Summary

• Certified Business Continuity Professional (CBCP)
• Fifteen (15) years data center operations, network operations and market data services.
• Project managed and coordinated hundreds of hours of Business Continuity testing which included desktop recovery, call trees, evacuation drills, and emergency response exercises.
• Developed and tested business continuity and disaster recovery plans across different technology platforms in the financial services industry.
• Project leader and coordinated hundreds of hours of IT Disaster Recovery tests that included local area networks, storage area networks, application servers, databases, market data services and mainframes.
• Performed GAP analysis of business continuity plans and recommended changes to mitigate deficiencies.
• Coordinated plan development and implementation between IT operations and applications development teams across the organization.
• Designed and conducted Business Impact Analysis critical to the development of business recovery strategies.
• Coordinated a comprehensive audit of IT backups, restore and retrieval procedures.
• Created and published business continuity guidelines, methodologies and policies.
• Conducted Risk Assessments and recommended changes to mitigate deficiencies.
• Designed and developed contingency awareness training of end-users and business unit coordinators.
• Coordinated internal firm-wide exercises and firm participation in industry resilience testing during SIFMA tests.
• Managed vendor contracts for all information technology platforms.
• Interfaced with internal and external auditors on regulatory compliance.
• Proficient in Living Disaster Recovery Planning Software (LDRPS)
• Developed process improvements to mitigate exposures uncovered during plan development.
• Published an article on the HIPAA Security Rule in the Disaster Recovery Journal.
  

Actual Business Recoveries:

• 2001 World Trade Center attack: restored critical business applications from the Rector St. data center to an alternate recovery site.
• 1993 WTC bombing - Successfully restored the Finance desk’s ability to fund the firm after the first World Trade Center bombing.
• UNIX based Report Browser for the Financial Division’s Net-capital calculations (SEC 15c 3-3) was successfully restored during Nor-Easter outage, just in time for regulatory submission.
• CME Derivatives business recovery plan was successfully executed during a three-business day outage.
• Successfully recovered the financial division\'s business operations for over 150 end-users after flooding event at the 55 Water St. location.

Employment History

Confidential,CBCP Independent Contractor June 2010 – Present 
Architect of comprehensive business continuity/disaster recovery programs, “End-to-End”. Project management experience includes developing and implementing disaster recovery/business continuity plans across multiple technology platforms in the financial services industry and healthcare. 

Confidential. October 2007 – June 2010 
Vice President, Business Continuity Management.

• Lead responsibility for ensuring continuity of business for the firm’s North American Corporate Banking Operations. Project manager for FORTIS integration team to ensure the seamless integration of business continuity plans between the two recently merged firms of BNP Paribas and FORTIS. Other duties included:
• Support of the Crisis Management Committee activities. The committee consists of executive level management decision makers complimented by a larger group of senior departmental managers.
• Supported and maintained readiness of Emergency Operations Center (EOC).
• Maintained WB disaster recovery site operations, updates and logistics.
• Comfortable working with all levels of management to ensure compliance with program deliverables.
• Reviewed business area Business Impact Analysis (BIA) to ensure compliance. .
• Reviewed Pandemic plans submitted by assigned business areas.
• Conducted emergency response activities and logistics drills.
• Conducted end user awareness and training.
• Prepared business areas for Corporate Governance reviews.
• Facilitated quarterly testing and validation of business plans for corporate banking and other departments.
• Supported firm-wide testing of application RTO(s) and RPO(s).
• Managed the firm’s participation in SIFMA and FIA industry testing in 2008 and 2009.
• Conducted LDRPS training for BCP coordinators and department managers.

Confidential March, 2004 – July, 2007
Assistant Vice President, Business Continuity Planning.

• Responsible for all aspects of Business Continuity and Disaster Recovery planning.
• Providing proficient, specialized skills in business continuity & disaster recovery planning, project management, problem analysis and resolution.
• Coordination of firm-wide testing of all business unit contingency plans and multiple technologies, i.e., UNIX, LINUX, NT, Web Servers, Networks, SAN, EMC, NAS, etc.
• Firm-wide participation in Securities Industry Association (SIA) street-wide testing in 2005 and 2006.
• The firm’s contingency plans are compliant with NASD and NYSE regulations.
• Design, develop and document Business Resumption Plans.
• Recommend recovery strategies and options, and assist with the implementation of recovery solutions.
• Assist in resolving business issues related to Business Resumption Plan development, enhancement, work area recovery planning and capacity allocations.
• Leverage lessons learned to promote process improvements and mitigate exposure during disruptions of service, and possibly improve day-to-day operations.
• Provide expertise and support to management and business areas, as requested, if a potential business- interrupting situation is identified and if an actual business disruption occurs.
• Develop and deliver training and awareness programs for Business Area Managers and general users.
• Coordinate individual, firm-wide, and industry-wide business continuity exercises.
• Coordinate testing with counterparties and third parties.
• Periodically report the firm’s business continuity status to senior management.
• Maintain a process for the independent review and validation of business continuity plans.
• Assist Business Area Managers with refinements of their respective area’s Business Impact Analysis and definitions of critical and time-sensitive functions.

