Stephen Lee

Summary

● Highly qualified professional with over 15 years experience in the full life cycle of software development using agile

methodologies ­ test­driven development, continuous feedback, re­factoring and integration. Proficient in object oriented

design (OOD/OOA) using UML, Use case analysis, collaboration, and state and interaction diagrams. Possess expert

level programming skills in Java, C and C++.

Technical Skills

Languages: Java 7, C++, C#, Perl, Python, PHP, Shell Scripts, SQL, PL/SQL, Transact SQL, Flex, Scala

UI Development: Swing, SWT, VC++, dot NET, JavaScript, AngularJS

J2EE: RMI, EJB, JDBC, JNDI, LDAP, JMX, JTA/JTS

Operating Systems: Windows 2000, UNIX (Solaris), Red Hat Enterprise Linux

Servers: WebLogic, Websphere, WebMethods, Netscape WebServer, Apache, Tomcat, Tomee, Nginx, Nagios, Puppet

Web: HTML, XHTML, Javascript, JSP, ASP.NET, Webservices, Struts, JSF

SOA: WDSL, JAX­RPC, CXF, JAX­WS

Databases: Oracle, Sybase, Microsoft SQL Server

Tools: Maven, Ant, Jindent, ERWIN/ERX, OptimizeIt, Power Designer, Rational Rose, TogetherJ, Jira, CruiseControl,

Hudson/Jenkins, Crucible, Apache Commons SCXML

IDEs: Eclipse, RAD, JBuilder, MS Visual Studio, Visual Café, UML, RUP, Akka Scala

Messaging: JMS, SonicMQ, MQ­Series, Talarian, Tibco RV, Websphere MQ, ActiveMQ

Middleware: Spring Framework, Hibernate, Spring Batch, Mule ESB, Castor, Ehcache, ObjectGrid, Gemfire

Rules Engine: JESS, Drools

Protocols: TCP/IP, FIX, SelectNet, SNMP, QuickFix

XML: SAX, DOM, XSL, XSLT, Castor, XMLBeans, SCXML

Cloud : IAAS providers ­ AWS, Azure, IBM SoftLayer

Hypervisor :VMWare VSphere ESXi 5.5, VCenter Server

Professional Experience

Alpha Omega (ao­fs.com), San Francisco, CA, Architect/Lead Developer (Consultant)

09/13 –

Present

● Designed and developed an abstraction layer for transforming post trade messages to Java domain objects and vice versa

in a transparent manner such that different protocol providers and protocol versions for FIX and SWIFT can be

supported (Java, Spring, Hibernate, Tomee, QuickFix)

● Implemented messaging architecture using High Availability (HA) cluster, automatic failover and Message Groups,

which enables guaranteed ordering of processing, load balancing across an optimal number of consumers using a

message group partitioning based on specific attributes of the trade message. (Java, JMS, QuickFIX, Tomee, ActiveMQ)

● Implemented the production environment for post trade processing with HA clusters for messaging brokers, web traffic

load balancing between multiple instances of Tomee using Nginx, Fix Engines and databases. Configured and developed

Perl, Python and shell script plugins for Nagios for monitoring Windows and Linux machines. Also, installed and

configured Nginx for SSL reverse proxies to Tomee upstream clusters. (ActiveMQ, Nagios, Nginx, QuickFix, MS SQL

Server)

● Developed handlers for processing AllocationInstruction, Confirmation, ConfirmationAck, AllocationReport and

TradeCaptureReport messages in a STP fashion for both buyside and sellside post trade processing engines. (Java 7,

JMS, QuickFix)

● Developed REST Services for handling UI interactions in display and filtering of trades, linking of trades and

cancellation of trades. (Java 7, CXF, REST)

● Developed UI modules for the display and filtering of trades, forced matching,trade rejection and export using HTML,

CSS, javascript and AngularJS

● Implemented virtualization environment using VMWare VSphere ESXi and VCenter Server comprising of Linux and

Windows VMs.and automated deployment of application artifacts using Puppet.

● Evaluated IAAS hosting providers like AWS, Azure and IBM Softlayer and made recommendations based on support

for Messaging, RDMS, Security(IPSec, Network ACLs), Storage( Block, Object), Scalability(Auto scaling) , Bare Metal

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Server, VPC, Network connectivity(DNS), Monitoring and Disaster Recovery; provided detailed costing based on

different configurations.

