Thomas Brown Email & Phone Number

New York, Ny, Us

Project Manager – CSI Legal – ERISA QPAM Project• Plan, lead, and oversee aspects of JPMorgan Chase’s individual Qualified Professional Asset Manager (QPAM) exemption requirements, meeting deadlines and objectives which include preparation of the annual compliance report certified by the firm’s senior QPAM compliance officer.• Verify firmwide ERISA/QPAM compliance policies and training for employees across the lines of business where QPAM legal entities operate.• Work with Human Resources to verify training assigned and completed during the compliance review period. Also worked across lines of business to validate Monitoring and Testing performed related to ERISA requirements.

Charlotte, Nc, Us

Business Analyst – Remote Risk Horizontal Team • Analyze sets of technical JIRA stories for compliance to proprietary governance requirements (Remedy).• Interacting with development and other technology team members to coordinate updates to JIRA tickets in preparation for production releases.• Summarize the content of the code changes into cogent summary descriptions, success criteria, and stability metrics statements.

San Francisco, California, Us

• Documented functional specifications, conversions, upgrades, interfaces, reports, forms, and workflow as Wells Fargo prepared to move the branch audit function from cMAX to RegEd.• Translated business requirements into appropriate functional specifications.• Acted as a liaison and participated in defining technology solutions to tackle complex multidisciplinary business problems with long-term implications.

• Worked closely with the Client and development team to review the documentation and specifications during System integration testing by the client.• Balanced business & technology issues and communicate appropriately with both technology and business experts.• Collaborated with end-users to define and execute test scenarios and ensure appropriate end user acceptance.• Worked with product management, clients and the user community to define business requirements as needed• Maintained appropriate project documentation and provide timely communication of project statuses.

Tokyo, Jp

• Supported Management Reporting for the PDAD-Controllers Group. Interreacted and coordinated KPR (Periodic Client Review) Reporting between AML (Anti-Money Laundering) and KYC (Know Your Client) Teams, also (QA) Quality Assurance, (QC) Quality Control, and the RMs (Relationship Managers).

•Facilitate the planning, delivery, and control of projects and programs based on the objectives, scope, and resources agreed by stakeholders for Change-the-Bank projects within the Client Due Diligence Project and the Client Risk Rating Project.•Support the Project Manager in the definition of project plans including key activities, deliverables, milestones, road-maps, and people, technical, and funding requirements within the Financial Crime Department.•Organize and host periodic progress meetings and prepare documents for steering committee meetings with senior management and multidisciplinary teams to facilitate decision making and provide transparency.•Compile spreadsheet and Score Card information from the lines of business into Microsoft Project Plan. •Assisted senior management in the updating of PowerPoint slides to be presented to Regulators for the Quarterly Anti-Money Laundering (AML) Review Meeting.•Provide BA support for the Global Client Risk Rating Project work stream by reviewing the BRD, creating Score Cards, producing meeting minutes, and developing a RAID Log.•Prepare and update PowerPoint presentations for the monthly Cross Line of Business Meetings and Steering Committee Meetings.•Organize detailed walkthroughs and global meetings related to the Investment Bank Global BRD to obtain final approval / sign-off.

Senior Business Analyst, Strategic Statement Conversion to Broadridge Project at Citibank, Jersey City, NJ• Verified documentation for current state BRD (Business Requirement Document) for Citibank Private Bank and Capital Markets as Citibank prepares to redesign client statements using the Broadridge platform. • Documented test execution results and mapping exercises between current state and the new mockup statements.

Senior Business Analyst, Department of Labor Fiduciary Rule Implementation Project at TIAA-CREF, NY, NY • Consulted with business/product management and personnel to identify, define and document business needs and objectives, current operational procedures, problems, input and output requirements, and levels of systems access. • Acted as a liaison between departmental/product end-users, technical analysts, consultants and others in the requirements gathering, analysis, design, configuration, testing and maintenance. • Analyzed the feasibility of, and developed requirements for new systems and enhancements to existing systems; ensured the system design fits the needs of the users. • Migrated Standard Operating Procedures Manuals (SOP’s) to the RegEd System allowing cost effective automation of Compliance with FINRA and SEC regulatory requirements while establishing new levels of operational efficiency and mitigating risks. • Tracked and fully documented changes for functional and business specifications; prepared detailed universally understood procedures for permanent records and for use in training. • Identified opportunities for improving business processes; assisted in the preparation of proposals to develop new systems and/or operational changes.• Participated in user acceptance testing and testing of new system functionality.• Assisted in studies of new and existing programs and special projects to determine feasibility, resolve problems including organizational, procedural, technical and fiscal research and analysis; develops policy and procedures to improve efficiency, cost-effectiveness, and/or improve internal and external customer service; develops documentation; prepares reports and written findings and recommendations; and monitors changes.

Zurich, Ch

PM/BA responsible for the brokerage work stream related to the Department of Labor Fiduciary Rule which was handed down in April, 2016•Served as the Project Manager for the DOL Fiduciary Standard Project by updating project plans related to the Best Interest of the Client (BIC) and IRA Rollovers for the brokerage portion of the project. •Updated the project dashboard detailing the weekly status of key accomplishments and milestones.•Performed Business Analysis for Business Requirement Documents (BRDs) related to IRA plans and verifying the high level scope and IT requirements.

