Gavin Fraser Email & Phone Number

United Kingdom

Led a global team including analytics and modelling professionals that leveraged algorithms and Artificial Intelligence to build and optimize risk management models, to drive effectiveness and operational efficiencies in the sanctions screening, regulatory compliance, and anti-money laundering control framework, primarily utilising Oracle Watchlist Screening and LexisNexis Continuity.

Led system-based and data-driven controls testing of financial crime systems globally utilising screening technologies including Oracle Watchlist Screening (OWS), LexisNexis Continuity, SCDM, Pythagoras and World-Check One.Managed team responsible for reporting on data quality issues. Remediated issues affecting the matching and effectiveness of screening solutions.Designed a system and methodology for substantive, outcome-driven, modelling of sanctions, PEPs, AML and economic sanctions screening solutions and recommendations for remedial actions.

Churchill Place, London

SME for Customer and Trade Finance screening liaising with business units to convert their business requirements into technical change requests.Investigation into alerts generated to ascertain the root cause of why some alerts generated and the reverse why expected alerts were not generated.Management of system testing to ensure all changes met standards, this also included ensuring business units globally were prepared for and managed expected spike volumes.Assisting Assurance team with investigations as to the robustness of the Customer and Trade Finance screening systems and that business processes were suitable, and standards adhered to.Advising technology partners of suitability of changes that were planned and improving the methodology used.

UAT testing of compliance systems for customer screening, Trade Finance, AML and TMS managing team of UAT testers utilising screening technologies including Oracle Watchlist Screening (OWS) and IEF Searchspace. Liaison with senior management including MLRO’s worldwide.Planning and designing test scripts with the end users and reconciling these to the business requirements including the creation of regression scripts to validate the existing system prior to upgrades.Mentoring users in the use of Quality Center to allow more user participation on UAT testing.Writing of Test Approach, Test Plans, Test Scripts and Test Closure Reports.Acted as Subject Matter Expert for customer and trade finance sanctions and AML screening.

System test of a new securitisation system to support the issuing of residential mortgage backed bonds.• Phase 1 & 2 System testing of extracts from the RBS & NatWest Mortgage Manager (IBM Mainframe / DB2) systems to populate an IBM Mainframe DB2 Data Warehouse system.• Phase 3 extracts from Ulster Bank’s Mortgage Manager (UNIX / Oracle) system. • The Data Warehouse was then used to create reports for credit reference agencies and investors using Business Objects.• System testing comprised of testing the data extract from the various source systems, data warehouse population and report generation.• This involved review of Functional Specification, Application Design, Component Designs, followed by testing the database and environment setup, all of the programs and jobs, the associated Business Objects reports and the extracted files to ensure that all the values were correct.• Spufi and Proedit were used to extract data to create expected results from DB2 and TOAD was used on Oracle.• Business specification, functional specification and tests were loaded into TestDirector which was then used to plan and execute the testing with subsequent defects raised and resolved.• Daily status reporting of tests using statistics from TestDirector and defects using PVCS Tracker.• I was also the TestDirector and PVCS Tracker administrator for both the System Test Team and the User Test Team.• Planning of test cycles for combined System and User Acceptance Testing, followed by OAT.• Preparation of Test Completion report at end of testing.

Consolidation of International credit card processing systems.• Functional testing on a project to consolidate several CTL Prime credit card systems.• End 2 End testing encompassing all input and output files.• Manual regression testing to ensure key process areas not affected by changes.• Identifying business processes.• Formulation and execution of Test Plans.• Design and Development of Test Data.• Creation and maintenance of test schedules.• Execution of Test Scripts.• Test of Prime Web Front End Application.• Inspection of the Oracle database using SQL.• Creation of customized input files e.g. VISA transactions; Direct Debits.• Publishing Test Results.• Raising Software Defects using Clearquest.• Liaison with the Cyprus based developers.

Migration of mortgage manager systems from mainframe to Unix.• Migration testing on a newly developed Lynx mortgage system to replace the current Mortgage Manager System.• Identifying business processes.• Developing test scenarios.• Design and Development of Test Data.• Database mapping.• Manual regression testing of Mortgage Manager System.• Execution of test scripts to test the interfaces between the UNIX based mortgage system (Oracle/SQL) and legacy (IBM Mainframe) systems. • Creation of Test Completion Reports highlighting tests, problems found and known deficiencies.• This involved the use of TOAD, TestDirector and Winrunner.

Various duties as part of the Central testing Team.• The main system I supported was the Triumph credit card system. (This being a COBOL II, DB2 and CICS system).• This gave me exposure to Endevor, Platinum and OPC as well as COBOL, CICS, DB2 (SQL) and Install/1.• Liaising with Fair Isaac regarding improved Falcon Outbound Dialer system.• Test and implementation of Falcon ODI system.• Re-wrote SPUFI’s used for the Low volume Date Extract (LDE) jobs, which are used to create model office versions of the live system to aid testing.• Co-ordinate the migration to production of the JCL, procedures and OPC schedules for the new LDE.• I was also involved in manual system and operational acceptance testing of Websphere applications (e.g. Online Applications, My Account), for Barclaycard and Littlewoods, both on the web side and the associated mid-range UNIX box running selects on the Informix database using DBaccess.• Manual regression testing of web based systems.• Re-write of internet applications regression pack, using TestDirector.• Test cases and results and associated documentation were either recorded or stored using (Mercury Interactive) TestDirector.• Developed a Proof of Concept test system to aid Barclaycard in choosing a new credit score decision engine. This involved liaising with Fair Isaac (Blaze Decision System) and Experian (Decision Agent, part of their Strategic Design Studio).

