Steven Edelstein Email & Phone Number

New York, Ny, Us

New York City

I am the Director, Regional Head of Talent Acquisition for North America to CMA. I have been with Capital Markets Advisors since its inception.As the DIrector, Regional Head of Talent Acquisition for North America for Capital Markets Advisors my responsibilities include:* Recruiting for Consulting / F/T positions with various financial companies in U,S and Canada.* Recruiting for Financial Advisors / Independent Advisors for major Regional and National Brokerage Firms.* Source and screen high volumes of resumes using social media, job boards, cold calling and recruiting systems.* Involved in full recruitment cycle involving sourcing, identifying, interviewing, screening, formatting resumes, interview preps and follow-up with candidates.* Screen and qualify perspective candidates by phone interviews evaluating candidates compatability with specific job requirements ensuring the candidate is the right fit before submission to the client. * Coordinate client interviews, providing detailed preps for candidates and delivering detailed and accurate feedback in a timely manner..* Oversee the placement process until on-boarding is complete.* Built and maintain a candidate pipeline to fill present and future openings. * Maintain a working professional relationship with all of my resources. I have a deep understanding of the needs of our clients in the U.S. and Canada and am highly selective about the type and quality of candidates that I represent.In addition, I have over 25 years of experience working as a Senior Business Analyst and Project Manager for various financial service institutions. My demonstrated accomplishments as a Senior Business Analyst include finding solutions for existing and new procedures within trade processing, money transfer, credit risk management, regulatory/compliance and migrating legacy applications. I have also worked as a Project Manager for the SDLC of several projects.

Avenue Of The Americas

This project implemented a new product (MLT) that offered term life insurance (requiring underwriting) to its customers. Collaborated closely with the business stakeholders to understand their informational needs, data sources and functional requirements. Translated these business needs into clearly defined and documented detailed business requirements, functional requirements, process flow diagrams, use cases and test cases/scripts. Responsibilities included:• Lead Senior Business Analyst on Legal and Compliance Work Stream – met weekly with legal department to review any outstanding issues/problems and review any client-facing correspondence, documentation, state policy packets and disclosures for accuracy and content.• Lead Senior Business Analyst on Finance and Accounting Work Stream – worked with internal sales team and financial business stakeholders to determine the commission compensation % and claw backs for each distribution group. Also work on the two methods of premium payment by either check or EFT.• Managed requirements and change request throughout the process.• Created the Use Cases for customer method of payment (EFT or Check) and commission compensation percentage. • Created test plan that contained test scripts, test cases, test data and expected results for SIT and UAT.

Stamford, Ct.

Senior B/A on the implementation of a Global Compliance System - Autonomy (HP Vendor Package). The goal of the project was to provide a global technical solution for electronic communication monitoring and supervision; ensuring the regulatory and firms’ compliance in the areas of electronic messaging (e.g. email, fax, chat etc.). The Autonomy solution served as the strategic supervisory and monitoring tool for review of employee electronic communications including incoming and outgoing e-mails flagging possible inappropriate messages for mandatory review by a designated supervisor, This new system provided the Compliance staff with the functionality to analyze, conduct T+1 reviews against lexicons and undertake conceptually related searches based on an initial query. Responsibilities included:• Prepared power point presentations and written reports for senior management.• Represented business when providing input or suggestions to the Programme Manager and Project Manager.• Worked with Vendor to prioritize requirements, ensuring the Business priorities/needs were reflected. .• Performed gap analysis to ensure that all business requirements were met and reviewed with business stakeholders any pending gaps.• Created power point presentation and conducted training workshops for Compliance personnel on creating policies and lexicons in Autonomy Supervisor.

Royal Bank Of Scotland (Rbs)