New York, New York, Us

•Compose and deliver business documents such as business use cases, business requirements, and testing scenarios to meet project objectives. •Support development team through gathering customer requirements and translating into technical deliverables. •Maintain Action Plans for E2E owners by updating Due Dates, Completion Dates, Confidence Levels, and the Status of open defects for senior management.•Update the project dashboard by defining a defect’s Root Cause, Fix Description, Expected Change, and Summary.•Consolidate the book of work in SharePoint.•Resolve/escalate issues as needed to successfully deliver projects on time with the highest of quality standards.

Frankfurt Am Main, Hessen, De

•Verified current state BRD (Business Requirement Document) related to the Federal Reserve Board and the Dodd-Frank rules imposing standards and requirements on Foreign Bank Organizations (FBO’s). The basis of the project is to net TBA derivatives transacted using the Depository Trust and Clearing Corporation’s (DTCC) MBSC (Mortgage Backed Securities Division (MBSD) as the Central Counter Party (CCP). The estimated balance sheet reduction through this initiative is USD 1 billion which translates into a capital charge savings of USD 75 million. •Authenticated test scripts, organized testers, scheduled testing modules, tracked defects, and reported quality assurance results allowing the Appix Wire function to be internally transferred from one server to another.

New York, Ny, Us

• Prepared documentation for current state BRD (Business Requirement Document) and FRD (Functional Requirement Document) for Chase Wealth Management as JP Morgan Chase prepares to redesign client statements. • Documented statement GAP analysis between current state new mockup statements.

• Coauthored the BRD (Business Requirement Document) for Citibank’s Stock Record Department and contributed to the Securities Lending BRD. • Liaison between Broadridge and Citibank counterparts to draft Current State Analysis and Future State Analysis for Trade Life Cycle, Cash Management, and Futures Support.• Created flow charts documenting system and departmental dependencies and recording results on Citibank’s internal SharePoint system.

Us

Processed numerous daily transactions within the Middle Office Securitized Products Department related to the Lehman Brothers bankruptcy and the affiliated business lines. • A Project Team Member that collaborated with three hundred professionals in the effective unwinding of the Lehman Brother’s business assets. • Prepared daily open items reports and operation/procedural manuals for senior management. • Maintained and reconciled client balances for leading accounts.

New York, Ny, Us

Provided expertise for all MBSCC (Mortgage Backed Securities Clearing Corporation) processing, matching, and netting via the MBSD (Mortgage Backed Securities Dealers) of DTCC (Depository Trust Clearing Corporation) using Broadridge Operating Systems including IMPACT and MBS Expert. • Executed over 10,000 trade tickets and manually processed 2,000 third party trade assignments on a monthly basis utilizing MBS Expert, WinFits, and WebFits. Barclays ranked in the top five for overall street volume.• Interacted daily with DTCC and Repo Desk to maintain mandatory levels of margin collateral at DTCC and processed and reconciled all related cash movements.• Worked with counterparts at Lehman Brothers to receive and merge their inventory of mortgage backed securities to the Barclays’ internal operating systems. All of the positions were correctly transferred in a timely manner and the following payable dates were properly executed.Performed IMPACT system testing in preparation of Barclays Capital launching their new mortgage backed securities business and processed the related monthly principal & interest transactions for foreign and domestic clients. • Acted as a liaison between Proof & Control Department to resolve cash and securities discrepancies. • Reviewed and authorized incoming and outgoing claims and the related cash wires.

Boston, Massachusetts, Us

Managed a team of sixteen consultants and supporting staff responsible for the identification, research, and documentation of 2,200 open items pending escheatment. • Reduced a Pending Escheatment Account by 96%. Items were reduced nine-hundred to forty. The corresponding cash was reduced from USD 1.44 million to USD 88,000.• Provided custom templates for clients including categorization for asset allocation and determining average daily cash balances.

Senior Accountant, Endowments and Foundations Department (1993-1994)Performed all accounting functions for a major university and private foundation with a combined market value in excess of USD 3 Billion. • Prepared monthly, quarterly, and annual reports. Reconciled positions in the Global Accounts to the Domestic Accounts. Developed custom reporting to assist in the accuracy of the billing process.• Monitored the University’s Gift Account and processed a weekly liquidation and cash distribution to various accounts.Account Administrator, ASG, Frank Russell Service Team (1991-1993)Monitored pricing and verified trade information for the daily valuated funds for the Frank Russell Trust Company. • Verified and input trades for an Equity Fund with a market value of USD 1.5 billion. • Audited statements of Asset and Liabilities and Transaction Statements to determine the Net Asset Value of two semi-monthly Equity Funds.• Provided same day valuations of a Fixed Income Fund with a market value of USD 200 million.Global Clearance Clerk, Global Custody Department (1989-1991)Directed daily operations for the largest accounts at Cedel, Luxemburg, and Euroclear, Brussels.• Balanced daily cash settlements of foreign currency accounts within Cedel and Euroclear to our on-line system with a market value of USD 1 billion. • Reviewed daily variance reports, researched open and failing trades to minimize risk exposure.• Prepared daily MIS reports detailing cash balances and trade settlements for correspondent banks on a worldwide basis and organized an inquiry tracking system between international offices.

Frankfurt Am Main, Hessen, De

Audited monthly, quarterly, and annual reports for eight endowment and foundation accounts totaling 150 component accounts with a market value in excess of USD 5 Billion. • Prepared monthly MIS reports detailing accuracy and timeliness of expected deliverable dates and exposure relating to stock certificates (shares) held elsewhere (SHE Items).