Praveen Bollam

Canadian MARGIN – Segregation Process

• Team Size: 3

Project Description: Margin System is a valuable tool for effectively monitoring your customers margin accounts , which allows a customer to purchase securities with funds borrowed from the brokerage firm. Segregation is placing of securities in safekeeping for a customer. These securities cannot be used for any other purpose, such as collateral for a loan. Regulations require that fully paid securities in cash accounts be segregated. Margin is one of the most critical application system and we are new to this system

So we took the project as a big challenge, Analyzed the complete segregation process and completed the project successfully. Clients/product appreciated for the commitment and deduction we are show during this project.

Key Roles and Responsibilities:

• Work with Business team to understand new requirements
• Analyzing Programs and providing Technical Specs to the team
• Review Code changes, Unit test results and help team whenever required
• Providing support at the time of PROD/QA INSTALATION
• Promoting components to region & Scheduling jobs in OPC
• Change control Log Maintenance and Defect Fixes tracking
• Building team with Strong Functional Knowledge in Off shore and drive the Future projects.
• Designed strategic plan for component development practices to support future projects.

CARS – Customer Account Request System

• Team Size: 3

Project Description: CARS is application where some of the Online screens of Broadridge( Canadian Applications) are designed with GFW ( Global Frame Work) with CICS as the background. We have designed PLAN Contribution, Withdrawal screen’s background CICS integration programs for this project

Key Roles and Responsibilities:

• Work with Business team to understand new requirements
• Analyzing Programs and providing Technical Specs to the team
• Developing New components in Cobol, CICS, JCL, DB2, VSAM
• Review Code changes, Unit test results and help team whenever required
• Providing support at the time of PROD/QA INSTALATION
• Promoting components to region & Scheduling jobs in OPC
• Change control Log Maintenance and Defect Fixes tracking

QESI – Quebec Education Savings Incentive,

Team Size: 2

Project Description: Revenue Quebec has introduced its own Quebec Education Savings Incentive (QESI), which works in conjunction with information currently stored in RESP accounts but is applied for and received through Revenue Quebec directly and information regarding QESI is not reported to the CESP.

• A new and separate reporting process is required to apply for and receive QESI
• So we created a new screens for 1) QESI filing 2) updating the Beneficiary details 3) Check the status submitted requests and update if require
• We have also developed the separate Batch process for requesting the QESI and generate the required reports
• Designed a new database to store the records sent to Revenue Quebec as well the values returned by Revenue Quebec which correspond to the records sent

Key Roles and Responsibilities:

• Preparing Technical specs for the Enhancements and coding new components in COBOL, JCL, DB2, VSAM and CICS
• Managing Team of 2 members – Assign work to others, monitoring and guiding them to delivery all changes without any defects
• Providing quick resolution on REMEDIES
• Providing Production Support
• Promoting components to region & Scheduling jobs in OPC
• Give KT on application flow to team members and providing training to BR specific tools
• Involved in performance tuning of the program’s
• Change control Log Maintenance and Defect Fixes tracking
• PLAN – RESP (Registered Education Savings PLAN)

PLAN – RESP (Registered Education Savings PLAN)

• Simultaneously working for 4 projects from 2014), Team Size: 5

Project Description: The RESP product (Registered Educational Savings Plan) was developed by the Canadian government to encourage Canadian’s to save for their children’s future educational expenses

• RESP accounts are registered with both CRA (Canada Revenue Agency) and with HRSDC (Human Resources and Skills Development Canada)
• Upon account registration, an RESP promoter (CRA approved financial institution) can begin to apply for and receive grant from CESP (Canadian Educational Savings Program), the division of HRSDC which administers grant
• PLAN is one of the biggest application in BROADRIDGE Canada
• There are lot of other plans under PLAN System like RRSP(Registered Retirement Savings Plan), RRIF(Registered Retirement Income Fund), TFSA(Tax-Free Savings Account) we process all these plans and maintain them

Key Roles and Responsibilities:

• Preparing Technical specs for the Enhancements and coding new components in COBOL, JCL, DB2, VSAM and CICS
• Managing Team of 5 members – Assign tasks, monitoring and guiding them to delivery all changes without any defects
• Providing quick resolution on REMEDIES
• Providing Production Support
• Promoting components to region & Scheduling jobs in OPC
• Give KT on application flow to team members and providing training to BR specific tools
• Involved in performance tuning of the program’s
• Change control Log Maintenance and Defect Fixes tracking.