● Developed a Finite State Machine (FSM) of the buyside post trade processing engine using both Akka Scala and Apache

Commons SCXML for the purpose of evaluating which of these will suit our requirements better.

● Develop, implement and deploy automatic infrastructure configuration management using Puppet for managing the

configuration and deployment of Nginx, Nagios, Tomcat, Apache, ActiveMQ and internal software applications for both

Linux and Windows platform.

JP Morgan, New York, NY, Senior Developer (Consultant)

01/13 – 09/13

● Designed and developed an abstraction layer based on the Apache Commons Chain of Responsibility framework which

is used in the Securities Lending matching logic to automatically match returned securities requests from borrowers and

lenders to eligible securities based on complex rules, criteria and allocation logic. (Java, Spring, Mule, Eclipse EMF,

EhCache, GemFire, JMS, Qpid)

● Designed and developed a service implementation for fulfilling request for the creation, update and cancellation of

borrowed Securities that were requested for return. (Java, Spring, CXF, Webservices, Mule, Eclipse EMF, JMS, Qpid);

developed a reusable Junit test used to bootstrap CXF webservices that is integrated with Concordian test framework

thereby strengthening the TDD process by providing additional test results artifacts that Business Analysts and Managers

can easily validate via Junits tests driven from HTML page and test results rendered back to HTML page.

● Implemented Compuware Dynatrace, which is a Performance Management tool, by evaluating performance criteria,

defined custom entry points, measures, incidents and integrating it with JMX monitoring.

VMWare/StateFarm, Bloomington IL, Senior Developer (Consultant)

02/12 – 11/12

In this position, I was responsible for the development of a request framework used in the processing of Insurance quotes,

application and change of insurance policies in a virtual cloud environment. (Mule, Java, Gemfire)

● Developed a cache abstraction framework that allows an application to easily switch to a different cache provider

through configuration without having to change application code. It also exposes an DAO layer that is configurable to

look in the local cache before doing a network search for the domain object in the distributed cache, before hitting the

persistence data store in the event that there’s a cache hit miss. (Java, Gemfire, Spring AOP, splunk)

● Developed business rules validation for search and summary feature set so that relevant search options specific to the

users line of business when procuring a policy quote for instance can be correctly persisted away for future retrieval.

(Java, Webservices, CXF, SOAP, splunk)

● Developed a framework for optimistic concurrency involving multiple access to the same payload using a versioning

technique applied to the payload of the cached information, therefore achieving high concurrency without restricting

access to the data if locking is used. (Java, Spring AOP, Annotation Processing, AspectJ)

Barclays Capital, Trade Capture Workflow, NYC, Senior Developer (Consultant)

09/11 – 02/12

In this position, I was responsible for the development of components used in the automated processing of Fixed Income

Derivative trades (Swaps, Cap/Floor, Options, Swaptions) as it goes from the initial trade input (Silverlight, C#, JSON,

REST, XFire), validation, enrichment, cash flow generation (Java, XFire, SOAP), persistence and transformation (Java,

XSLT, Saxon) to FpML compatible format for downstream systems for settlement in a STP environment.

● Developed an enhancement to the current system of transformation to FpML compatible format because of changes to

Trade representation schema in support of Fixed Income Rates derivatives products like Inflation Asset Swaps,

Year­On­Year and Zero­Coupon Cap/Floors. This was implemented using Core Java 1.6, Spring, XSLT and Saxon.

● Developed booking, settlement and other enrichers for trade representing Fixed Income Rates derivatives Inflation

related products using Core Java and Spring.

● Developed enhancement to the trade persistence framework in support of Fixed Income Rates derivatives Inflation

related products using Core Java, Spring, AOP around advise on trade workflow action to effect the execution of pre and

post persistence committals actions.

CitiGroup, CITIDirect Project, NYC, Senior Developer (Consultant)

12/09 – 04/11

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CitiDirect is an online global banking platform that provides multiple banking functions like payments and disbursements

through a single secured access point. The underlying framework is make up of building blocks of technology stack that

enable the plug and play of services, which provides real­time access to transactional information, reports generation,

automation of banking activities, reconcilement and multi­currency transaction services. The afore­mentioned generic

framework is marketed as a white­labeled product to other financial institutions.

