Stephen Leblanc Email and Phone Number

Manage a portfolio of regulatory reporting projects with a focus on trade reporting to MSRB, TRACE, LOPR, Blue Sheets, INSITE, and Large Trader. Build and execute data analytics solutions to identify potential reporting gaps and drive the effort to resolve them with upstream systems. Perform Supervisory Principal duties for daily, monthly, and annual operational processes that support the regulatory reporting function. Key Accomplishments- Designed and implemented a modernized reconciliation workstation layout, including the introduction of daily metrics, pre-defined closure comments, and classifications for exceptions.o Eliminated the need to manually cleanse inconsistent, manually entered data to ensure reporting is accurate. Replaced spreadsheet-based reporting with a relational database.o Reduced timeframe for reviewing fixed income reporting exceptions by 5 hours per month. - Built and implemented data analytics programs to reconcile daily trade reporting to INSITE and to validate MSRB, TRACE, Blue Sheets, and Large Trader reporting rules. - Designed next-gen, database-driven reports to replace existing, Excel-based manual processes. Projected gains will be approximately 20 hours of efficiency per month.- Introduced robotics proposal to reduce investigation time for exceptions by 23%.

Led a geographically dispersed development team, authored a trade surveillance and supervision business and technology strategy for major business lines , and improved platform-wide operational stability. Member of the Senior Leadership Team and participant in the design and implementation of an organizational strategy and transformation effort. Product Highlights- Led the expansion of surveillance and supervision detection model inventory by 350%. - Increased the customer base by 120%, integrating all major business units and their surveillance solutions into a consolidated platform.- Reduced platform incident counts by 13% between September 2019 and September 2020.- Reduced middle tier server footprint by 60% in 2020.- Led the consolidation of two large AML case management and SAR filing solutions into a single platform.- Implemented a model risk management analytics platform that identified 3 operational issues in the first year that otherwise would have gone undetected Organizational Highlights- Re-skilled 80% of the development team between October 2018 and September 2020 with a focus on hiring resources with experience in Java, Cloud technologies, and advanced analytics.- Consolidated the product team from 5 to 3 site locations and brought span of control from 4:1 to 7:1.- Evaluated non-labor expenses and set a plan to backfill long-tenured contract resources, reducing labor costs per resource by 21%.- Transitioned 3 scrum teams from waterfall to agile delivery methodology.

1. Product Management Responsibilities - Manage the implementation of the Actimize product suite to support Retail, Institutional, and Asset Management Compliance. Also supports Ant-Money Laundering and Customer Protection business lines. - Establish and maintain the product roadmap. - Oversee the performance and execution of a nightly batch stream consisting of 300+ jobs - Oversee a $10M program of development projects focused on reducing regulatory risk - Manage product finances including labor, licenses, contracts, and intrastructure expenses. - Manage vendor and customer relationships2. Management and Organizational Responsibilities - Manage a geographically dispersed development team consisting of 50+ people. - Conceptualize, plan, and execute a team organizational transformation - Perform people management responsibilities for a team of development managers, analysts, and software developers.

1. Project Management Responsibilities- Lead Actimize software development projects. Build detection models that analyze retail and institutional orders, executions, trades, wires, and journals. Ancillary data includes market data and related operational processes. - Lead projects to upgrade, transition, or decommission infrastructure components where appropriate.- Support and optimize nightly batch cycle. Assess performance against SLA Agreements. - Lead projects to implement vendor software upgrades; implement bug fixes reported via production support queues- Assist with managing vendor relationship2. Management Responsibilities- Perform people management responsibilities for a team of analysts and software developers. Responsibilities include career planning, mentoring, and delivering merit/bonus evaluations.- Plan, organize, and execute an organization-wide ‘Lean’ program for Corporate Technology Group aimed at reducing lagtime, rework, and/or redundancy in daily practices.- Oversee and implement process improvement initiatives specific to onboarding, change/release management, systems design, and project management.

- Performed as project manager and lead systems analyst for multiple retail brokerage compliance-related technology initiatives. Understand, interpret, and document complex business requirements - Analyze large sets of brokerage-related data using SQL.- Formally managed project plans, budgets, and risks/issues to ensure projects were delivered on-time and within budget.- Trained junior analysts on brokerage and finance-related concepts and how to effectively prototype solutions and analyze data.- Coordinated and participated in functional, performance, and user accepting test phases for all assigned projects

- Performed as Lead Analyst for web based, custom-built, enterprise-wide access request/provisioning workflow tool. - Organized and documented process flows, business requirements, and screen specifications for enhancement initiatives and a major product re-write/re-design from ASP COM to .NET. - Built an end-to-end application prototype using HTML to aid customers in understanding system process flows, screen layouts, and overall site layout for proposed system re-write.

- Performed as the user acceptance test lead for a large-scale Java/Corba application development project at a top health care services provider in Detroit, Michigan.- Performed as lead business analyst for a technical environment assessment that included CRM, Intranet, Internet, and Data Warehouse systems at a top financial services company in Boston, Massachusetts.- Responsible for the definition and creation of an entire suite of user acceptance testing best practices guidelines. - Assisted with the functional design of thirty-two canned reports for a large-scale Java/Corba application development project at a top health care services provider in Detroit, Michigan.

- Perform detailed IT risk assessments and entity-wide IT control reviews over financial accounting systems, on-line trading websites, and system security applications for top Financial Services companies in Boston, MA, Dallas, TX, and Washington D.C.- Advise upper management on IT control breakdowns and provide recommendations for improvement.- Provide IT consulting services to a number of top Financial Data Services companies in Boston- Perform business process reviews that include; interview, analysis, documentation of the process, recommending improvement, and presentation to management.