Project#1 JPM LIFT & SHIFT - Mainframe Project :

• Team Size: 12

Description: Lift & Shift of JPM Dividend Application (Mainframe code) to Broadridge and integrate it with Broadridge Applications/System. Analyzing JPM code and identifying different functional/business interfaces (Inputs sources of the System) and how to redesign them at Broadridge.Technically make changes to 1000+ Programs, 1300+ Jobs/PROC’s, Cards, Tables

Roles and Responsibilities:

• Managing Resources and allocating tasks, monitoring them to completion and providing required assistance to the team
• Resource planning, Project planning and ownership of implementation as per agreed timelines
• Coordinated with cross-functional teams to finalize the solution, resolve project issues and mitigate risks.
• Daily Client meetings to identify Solution for each interface and get required Sign off.
• Monitored project performance to identify areas of improvement and make adjustments.
• Provided detailed project status updates to stakeholders and executive management.
• Analyzing JPM Programs/Modules to identify different Interfaces (inputs sources) and how to replace them at BR
• Automated common code changes across all modules using REXX tool
• Recruiting Team Members –Taking Interviews, Onboarding and Training them on the Project

Project # 2 Title: JPM DVWEB - JAVA & Mainframe Project - Java, Spring, Angular, JIRA, Jenkins, SQL, DB2 Store Procedure Client, Team Size: 6

Project Description: The DV Web system is used by JPM to balance Dividend events this includes detailed stock loan/borrow data, ex-date trade activity, SWIFT data. System has querying capabilities, slightly robust “Comments/Notes” functionality, document upload functionality, and an on-demand reporting capability that highlights out-of-balances on an event.

Roles and Responsibilities:

• Resource planning and recruiting New Team Members –Taking Interviews, Onboarding and Training them on the Project
• Managing Resources and allocating tasks, monitoring them to completion and providing required assistance to the team.
• Managed projects from procurement to deployment.
• Scrum Master of the Project - ensuring we follow all Agile Principals.
• Developed and implemented strategic project plans to meet business objectives.
• Coordinate with Conversion, Clients to discuss/understand Enhancements and provide new screen design/solutions.
• Designed strategies and processes to improve UI performance and UI load times. Implemented design patterns such as DAO and MVC , UI libraries for custom functions like exceljs, etc, File upload/download feature.
• Provided detailed technical and operational direction in project challenges, consistently meeting deliverables according to deadlines.
• Provide weekly Status Report to Senior Management/Client.
• Verified quality of deliverables and conformance to specifications before submitting to clients.
• Analyzed project performance data to identify areas of improvement.

Project # 3 Title: BPS Dividend - Mainframe and JAVA – XSL , HMTL , JAVASCRIPT , SQL , DB2 Store Procedure Client:,

Team Size: 11

Project Description: BPS Dividend System provides E2E Solution to process Company Dividend Declaration amount to its shareholders Receive Announcement (Dividend details) from DTC & other regulatory bodies and extract Share holder information as of Record date and calculate the Dividend amounts and the process the distribution of Dividend to Share Holders

System process multiple dividend Types – Cash, Optional Dividend, Reinvestment (& Bond Interest Payment).This is one of the Highly complex, Critical Core Processing system of Broadridge Brokerage Processing Solutions suite with never ending new client enhancements and frequent regulator changes

Key Roles and Responsibilities:

• Handling business queries, understanding requirements and involving in discussion with Clients for Clarifications on the business requirements
• Scheduled and facilitated meetings between project stakeholders to discuss deliverables, schedules and conflicts.
• Built a great team with Strong Functional/System & Technical Knowledge.
• Developed and implemented project plans and budgets to ensure successful execution.
• Allocating work/Service requests to Team members and monitoring/assisting the team
• Coordinating with System Testing team and Regression team.
• Responsible for delivering changes with 100% FTR to Production and meeting all client commitments
• Responsible for complete development team day to day activities – Coding, Unit testing, Batch Production Support and addressing emergency client queries/issues within prescribed SLA’s
• Set Goals for Team Members and provide a PATH for their future Growth by guiding them
• Tracked project and team member performance closely to quickly intervene in mistakes or delays.

MATRIX - Java, Spring, Angular, JIRA, Jenkins Client:

Team Size: 5

Project Description: Trust’s retirement plan services include automated services for TPAs, Investment Advisers, and/or Plan Sponsors with comprehensive trust services for qualified and nonqualified retirement plans

Key Roles and Responsibilities:

• Developed new screens using Angular, Java/Spring for backend functional logic
• Integration of JAVA apps with Mainframe application
• Understanding Complete Matrix System and provide new Architecture design and how to integrate with existing Broadridge Brokerage processing Solutions
• Analyzing Matrix vs BPS Products, identify gaps and provide Functional solution, Technical designs.
• Architecture/design of new Matrix to BPS Integration
• Helping Business team in preparing SPEC’s/Documentation
• Assisted in recruitment of new team members, hiring highest qualified to build team of top performers.
• Train them in BPS Applications and assign them tasks.
• Conducted training and mentored team members to promote productivity and commitment to friendly service.