● Designed and developed an auto­refresh mechanism for object caching framework (ObjectGrid) based on object dirty

and aging rules. This was implemented using Spring Framework bean that subscribe, filter, aggregate and transform the

payload of Spring Events into TIBCO messages that are consumed by ObjectGrid refresher mechanism running on a

cluster of WebSphere J2EE Application Servers.

● Designed and developed an enhancement to object data persistency (JPA) backed by either Hibernate 2 nd

Level Cache or

ObjectGrid for non­JTA and non­transactional data persistence units. This is achieved via a parallel hierarchy of Spring

Framework beans involving various Entity Manager components, Persistence Units and DAOs.

● Designed and developed a Spring Framework based Integration Test harness for testing J2EE Messaging application

components consisting of JMS message producers and consumers using a locally defined Atomikos based Connection

Factories and message container. This test harness coupled with frequent automated build process, enables continuous

integration, resulting in better cohesive software that is less error prone.

● Designed and developed enhancements and abstraction to the Quartz Scheduling Framework running in a clustered

WebSphere environment, to support various complex rollover policies, job triggers definitions and listeners; JMX based

monitoring system to dynamically control job scheduling, job profile and workflow behaviors by using Spring’s

MBeanExporter, InterfaceBasedMBeanInfoAssembler, annotation­driven MBeans, MBean NotificationListener and

ConnectorServerFactoryBean for remote MBean based on RMI protocol.

● Designed and developed an Asynchronous Batching Framework for Payments and Receivables using Spring Batch as a

provider for configuring, launching, monitoring and rerun of jobs that execute in a J2EE environment.

Broadridge Financial Solutions, NYC, Senior Developer (Consultant)

12/08 – 12/09

● Provided technical leadership in the design and development of a fixed income liquidity seeking system to improve

trading and processing efficiency for MBS, ABS and CMO. This provides institutional investors and broker­dealers with

an anonymous negotiation model, whereby buyers submit stipulation requests for Fixed Income instrument attributes and

sellers post inventories from Broadridge’s IMPACT and MBSE systems settling via STP, thereby reducing risk. The

system is implemented based on J2EE running on Websphere clusters, collaborating with workflow logic to make real

time trading and routing decisions in a multitasking environment with a supporting cast J2EE components like EJBs,

MDBs, JMS MQ, Spring, Hibernate and Oracle.

● Developed the Controllers for the handling of GUI calls from JSF (Oracle ADF AJAX Framework); developed a generic

DAO layer using JPA backed by persistent data store (Oracle 10); designed and developed the database schema, queries

and stored procedures written in PL/SQL; devised and carried out Oracle database performance tuning strategies

particularly for large datasets using pagination for front end queries, in addition to Oracle’s data partitioning,

compression and materialized views; developed UNIX shell scripts to handle daily maintenance of trading operations.

● Designed and developed the security authentication, entitlement and preference system used to administer clientele and

traders that was written in core java. Specifically, I designed and implemented database schema, DAOs, GUI handlers

and the interactions with Broadridge’s Impact and MBS Expert Inventory Management System.

● Designed and developed a JMX­based monitoring system for managing trader profiles and system preferences using

Spring­based MBeanProxyFactoryBean with a remote MBeanServerConnection so that remote MBean can be managed

as if they are configured locally.

JP Morgan Chase, NYC, Senior Developer (Consultant)

03/06 – 12/08

● Provided technical leadership in the design and development of a system to promote intra­day data exchange between

multiple global enterprise applications, based on data consumers’ matrix of rules specifying how it wants its data to be

enriched, transformed, filtered and projected. These large datasets were throttled by PL/SQL stored procedures using

pagination in combination with Oracle’s data partitioning or materialized views. In general, the system uses an

enterprise message bus architecture based on WebSphere MQ operating in a network of WebSphere Application Server

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Clusters, with a supporting cast of J2EE components like Spring Framework, Hibernate, EhCache, Castor, EJB Stateless

Session Beans and MDB listeners which provided the endpoints implementation for content manipulations using

XPATH, XSLT and XSL. Using agile methodologies, I analyzed business use cases, and designed XML schema based

canonical data models, which were parsed against each consumer data requirements to derive its final form. This solution

enables plug and play of different front­office package; facilitates business and regional autonomy; permits Middle

Offices' consolidated client reporting and portfolio accounting and allows ease of integration of new line of business.