Royal Bank of Scotland (RBS) (08/11 – 02/12) Senior Business Analyst – Credit RiskThe scope of this project was to specifically analyze the impact on credit and market risk of the integration of ABN AMRO Bank into the RBS infrastructure. The business objective was to transfer products, systems, client contracts/trades and all assets and positions from ABN AMRO Bank to RBS. From a business perspective and credit risk specifically the goal was to evaluate, control risk and minimize risk exposure to RBS while proactively monitoring counter party risk and the banks potential loss if the counter party defaulted. Also responsible for ensuring client on-boarding and KYC/AML were compliant with all relevant regulations and bank policy. Responsibi;ities included:• Provide Senior Management with weekly updates and PowerPoint Presentations. • Analysis of data feeds, data analysis and data mapping of the financial instruments used by ABN AMRO Bank.• Created Business Requirement Document, Use Cases, Process Flows and Functional Requirement Document. • Managed and maintained change requests/issues throughout the project using Jira. • Responsible for performing gap analysis vs. current policies and procedures in order to determine areas where deficiencies existed as they related to the Dodd-Frank Title V11 proposed/final rules that were issued.• Daily interaction with Credit Risk Managers who were a demanding user base.• Conducted enhanced due diligence reviews on higher risk clients including analyzing source of wealth, beneficial ownership and other risk relevant information using World Compliance, OFAC and Lexis-Nexis.• Served as the primary point of contact between IT, Risk and the Front Office to ensure that all trades were captured and flowed all the way through the process during the migration, Worked in a tight control and time-sensitive environments to complete the migration.

New York, N.Y.

Completed the analysis of the migration of two legacy credit engine systems into a new Risk system developed in-house. Analysis included the data feeds, data analysis/mapping, process flows and all generated reports. Another project included finding a solution to link both legs (client facing (cash) and embedded derivative option) of Structured Repo Transactions together for analytical and downstream processing. Responsibilities included : • Worked with business stakeholders, managers and IT staff to analyze, document and gather requirements.• Maintain the project plan and ensure the specifications and documentation adhered to SDLC guidelines.• Created the Project Charter Document adhering to corporate guidelines• Analysis of the data feeds, data analysis and data mapping.• Created test plans that contained test scripts, test cases, test data and expected results for SIT and UAT.

New York, N.Y.

Senior B/A on several projects for DAC (Data Acquisition Control), which was a global data warehouse system, that supplied credit data to internal bank customers (Credit Risk, Basel, Portfolio Risk, Stress Testing, Reconciliation). My primary responsibility was to manage multiple projects for Credit Risk Management for Cash Equities and Derivative products. Some of these projects included missing ‘pledged’ collateral on repos’, negative dividend amounts, and incorrect product type on incoming feeds. Responsibilities included:• Worked with the business stakeholders/operation/IT staff to analyze, document and gather requirements using Agile Methodology.• Data analysis/data mapping, upload data feeds and testing the correct population of the data. • Business Analysis, Documenting Requirements, Requirements Management and Quality Assurance.• Tested reconciliation process of feed into the global data warehouse and feed into the G/L.• Managed and maintained issues using Jira. • Created test plan, test scenarios and test cases based on Business Requirements and Technical Documents.• Used industry standard tools including TOAD and HP Quality Center.

Stamford, Connecticut

Worked on several projects for Trade Monitoring (Group Shareholding Programme) which is a system used by the compliance department in order to file the regulatory shareholding reports within the different jurisdictions around the globe. The system amassed position information for all equity and equity related securities held within the bank including all relevant holdings, which have either voting and / or disparities power on the shares. Compliance had to report to regulators whenever the bank owned (or had control of) more than a certain % in a company. Responsibilities included:• Created the Business Requirement Document with Use Cases and the Functional Requirement Document. • Data analysis/data mapping form multiple feeds.• Produced well-documented findings (Gap Analysis) and discussed deficiencies with Management and IT. • Ensured that system requirements met business needs and that the business was able to fully integrate and implement required system features.

Worked on the analysis and assessment of automating the Collateral Management process for deals within wealth management, which was being done manually. On an end-of-day basis, market prices (from Bloomberg and S&P) were uploaded into the system. A daily determination was made to see if a collateral call or a post was required for a given counter party. If the threshold for a change in market value were breached (currently set at $250K), then the middle office would reach out to the associated counter party to affirm. If a movement of collateral was required, an email was sent to the custodian bank. Completed analysis for migrating the middle office functionality (Collateral Management/Event Reporting) of OTC derivatives including (Credit Default Swaps and Interest Rate Swaps). A determination was made to leverage an in-house system (within the investment bank), which would automate the collateral management process. Created Current and Target Environment Assessments including process flows and PowerPoint presentation for senior management.

