Jacob Roitman

Developed and revamped a 500 plus page user guide that illustrates and clearly describes the multi-varied features of the Deal Management System used by hundreds of IT and business personnel.

Developed and revamped the Bank of America Merrill Lynch Global Banking & Markets on-boarding document for new team members.

Using a structured "Given - When -Then" format, designed- the newly developed Change Log subsystem for the Deal Management System - Research Escalations application.

Performed Q.A. on various Deal Management System subsystems, detected bugs, and developed Agile user stories to correct them - in collaboration with technical personnel.

Participated in Agile Scrum meetings and helped to assess new system Agile Stories that were presented during these meetings.

• Managed the implementation of ICBC FS adapting to the SEC Amends Exchange Act Rule 15c6-1 to Require Settlement of Routine Securities Trades in One Business Day Following Trade Date (T + 1), effective May 2024.
• Facilitated the conversion to Broadridge and the QA of a critical multi-section report for ICBC upper management – known as the Client MIS report. The first section of the report contains “Clearing Fund” information for various entities based upon accounting/general ledger data. The remaining sections contain information concerning transactions processed and fails/aged fails.
• Designed/Managed the conversion and QA of the following ICBC FS to Broadridge reports and systems:
• Six Sanctions Regulatory Report
• International Securities Settlement Report
• Regulatory Exposure Report
• Repo Exposure – Including and Excluding Next Day Settlement Reports
• PAB, Customer Balances, and FX Reports
• Forward Start Repo Report
• Customer Cash Projection Report
• Cash Margin Interest Report
• Internal Settlement Reports
• Consolidated Risk Summary Report
• Settlement Risk Summary Report
• GIIN – Country Validation for Foreign Accounts System
• Client Notice – Address Change System
• New Account Disclosures System
• As of Trades Report

• Met and often surpassed business expectations by successfully accomplishing the following achievements:
• Led a team of 4 Agile business analysts via daily “Stand-Up” calls, JIRA story refinement, consultation with the business and with the development team. and extensive QA/UAT in producing several key initiatives and “Business as Usual” deliverables - including the following:
• Deal Management System – Automatic Deal Team Reactivation
• Deal Management System – Deal Information Panel and Follow-Up Date enhancements
• Improved the efficiency of Global Control Room operations by providing the Global Control Room the ability to simultaneously retire multiple companies from a deal in the Deal Management System.
• Centralized UK/Irish Takeover Panel audit control processes related to 30 variable content memos by providing the Global Control Room the ability to send these memos from the Deal Management System to various business areas and individual recipients.
• Enhanced the validity and reliability of new system enhancements by partnering with the development team to analyze, test, identify, and document Deal Management System issues and create stories and UAT scripts.
• Enhanced the ability of Compliance to manage the surveillance of non-public information in the Deal Management System - via a mechanism that allows the Global Control Room user to bypass entry of the Enhancement Information Release Date
• Enabled users to clearly understand processes in the Compliance and Risk Management Technology group by upgrading and redesigning the Deal Management System user guide.
• Helped to identify and resolve numerous Deal Management System issues and tracked them via both Quality Center and JIRA.

• Helped Deutsche Bank improve its 1099 and 1042 tax regulatory reporting by leveraging the Wall Street Concepts Tax Reporting system.
• Facilitated the automation of Deutsche Bank 1099 and 1042-S Tax Reporting
• Converted data from a Legacy platform to the Wall Street Concepts Compliance Plus platform.
• Performed extensive QA and UAT testing and documented the results.
• Designed comprehensive Key Operating Procedures documents containing detailed step-by-step instructions and illustrations on how to utilize the Wall Street Concepts Compliance platform during tax season.
• Developed a Compliance Plus Integration PowerPoint presentation document designed to showcase for management features of the automation project and plan.
• Helped Deutsche Bank to improve Chapter 3 and FATCA compliance for Syndicated Loan and Notional Principal Contracts products.
• Mapped Syndicated Loan and Notional Principal Contract scenarios to various Compliance Technologies International (CTI) input parameters to obtain Tax Withholding Rates and Reporting details.
• Designed mapping documents and user guides that explain and illustrate the mapping elements.