● Provided technical leadership and guidance in the design and development of a SOA based Security Entitlement System

for the global Investment Management resources. This system was integrated with SiteMinder for Single­Signed­On

authentication using dynamic client and server side Web Services Handlers pipeline. The end­points were implemented

by EJB Stateless Session Beans, which delegate to service components objects that were Spring Dependency Injected,

which perform fine­grained authorization enforcement via policy determination decision process through ORM layer

managed by Hibernate, which provided the 1 st

level Session caching and 2 nd

level caching provided by EhCache; Spring

based AOP pointcut handlers were defined for cross­cutting security entitlement concerns; Spring based MBean

NotificationListeners were notified of security exception and work in conjunction with a priority based support

escalation workflow component to filter, de­dup, transform and aggregate notification messages.

Bank of America, NC, Lead Java Developer (Consultant)

10/02 – 03/06

● As Project Leader for the Public Finance Technology Group, I was responsible for the development of solutions to

support the Municipal Bonds origination process, Auction Rate trading, and the tax­free trading desks. I analyzed the

requirements, designed and developed The Municipal website, and also the database schema implemented in Oracle to

enable the efficient recording, categorization, and characterization of the deal as it evolves to its final stage. This was to

facilitate fast and easy retrieval of deals and artifacts associated with the deal using customizable search options that can

be personalized, enabling the high reusability of artifacts saving invaluable time and money. The highly optimized search

was made possible by Oracle SQL tuning, pagination, data partitioning, compression of read only data and index tuning.

This solution was implemented using the cocoon framework of XML, XSL and XSLT components; the transformation

architecture was later ported over to a STRUTS framework on Weblogic implemented as Web Services endpoints

serviced by EJB Session Beans that were backed by service components dynamically injected during runtime by Spring

Framework. Hibernate provided for Object/Relational (Oracle) mapping. This project was iteratively developed with

continuous testing, user feedback, and integration using SDLC. Artifacts like Use Cases, UML, Collaboration and State

diagrams were produced as part of the SDLC deliverable.

● Designed and developed a scalable, multi­threaded Trade Processor used to receive and process trade orders from the

Short Term Auction Rate Trading (START) system. This was written in Java, load balanced with fault tolerance using

JBOSS clustered library and contained in a lightweight container architecture integrated with Spring Framework and

Hibernate. I also designed and implemented reporting database in Oracle using data partitioning, and materialized views.

Linx LLC, NYC, Senior Java Developer

07/01 – 09/02

Linx’s mission was to improve the listed equity block trading market by providing an anonymous, confidential, electronic

block­trading platform that would be integrated with the New York Stock Exchange.

● In this project, I analyzed block trading business drivers and financial models to determine technical architectural

requirements using Use Cases, UML, Collaboration, State diagrams; designed and developed the core Linx System

which used custom light weight J2EE container architecture providing shared services like in/outbound Fix Protocol

translation; XA transactions; threading pool; database connections; objects pooling and workflow management.

● Designed and developed the Front­end Trade Entry System in Java Swing. (Java, UML, TogetherJ, Rational Rose, J2SE

1.4, Swing, JNDI, JMS, JTA/JTS, JOTM, SonicMQ, JMX, RMI, JDBC, XML, DOM/SAX, Oracle, PL/SQL, JBuilder,

Jdeveloper, FIX, OptimizeIt, Ant, Jindent, Solaris Unix).

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Wofex Inc, NYC, Senior Java Developer (Consultant)

07/00 – 06/01

Wofex was to be an electronic equity­trading platform that provided a singular entry point and centralized seeker for

liquidity for institutional buyers and sellers of shares.

● Developed enhancements to the continuous matching logic for block trades of NASDAQ bound securities to find

liquidity for both sides of the equity trade. The architectural framework included reusable application objects for

security order entry, processing, order routing, clearing and settlement of equity trades and FIX Protocol translation.