Support and testing of credit card systems.• Maintenance of Creation and National Australia Group’s FBS - Bankcard systems.• On-call first line monitoring and support of the overnight production batch running under OPC.• Adding and monitoring user test and system test batches using OPC and reporting defects using (Mercury Interactive) TestDirector.• Application of enhancements to the UK version of the Bankcard system which is written in COBOL / CICS.• Monitoring system performance.• Addition of new NDM processes for Connect Direct and FTP jobs.• Updating operator instructions on how to fix failed jobs.• 24 hours 7 days a week primary or secondary support contact.

2nd line support of several HUON insurance systems.• Maintenance of AXA's HUON V4.11a motor and household insurance systems.• Management of Program Amendments Requests (PARs) supplied by HUON. • Correcting of locked and aborted policies, which were causing the system to abend. • Data analysis of the DB2 tables using SQL in order to find out why problems were occurring.• Fixes were made either by changes to the COBOL / CICS programs, which were processing the data incorrectly, or the manipulation of data held in DB2 tables.• I also took responsibility for correcting policies, which failed the overnight batch renewal process. This involved checking and correcting the OPCA schedules and verifying the JCL.• Maintenance of the printing solution which used both DCF and Papyrus.• System testing of changes prior to implementation into the production system and the retrofit of changes across other systems. For batch jobs this included the creation of JCL, procedures and OPCA schedules.• Creation of a tracking tool to record status of all changes being made which was also used to ensure targets and Service Level Agreements were being met.• Design and presentation of training courses for new members of the team a well as assisting in the mentoring of Keane’s own staff.

Maintenance and modifications to existing insurance system.• Working in liaison with the underwriting department to correct existing problems. These ranged from one-line changes to complete program re-writes.• On line programs consisted of Gener/OL programs and COBOL submodules accessing VSAM datasets. • The batch system was written in Easytrieve and accessed both VSAM datasets and a DB2 (SQL) database.• VSAM copies of the DB2 database were used to improve performance of the system.• System & user testing of modifications.

Migration of a sales and marketing system from IBM mainframe to Unix.• Senior member of the project team to migrate data from IMS databases for each of the European operating companies to an Oracle database on a Mid-Range UNIX platform.• Data analysis and extraction of a large amount of data from the IBM system and subsequent load into the UNIX system.• Full development life cycle from liaising with the customer, writing high-level designs, technical specifications, developing applications, unit and functional testing and the design of JCL and schedules for the overnight run. The mainframe used OPC/ESA, CA7/CA11 and Unicenter/TNG on UNIX.• Presentation and assistance in the design used by both the Spanish and Austrian sub companies who wrote their own data extracts.• Setting up of test data to ensure the migration extract and load functioned correctly.• Full life cycle of the project from planning, development all phases of testing and successful implementation of the project into all of the designated countries• Testing of the system from unit testing, integration testing and full user and signoff testing of the systems prior to implementation.• Analysis of the overnight batches and recommendation of improvements for jobs to both run in parallel and improvements to JCL to ensure the batches fitted into the allotted window.• Support and tracking of the systems once in production, which included support of the overnight batch suites on both mainframe and Mid-Range UNIX. Correcting any errors and deciding whether to proceed with the batch or to allow users into the system and cleaning up of failures during the day.

Integration testing of updates prior to implementation.• Support of programme integration test, which was the largest build and test phase and consisted of all the tests required to confirm that the bringing together of the various components of the financial and billing programme supported the business objectives. Integration test was intended to test all the deliverables were working in unison.• I was involved in testing the business function, interfaces, restart and recovery and performance aspects of the programme. This also included the setting up and running of the full batch schedule using Control-M. Resolving any problems that were encountered either with the schedule, JCL, procedures or the VSAM datasets and monitoring the performance and timings.• Manual regression testing of batches and output files.• Establish procedures and processes for the testing of applications.• My major activities included, developing business scenarios, reviewing system test data, creating additional data if needed, creating expected results, executing integration test scenarios, recording system investigation requests, fix coding & performance problems, the re-execution of business scenarios until they had executed successfully and finally sign-off.

Verification testing of completely new credit card system prior to implementation.• Support of the Triumph credit card system. This being a COBOL II, DB2 and CICS system.• I was involved in Technical Verification Testing of the system prior to full-scale implementation. • Testing to ensure each release did not have any detrimental effect on the following: On-line performance, Batch performance, Application Integration, Operating procedures and Application security and controls. • This gave me exposure to SAS, Omegamon, Endevor, Platinum and OPCesa as well as COBOL, CICS and DB2 (SQL) and Install/1.• Co-ordinate parallel runs of Triumph and the existing system.• Co-ordinate the migration to production of the JCL, procedures and OPCesa schedules.• Analysis of the batches and recommendation of improvements for jobs to both run in parallel and improvements to JCL to ensure the batches fitted into the allotted window.

Various roles including programming and testing.• Customization of the insurance package HUON Version 3. This project was involved in making changes to the package to meet individual customers’ needs.My role meant making changes to the COBOL II, DB2 (SQL) and CICS system as discussed with the customer then testing to ensure compatibility with the rest of the system.• Functional testing of a new Customer Service System to be used by several of the regional electricity companies. This system being a large client / server development. I was involved in the server side utilizing my skills in COBOL II, DB2 and SQL.This also involved integration testing to ensure compatibility with the rest of the system and the creation of batch schedules. • Development of a new billing system for a telecommunications company on an IBM mainframe using COBOL II and DB2 databases. I was actively involved in the design and programming of routines used to access dataspaces, these being common routines used by several of the components. Proedit and QMF were used to access the DB2 (SQL) database for the setting up of test data.Linear VSAM files were used to hold and manipulate data whist it was passing through the billing system.