PROFESSIONAL SUMMARY:

• Managed Risk in Compliance to Regulatory Demands and Business Growth Expectations
• Partnered with internal stakeholders/business leaders as well as external vendors in successfully assessing and tracking Business Readiness and Change Management (CM) processes involving global programs that were designed to implement large - scale improvements, risk mitigations initiatives and data governance /encryption by meeting both regulatory demands and business growth expectations (COBIT5) Deutsche Bank, RCC-CLS, BTMU, Confidential
• Payment and Treasury Compliance (US Patriot Act/BSA)
• Managed and Analyzed Multiple Settlement, Payment and Treasury projects incorporating supervisory constraints pertaining to the US Patriot Act/ BSA/AML/KYC rules by ensuring proper monitoring is incorporated in all phases of application development. (Multistep monitoring, permissions and reporting) CLS/BNY, Confidential, DB, MBTU, Confidential, Confidential, ABN AMRO, Lehman Brothers
• Influence, Communicate and Adapt Management by Results
• Able to listen, influence, understand and adapt management by results methodology (Drucker-MBR) while focusing on detailed planning and successful measured outcomes (KPI/KRI). Synthesize complex information and regulatory guidelines in actionable tasks. Communicate with all levels of senior management providing transparency by timely reporting on complex projects and addressing stakeholder’s concerns.
• Investment Banking and Operational Risk Management Specialist
• Managed various projects focused on Full Trade Lifecycle from capture to post settlement, Payment Systems/Clearing/FX including: Fixed Income, Equities, Foreign Exchange, CLS (Continuous Linked Settlement), Derivatives, Securities, Agent/Trustee, Syndications, Repo, Swaps, and Cash Management; All projects/programs were subject to Operational Risk, Vendor Risk and IT Data Governance with security scrutiny and standards.
• Global Project/Program Management
• Developed business plans and budgets (including hiring), managed technical teams and organizations, by establishing effective working relationships with and within various product groups; Knowledge of Project and Value Management methodology throughout SDLC/CMMM (Agile, Waterfall & ITIL) for large scale, global projects
• Managed large and medium scale web and legacy applications (over 5M USD) and implemented multifunctional projects ( Confidential Treasury Management Portal), CLS, and Money Transfer System, (ABN AMRO-MTS, Fundtech’s PayPlus, Deutsche Bank Hewlett-Packard 2015 multibillion-dollar agreement); Status Reporting to senior and executive managers;
• Regulatory Compliance and Information Cybersecurity SME (Foreign and Domestic)
• Possess a Clear understanding of Compliance and Regulatory principles as applied by foreign and domestic regulators (Bank of International Settlements/Basel (BCBS239), OCC, FSA, FFIEC, etc.)
• Partner with technology teams providing technical/development solutions in accordance to ISACA and COBIT practices
• Special focus on Operations, Vendor Risk Management and Corporate Governance (DB/HP deal)
• Infrastructure Risk Remediation, Cybersecurity/Data Protection and Governance and Process Improvement (FBO/BHC/PVM)
• Portfolio Manager/ Assistant Treasurer

PROFESSIONAL EXPERIENCE:

Confidential

Senior Project Manager

Responsibilities:

• Provide Analysis and risk assessment on individual stocks (industrial/aerospace) and manage a portfolio producing a 40% increase
• Advised several small business to increased their productivity and optimize exit strategies ( retail/publishing)
• Review internal cyber security protocols and design for basic model of risk mitigation (FFIEC, NIST/COBIT)

Confidential

Risk Analysist

Responsibilities:

• Cybersecurity IT Risk Remediation—developed and implement Patch and Vulnerability Management strategic solutions, policy and procedures for Enterprise Infrastructure and Vendor Management for Confidential, a Bank Holding Corporation (BHC)
• Initialed product due diligence, discovery and Regulatory Compliance analysis including mapping FFIEC to actual tasks
• Analyzed and create (KPI/KRI) (1LOD) metrics and make recommendations to Senior Management with vendor selection and SLAs to improve service outcomes or business decisions
• Provided expertize in organizing corporate governance, cybersecurity and security protocols, process reengineering and improvement (ITIL/Continual Service Improvement/PDCA) based on the FFIEC/NIST/NYCRR500 specifications
• Ensured Operational Risk measures, validate Regulatory and Compliance principles for approval by organizational leaders (1LOD vs 2LOD RRM) (COBIT5)
• Updated review and implement policies and procedures to create effective Operational Risk framework and controls (KRI, Operational Risk incidents and mitigation, consolidated reporting)

Confidential

Senior PMO/PM

Responsibilities:

• Coordinated, monitor and report on internal/external project status by defining and documenting the business processes, compliance and quality of development across the firm
• Identified, justify, define and measure the process opportunities and benefits resulting from each Dodd Frank (Swap Data Repository) implementation and issuing improvement and redesign initiative strategies
• Delivered of white papers and research on various regulatory and methodology topics (FFIEC IT/Cybersecurity/Success Criteria and KPIs)

Confidential

Sr Project Manager

Responsibilities:

• Legal Entity Board notifications (US and LATAM)
• Regulatory notifications, regulatory approval and requests for follow-up
• Monitoring Critical Applications’ risk assessment and mitigation (payment and treasury systems - SWIFT, ACH, Fed Wire)
• Vendor Risk Management process coordination and provide assistance to Regional and global Control Functions to identify, assess, mitigate and monitor risks in regards to the vendor.
• Created a methodology/process to gather evidence for closure of specific conditional approvals. The method was reviewed and approved by the DB Global Head of Audit. Ninety-three specific conditions were closed, receiving approval from internal/external organizations such as the Managing Board, Operational Risk Committee, FRBNY, etc.
• Coordinate Working groups and perform necessary due diligence to identify risks/issues related with each departmental activity associated with several global work streams i.e. Business Continuity, Global Data Protection, Tax, Living Wills, Compliance, Global Regulatory Engagement, Cybersecurity Protocols (ISO27001, ISO3100, FFIEC/IT)
• Ensure all Approvals are in place by a specific date and in accordance with DB policies. (acceptance and approvals of Operational Risk committee )
• Create presentations and updates for regulatory notifications/ and approvals, including any subsequent requests for information (BCBS 239, FDIC, FRBNY, NYSFS, SEC, OCC, BaFin, MaRisk, ECB etc.)

Confidential, New York

Project Manager

Responsibilities:

• Create Policy document, including the strategy, mission, vision and project plans for the Business Readiness Program coordinating all activities between four major pillars and vendors involved in the Hudson Project (US and Japan)
• Monitor and control end-to-end activities of regional PMO offices in Japan and US, business partners, branches and IT groups
• Track “Issues and Risk” log and provide weekly report to management.
• Coordinate activities and plans, review and report on progress status, and dependencies of the U.S. developed applications (over 27 applications/projects i.e. NICE/Actimize, DWA, Oracle GL, BPM Loan App and Treasury Dashboard)

Confidential

Program Manager

Responsibilities:

• Research and documentation for Calaron Member Services (ICE Chicago, US Trust and DTCC) on various topics regarding Risk, Audit and Compliance documentation (Dodd-Frank Wall Street Reform, Consumer Protection Act and EMIR - European Market Infrastructure Regulation dealing with Derivatives, FX, Central Counterparties and trading repositories)
• Performed legal research and worked with a Norwegian Law Firm (JKiTrondheim) regarding governance, ethics and risk management in compliance with European financial companies
• Extensive research on Section 619 (Volcker rule) and the restrictions on activities for banking entities

Confidential

Project Manager

Responsibilities:

• Implement Agile Methodology for the BoW with departmental budget of 12M USD; managed 40 resources in multiple locations (New York, Raleigh N.C., London, and Singapore)
• Developed a strategic method to reorganize PMO for the Repo BoW global team in order to increase efficiency and deliver a better quality product to business partners
• Decommissioned a high cost legacy application and replaced it with a customized JIRA
• Release Management and CAB readiness coordination
• Managed implementation of Issue Tracking software (an automated/standardized companywide tool based on JIRA/SDLC)
• Responsible for Cancel and Correct Project as part of the Investment Banking Strategic Securities-wide system, which employed Post Trade Surveillance/Data Warehousing/ Data Protection (EMIR) to effectively manage and supervise cancelled and corrected trades that result in operational risk and fraud.

Confidential

Lead Project Manager

Responsibilities:

• Developed Scope of Work (SoW) and budget definition for the onsite team
• Provided expertize for Global Cash Management product and establish requirements in accordance with Compliance and Regulatory supervision (AML, NACHA, ISO, BSA, OCC, SEC, AML/KYC, Encryption and Data Protection )
• Created detailed documentation based on specific payment standards (Wire, CHIPS, SWIFT, SEPA and different ISOs) for an online comprehensive banking application, including data transformation and security to accommodate BSA rules
• Provided analysis towards a decision to go forward or cancel the initial project, based on discovered budget/profit ratios

Confidential

Project Manager

Responsibilities:

• Created initial project analysis, discovery and budget, including milestones
• Defined project scope, dependencies and business implication
• Defined project governance/methodology as well as negotiation of ownership and process flow of data aggregation
• Established Roles and Responsibility Matrix and data flow for all program participants and build consensus amongst all department heads

Confidential

Engagement Manager

Responsibilities:

• Worked closely with vendors (SWIFT) and stakeholders in clarifying requirements for FX transactions
• Established strategic approach to project development and reporting for cost transparency
• Responsible for project reports and financials to senior management

Confidential

Program Manager

Responsibilities:

• Client Reporting Division; Managed and maintained a 6M USD budget for a team of 90 people (on and off-shore)
• Managed budget for 5 project managers across various projects ensuring adherence to the allocated P&L over actual expenses
• In charge of the Performance Unification Platform (PUP) project; a single aggregate portfolio performance infrastructure across multiple global applications and regions
• Organized and streamlined SharePoint process and reporting in compliance with SDLC and internal documentation requirements (transparency and accountability)

Confidential

Enterprise Information Systems

Responsibilities:

• IT Data Governance and Standardization across divisions; SDLC/CMMM (Change Management Maturity Model) processes from design to decommissioning (sun-setting) of an application.
• Defined roles and responsibilities for a team of 15 business analysts (roles, responsibilities, selection criteria, documentation and reporting requirements)
• Created the EIS Knowledge Management Program (Operational Risk framework, strategy and monitoring adherence to the Basel II Capital Accord standards and recommendations)
• Developed procedures to mitigate Operational Risk (i.e. Release Management and sessions for all members)
• Project Manager for 3 large Business Projects that netted over 17M USD in revenue (LBCDA and Options Suitability including E-Statements and E-Confirms). Worked with the Back-Office, Legal and Compliance department on a regular basis
• Managed the Option Suitability Project (Including KYC/AML) under the Legal and Compliance guidance ensuring that all disclosure documents from the Options Clearing Corporation (OCC/AML)of Standardized Options were met and delivered
• Participated in the creation of the PMO office

Confidential

Project Manager

Responsibilities:

• Supervised and mapped the network topology (complete with interfaces and functionality), and diagrams
• Standardization Functional and Business Requirements across all payment systems within the bank
• Aligned individual regions with global strategy of product/processes and interfaces
• Worked on the business processes, defining automated system requirements (STP), and improving process performance throughout the institution

Confidential

Project Manager/Business Analyst

Responsibilities:

• Investigated risk, documented and provided a verifiable method to account for the billing discrepancies between Sponsor and Company records. With over 21 billion dollars for the SMA and 75,000 accounts, consolidated discrepancies amounted to over 5M USD per month
• Re-evaluation of workflow and mapping of all relevant data and systems; re-engineering of current practices. Responsible for the creation of a Workflow Model/Application to verify the accuracy of compensation received from Sponsor

Confidential

Program Manager/Sr Business Analyst

Responsibilities:

• Completed Functional Requirements Documentation for the Treasury Management Executive Portal, a global application, providing client information regarding FX and multi-currency credit, cash, debit and real time investment information across all internal financial institutions, with the capability to perform internal Treasury functions between legal entities along with the use of Citibank transaction services for other settlement related issues
• Designed the initial interface and functionality (GUI) of the application based on data elements, workflow and client requirements, including Permissioning and security access mechanisms (Functional Design - wire frame)
• Coordinated and prepared design information for vendors (Microsoft) for the design of a new database for global clients (OLAP cube).
• Designed cash transfer backend simulator (Test Harness)

Confidential

Project Manager, VP

Responsibilities:

• Evaluated and re-engineered the firm’s processes and systems
• Produced full lifecycle Business Plans and Requirements Documentation for several projects, including obtaining vendor status for CLS (FX)
• Issued a periodic report addressed to over 400 institutions worldwide. The report provided information and articles on a variety of topics ranging from international financial risk to implementation strategies

Confidential

Project Manager/Sr Business Analyst

Responsibilities:

• Legal/Operational Risk documentation analysis for the OTC/CIT global product, in accordance with BIS (Basel II) proposals on risk practices and protocols. Produced a detailed report and risk model, to identify and control potential weaknesses in practices

Confidential

Sr. Business Analyst

Responsibilities:

• Functional Design and Development of test scenarios for the new CLS system (CLS/IBM/SWIFT) as part of the pilot group of banks. NOSTRO, BASIS, MTS including the generation of Swift messages (MT 300, 304, 202, 298, 900, 910. 950). Coordination and monitoring of live testing (RTGS) with international partners and follow-up SLA negotiations with seven NOSTRO agents for multiple currencies
• Identification and troubleshooting of issues, and provided solutions (documented with CLSS and Vendors: Fundtech and IBM)
• Coordination and monitoring of and classes for main branch, foreign subsidiaries and Third Parties, as well as instruction of staff and middle management on new operational procedures
• Created procedures and manuals as part of the general system integration, conducted User Acceptance Testing (UAT Beta Phase) as well as System Integration Testing for the CLS project throughout the bank (BNY) (AML/KYC- Us Patriot Act)