This was to achieve the least cost/best execution, maximum liquidity and trade anonymity for buyers and sellers of

shares. (UML, J2EE, JNDI, JMS, Talarian, EJB, Persistent EJB Server, SQL, Transact­SQL, Sybase, FIX, JBuilder)

GE Small Business Solutions, CT, Architect/Lead Java Developer (Consultant)

04/00 – 06/00

This division of GE Capital needed to build a web site (www.gesmallbusiness.com) that fulfills the objectives of centralized

support for the business and operational needs of its diversified small business partners and customer base. Requirements

included automated matching of customer needs and service partners' offerings; automated data collection for CRM

application; and automated allocation and distribution of commissions to partners.

● As a Project Leader for a team of 10 developers, my team was responsible for the translation of system requirements into

detailed design, working with business process/analysis team, 3rd party tools and product vendors on technical solutions

to build the web site in a J2EE platform. The architecture enabled session tracking that was closely integrated with

application level tracking and customer information management utilizing state management control flow object

methods, EJB Stateless and Entity Beans, in collaboration with application objects in JSP. (UML, TogetherJ,

RationalRose. (Java, Swing, JSP, Servlets, EJBs, WebLogic, JNDI, LDAP, TIBCO, Siebel, Oracle, SQL, PL/SQL,

Interwoven, HTML, XHTML, XML/XSL, XSLT, DOM/SAX, Visual Café, OptimizeIt, ERWIN/ERX, IPlanet, Solaris

Unix)

Singleshop.com, VA, Java Architect/Developer (Consultant)

01/00 – 04/00

This site offered the user the ability to do real time product search, comparison, order fulfillment and tracking from different

participating merchants using a then new concept of “internet wallet”.

● Analyzed, designed and implemented the core technology to enable real­time online searching, comparison, execution of

order fulfillment to partnered merchants using B2B communication protocols based on XML, in a J2EE

environment.(UML, Rational Rose, Java, XML/XSL, DOM/SAX, JSP, Servlets, WebMethods, EJBs, Weblogic, Oracle,

SQL, PL/SQL, HTML, XHTML, Swing, Javascript, Visual Café, IPlanet, Solaris Unix)

AT & T Herndon, VA, Lead Developer (Consultant)

01/98 – 12/99

AT&T wanted to build a Universal Account Management (UAM) platform to provide its customers with bundled services, a

level of integration they never had before by enabling personalized Web Sites for ordering, trouble shooting, usage tracking

and also to review and pay bills online.

● Produced detailed design specifications for the construction of the Billing Hierarchy of Customer Account structure and

service components, which formed the core engine.(C, C++, Oracle, SQL, X­Motif, HP­UX Unix, DecMessageQ)

● Designed and implemented the main portion of the Views and Controllers in an MVC (Model View Controller design

pattern) structured application originally written in C++ and latter converted into the EJB architecture in a J2EE

environment. (Applets, Swing, Javascript , JNDI, LDAP, JSP, Servlets, EJBs, Weblogic, Java, C++, JNI, HTML, Oracle,

SQL, Netscape WebServer, ClearCase)

● As a result of my work, I received an AT & T Excellence Award for “Leadership in using Object Oriented Technology”.

Dun & Bradstreet Canada, Senior C++ Developer (Consultant)

01/97 – 12/97

● Designed and developed the RAM (Risk Assessment Manager ­ a top selling commercial product) core services and

made enhancements to the User Interface that formed the integral part of the Object Oriented Framework. (C++,

COM/DCOM, ActiveX, StingSoft’s Objective Grid, Codebase, Inso’s QuickView SDK, Crystal Report, InstallShield,

RougeWave, VC++)

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● Normalized the Database, designed and implemented Database Referential Integrity, Stored Procedures, Functions and

Triggers.(SQL, Transact­SQL, Sybase)

EDS Canada, System Engineer

03/94 – 12/96

● Designed and developed Messaging System and Network Monitoring Processes for North America, which included

configuration tools, used to remotely monitor Microsoft Exchange Servers. As a result of this project, EDS gained

productivity and cost savings by consolidating E­mail into one (VB, Access, RPC, VC++, C, COM, Win32 SDK, ODBC

SDK, MS SQL Server, Transact­SQL)

● Designed and developed a monitoring and reporting System in a distributed system environment for monitoring a

distributed Stock Brokerage Application, which was later used for global deployment. .(ERWIN/ERX, VB, Access,

VC++, C, COM, Win32 SDK, ODBC SDK, MS SQL Server, Transact­SQL)

Education

Bachelor of Science, Computer Science, Brock University, St. Catharine