• Improved the quality of PMO presentations to Digital executives.
• Elicited and assessed program and project-based information from Digital Strategy responsible parties and ascertained that project milestones and dependencies were aligned with strategic goals.
• Integrated elicitation and assessment findings into updated and new PowerPoint slides.
• Reviewed the Qlik business intelligence tool pilot PMO dashboard and recommended the inclusion of key performance indicators (KPIs).
• Helped to integrate PMO activities within Agile sprints and presented progress reports to Digital team members during daily Scrum meetings.

• Solidified the Tax Services Product Roadmap, which consists of a listing of enhancements and defect corrections required for the current tax year and developed many of the requirement documents which describe the enhancements and corrections in detail:
• Developed Business Requirement documents to ensure that Broadridge Product applications support new tax withholding and regulatory reporting requirements, such as Chapter 4 - FATCA.
• Developed Business Requirements documents designed to support new Cost Basis regulations.
• Developed a Business Requirements document consisting of Transaction Codes processing rules designed to resolve product defects related to Non-Mortgage Widely Held Fixed Investments (NMWHTFI), Unit Investment Trusts (UIT), and Real Estate Mortgage Investment Conduits (RIC).
• Led meetings with project managers, developers, subject matter experts, and end users to drill down to the detailed components of the defects and achieve consensus on how to remediate them.
• Made it possible for Broadridge to adapt to the evolving and continual changes with its data structures by developing naming conventions and standards and utilizing them during the development of file layout documents:
• Prepared a consolidated file layout and test file document which reflects Transaction, Trade, Stock Record, Cost Basis, and 1099 Interest and OID Income Adjustment files sent by BNP Paribas to Broadridge and uploaded it to SharePoint.
• Developed carefully calibrated file layouts for the various security modules in the Debt Processing Engine, integrated them into a consolidated file layout, and uploaded it to SharePoint.
• Developed a consolidated file layout designed to support the transfer of FATCA tax withholding data to and from Compliance Technologies International (CTI).
• Strengthened relationships between key clients and Broadridge by developing monthly “Client Centric” Release documents consisting of user-friendly descriptions and explanations of technical and functional enhancements to Tax Services systems and the user acceptance testing done to achieve them.

• Reduced costs for Broadridge by completing the following critical cost reduction projects well ahead of schedule:
• Tags and Flags suppression for selected mailing methods so that material costs may be reduced.
• Automation of the printing of In-Line Move Logs following the printing of Fulfillment media so that processing costs may be reduced.

• Improved the monitoring of important production applications by implementing the replacement of the Windows Scheduler with the Maestro Scheduler for PowerBuilder and Notrix Lotus Notes applications as part of the Maestro Standardization project.
• Streamlined the process of resolving business issues by documenting solutions for frequently occurring issues, creating standard operating procedures for resolving them, and training the Offshore team.
• Managed the implementation of up to ten projects during the monthly release weekends and ensured that the testing evidence provided in Remedy for these projects was reliable and valid.
• Resolved and significantly improved the turnaround time of New Business and Retail Life Administration business service and problem issues, including SOX compliance regulatory reporting and recertification.
• Designed, implemented, tested, and installed the automation of key internal and external Compliance systems. These systems were written in SQL and Cobol and were hosted in both a MVS environment and a Unix based relational Universal Data Base (UDB) environment. A highlight of systems follows:
• Rewritten Business internal compliance system designed to track un-disclosed replacement activity (churning).

• Developed and maintained for the AML business area that reports to the Financial Crimes Enforcement Network (FinCEN) Anti-Money Laundering Exception Regulatory Reporting (Suspicious Activity) an external compliance system designed to detect possible suspicious activity in Life, Annuity, and Broadridge transactions.
• This system involved interrogating a database containing MetLife contracts and transactions to ascertain whether there were any red flag indicators signaling the possibility of Money Laundering and producing numerous reports.
• Held meetings with the AML business area to arrive at business requirements and documented them.
• Designed and developed SQL AML reporting systems - including QA and UAT testing protocols.
• Planned and tested the transition of the USA Patriot Act Anti Money Laundering Office of Foreign Asset Control system from a desktop to a Web-based platform with new database and AML OFAC servers.
• In conjunction with the Performance Testing Group (PTG), planned and coordinated Capacity and Volume stress tests to make sure that the system could manage large volumes of data at any one time.