Greater Boston Area

Senior B/A on several projects for Equities and Regulatory/ Compliance. Some of the projects included improving the buy-in process and working with Regulatory users for implementation of SEC Reg M Rule 105 (short sells), NASD LOPR (large option reporting) and NASD 3150 Insite Reporting. Large Options Positions Reporting (LOPR) enforced the NASD Rule 2860(b) (5) which required member/non-member Firms to file, or cause to be filed, reports for each account that has an aggregate position of 200 or more options contracts (whether long or short) on the same side of the market covering the same side of the market covering the same underlying security or index. LOPR was developed by Options Clearing Corporation to host the new LOPR interface and data repository. Sec Reg M Rule 105 - This involved working with the Broker/dealer syndicated desk to determine if there were any ‘buys’ to cover a short sale with the secondary offering within 3 days prior to the offering date. I was responsible for the analysis, requirement gathering, created the BRD and FRD, Use Cases, Trace Ability Matrices, Gap Analysis, worked with IT for technical specifications. wrote test cases and assisted in UAT. NASD 2860 LOPR and NASD 3150 Insite Reporting:• Read and interpreted the regulatory/compliance rules understanding their impact. Worked with stakeholders in regulatory, compliance and legal drafting requirements based on interpretation of the rules.• Maintained the open issues log and managed requirement changes throughout the project.• Created the BRD, FRD, Use Cases and managed change requests throughout the project. • Ensured that functional requirements met business needs and IT was able to fully integrate and implement required system features.• Implementation of mandatory LOPR Submissions to OCC in FIXML for each account that had an aggregate position of 200 or more options

Boston, Ma.

As a competitive differentiator for their direct access of buy-side and sell-side clients, lead a team of 12 business and technology resources as the overall Project Manager and Lead Business Analyst in the phased development and implementation of FIX connectivity for new and existing clients with the OMS/EMS engines connecting to various exchanges for equity and option orders including executions. The overall project spanned 18 months with monthly implementations; which included technology changes, business process changes and related documentation for operating in the new environment. Responsibilities included: · Managed 24-hour production support hotline for trading system including FIX connectivity (v 4.1 – v 4.4).· Responsible for project feasibility in terms of scope, resource ramping and creating/maintaining the project plan.· Managed day-to-day aspects of client relationships and solution implementations.· Provided business knowledge expertise in strategic performance management methodologies, process assessment work and the application of technologies to business.· Fostered customer loyalty by ensuring that the customers fully utilized company solutions and services.· Motivated team members, drove working groups and resolved disagreements..

New York, N.Y.

Project Manager/Lead Business Analyst (F/T)The scope of this project was to increase global business and revenues by opening up the European and Asian affiliates (retail and institutional) for the automated STP of U.S. equity and option trades. I led a team of 2 business analysts and 3 technology resources thru the SDLC of the project in a phased implementation of a front end trading system into the OMS/EMS systems with related business process, technology enhancements and all associated documentation. Phase 1 for equities was implemented in 18 months and options implemented 6 months later.• Led the project using ‘waterfall methodology and resolved day-to-day issues with emphasis on SDLC.• Collaborated with business and technology teams to define key priorities and ensure objectives were met.• Lead Business Analyst which included working with the business users and IT staff to produce the business/project artifacts including analysis, requirements, documentation, business requirement document, open issues log, traceability matrices, gap analysis, use cases, current and future state process diagrams, functional requirement document, test cases and other documents.• Business Analyst for (OATS) mandated by NASDAQ – Member of team responsible for the analysis, design and implementation of OATS. The design solution and architecture consisted of taking copies of the orders from the various OMS systems, managing the process of storing these orders (in fix format), generating Reportable Order Events (ROE), creating the Firm Order Reportable Event (FORE) files and submitting them. For any message that was rejected, a system was in place to allow the user to look at the error, correct it and re-submit, Responsible for the analysis, requirement gathering, working with the business stakeholders, created process flow and data diagrams, Business Requirement Document, Use Cases, test cases/test scripts, SIT and UAT.

New York, N.Y.

Initially assigned to the International Money Transfer system, which processed the payments for the Regional Service Centers as well as payments prepared/verified in NYC. I was one of the lead analysts participating in the design, analysis, development, coding, testing and conversion/implementation of a new GLOBAL MONEY TRANSFER SYSTEM, which combined the business functionalities of the International and Domestic Money Transfer Systems. · Major participant in the analysis and requirement gathering for technical specifications and documentation.· Participated in code review, walk-through, evaluation of specifications and presentation· Wrote Chips Formatter for new structure mandated by the CLEARINGHOUSE· Wrote Fed Formatter for new structure mandated by the FEDERAL RESERVE.· Wrote Swift Formatter for MT 200s’ (Category 2 – Financial Institution Transfers). · Implemented a new Transaction Inquiry System.