Confidential Associate Director July, 2000 - March,2004

• As Associate Director of Business Recovery, my program, was spotlighted in an article by SUNGARD.
• The topic: "Raising the Bar on Contingency Planning in the Healthcare Industry".
• Successfully restored hospital operations after the loss of our data center during the Sept.11th event.
• Coordinated command center activities and the retrieval of hardware supporting vital applications.
• Developed the first set of formal disaster recovery plans for senior management sign-off.
• Actionable plans were created for the following technologies: Client/Server, AS400, DEC, RS6000, CITRIX Metaframe, Exchange, IBM Mainframe and Network Recovery.
• Implemented a web-enabled contingency planning database for use as our central repository for documented recovery procedures. Created an Intranet web site for awareness and training.
• Coordinated business continuity planning for all six campuses in the health system.
• Designed and conducted Business Impact Analysis leading to the development and implementation of business recovery strategies to protect patient information as required under the Healthcare Insurance Portability and Accountability Act -HIPAA.
• Created an Application Contingency Planning template that was introduced into the business requirements phase of the System Development Life Cycle (SDLC).
• Incorporated contingency planning requirements for moves, add, and changes into the formal Change Control process.
• Created emergency management and response procedures for information technology teams.
• Participated in JACHO regulatory drills and recommended enhancements to existing procedures.
• Introduced Internal Audit to Business Continuity best practices from a compliance perspective.
• Completed a comprehensive audit of all backups, restore and retrieval procedures.
• Developed guidelines to assist the Application Development team with their recovery procedures.
• Created a \'Flow Chart\' outlining business recovery methodology.
• Outsourced to Confidential from June 2003 to March 2004.

Confidential Sept., l999 – July,2000

• Manager of Business Continuity activities in a new eCommerce environment for the DLJdirect online brokerage firm.
• Successfully coordinated Y2K compliance activities to meet regulatory reporting requirements.
• Designed and built a Global Command Center to manage Y2K transition.
• Published Guidelines, Methodologies and Policies for Business Continuity.
• Successfully conducted testing of Call Center recovery plans for retail trading in the Northeast.
• Completed Risk Assessment and recommended changes to mitigate deficiencies identified as part of a \'Gap Analysis\'.
• Coordinated recovery activities between distributed systems and mainframe systems.
• On the Client/Server side we utilized ‘Hydra-Web\' technology for redundancy and server load balancing.
• On the mainframe side, we used a DS3 for Network communications between the disaster recovery \'Hot Site\' and the end user desktops.

Confidential Manager, Business Recovery June, l998 – Sept, 1999

• Manager of Business Continuity planning for the North American Pharma division.
• Supervised a team of disaster recovery consultants.
• Managed vendor DR contracts for all hardware platforms.
• Leadership role in Data Center and Business Recovery Planning.
• Successfully coordinated Y2K testing for the major business functions of the firm.
• Supported FDA Computer System Validation testing for the mission critical applications on the Enterprise Resource Planning (SAP/R3) infrastructure.
• Improved Network uptime-availability by upgrading from multiple T1 wide Area network to a "Hot Node" router configuration between the main computer center and our alternate site.
• Implemented contingency awareness program.
• Developed formal "Client Evaluation Form" and "Sign-Off" for management review.
• Promoted Business Continuity through presentations to senior management.
• Coordinated hot site testing for multiple hardware platforms at Sterling Forest, N.Y. and Pennsylvania, including: UNIX, VM,HP, NT, DEC, AS400, SAP/R3, Networks and IBM Mainframe.

Confidential AVP/Specialist March,1986 - June,1998

• Project management experience developing and implementing business continuity plans across multiple technology platforms for Front office, Middle Office and Back Office business users in the financial services industry.
• Business clients included Financial Division, Investment Banking, Asset Management, Compliance, Trade Entry, Money Management, Cashiering, Finance, and Compliance, Internal Audit, Payroll, etc.
• Coordinated LAN, MAN & WAN Network recovery strategies
• Co-team leader for mainframe disaster recovery. These combined activities resulted in successful testing with users in London, Tampa and N.Y.
• Performed emergency response and evacuation drills.
• Coordinated the development and implementation of the first contingency plan for a UNIX based Trading System. The final product was then used as the model from which the remaining trading floor contingency plans were developed.
• Coordinated implementation and successful testing of over 600 contingency positions.
• Coordinated Trading Floor recovery planning and strategy for the recently merged firm.