the idea and development of the concept to be used in the determination
of the clients Actual Security Positions. This was used for the migration of the 16 million
existing client positions onto the new Stock Posting Engine for which I wrote the
functional specification document. Also wrote functional and UAT testing documents for
the initialization of the SPE. Responsible for the reconciliation of the SPE positions
against the existing records. Installed correction functionality.
7. Business Analyst & Developer 1995 – 1999
Deutsche Bank NY IT New York, NY
• Led Custody development team, while working at the Deutsche Bank UNIX IT unit, for
the EMU (currency) conversion and installation of the global custody upgrade for DB
London Custody. Installed system upgrades to provide for contractual/actual settlement,
trade date positions by location, and straight-through trade processing. Responsible for
EMU setup and analysis of EMU conversion test runs. Developed, coordinated and
directed daily plans and results with local testing teams for entire testing cycle from unit
testing through UAT testing.
• Coordinated and advised local site top management on project progress and scheduling of
“go-live” date.
• Contributed to the development and completed “System Development Life Cycle” quality
improvement program for use in Project Definition, Scope and Management.
• Personally setup the system Cash Module to be used for the migration of the Morgan
Grenfell clients cash positions onto the dbtrader platform. Wrote the user manual for the
Cash and Checking module. Installed position and concentration limits and rules for the
entity. Worked with MG staff and dbtrader developer to install SWIFT messaging for
Custody settlement.
• Lead Analyst and Assistant Project Manager for Global Custody/Prime Brokerage system
upgrade at Deutsche Bank Morgan Grenfell. Supervised and contributed in the
preparation by London IT staff of Functional Specification Documents (FSDs) for system
upgrade.
• Tracked open issues for the Project Management team and coordinate release schedule
with NY development.
• Worked with London IT to develop equity trade feed from the trading desks to the
dbtrader processing system.
• Instructed and trained 150 Deutsche Morgan Grenfell London users in two sites in the
db trader 4.0 systems. Supervised site UAT integrated testing for Phase I. Installed
multi-currency Corporate Actions and Foreign Exchange modules. Both modules passed
on-line firm currency risk position by currency. Lead development and wrote the
corporate action FSDs and TSDs. Developed material and trained RHO and branch
Singapore personnel in expanded multi-currency Corporate Action functionality.
Installed Corporate Actions module for Singapore Private Banking.
• Assisted in the development of the upgraded Corporate Action module functionality.
Lead unit and QA and UAT testing. Developed “wash account “functionality” to make
transparent position breaks of corporate entitlements. Wrote system documentation for
Subscription Rights, Redemptions, Takeovers &Exchanges, Dividends and Equity
Derivatives, including convertible bonds, warrants.
• Developed and wrote FSDs for several RHO Singapore system enhancements.
• Installed Fixed Income Proprietary trading system for Singapore Branch. Trained
Singapore staff in use of db trader 4.0 system and fixed income securities. Advised
Singapore Branch staff in setup of accounting matrices needed for processing of trades.
• Worked on the issues list and testing for the DB Geneva.
• Directed and advised in the preparation of the Emerging Market, Mortgage Backed
Securities/Fixed Income and Security Master Data manuals.
• Wrote front-end system manual for Global Equity Trading System.
• Wrote the system manuals for Trade Processing, Money Markets, Foreign Exchange and
Corporate Actions.
• Wrote the REPO FSD for the planned migration of DB NY onto dbtrader platform.
8. Mortgage Backed Security Salesmen 1990 –1995
Kidder Peabody New York, NY
• Sold US Government, mortgage backed securities and CMOs on Regional Dealer Desk.
As part of the leading mortgage trading house worked with the trading desk to develop
deals with retail tranches meeting the needs of regional dealers, such as Ag Edwards,
McDonald & Co. and others.
Government Securities Bond Trader 1989
Mitsui GSI New York, NY
• Traded US Government securities as Head Trader.
Government Securities Bond Trader 1982 – 1988
Carroll, McEntee and McGinley New York, NY
• Traded Zero Coupon and Mortgage securities for US Primary Dealer and headed the
trading desks for those products. Wrote training brochure to educate sales force in
mortgages.
EDUCATION
B.A. Psychology
FAIRFIELD UNIVERSITY
FAIRFIELD, CT
AWARDS
• Assistantship University of Toledo
Graduate School- Industrial Psychology
NORTH CAROLINA STATE UNIVERSITY
RALEIGH, N.C.
LICENSES
• Passed Series 3, 7, 63
SKILLS
• MICROSOFT OFFICE, PROJECT, POWER POINT, EXCEL, VISUAL
STUDIO, VISIO, SQL, HP QUALITY CENTER, JIRA, BLUEPRINT,
SHAREPOINT, SNAGIT, LIFERAY, ADOBE CAPTIVATE