EXECUTIVE SUMMARY

• Over 35 years as a leading technology, security and risk executive for multinational companies
• Chief Information Officer (CIO) for a $3 billion algorithmic trading hedge fund
• Chief Technology Officer (CTO) and Chief Information Security Officer (CISO) for teh world’s 2nd largest auto finance company
• Chief Information Security Officer (CISO) for world’s 4th largest bank
• Global Head Technology Risk for world’s largest custody bank and 6th largest asset manager
• Global Head Systems Development for teh world’s 9th largest asset manager
• Head of Program Management, retail financial services division of world’s 6th largest bank
• Chief Technology Officer for a start - up company building financial institutional trading software
• Strong financial services industry noledge and experience in asset management, trading equities / fixed income / commodities / options / currencies, investment portfolio management, algorithmic & electronic trading, trade-order compliance, investment research, back-office settlement, reference data and market data providers
• Deep understanding of operational / technology / security risk including internal controls, data governance, risk assessments, risk reporting, and interfacing wif international regulators, teh Federal Reserve Bank, state bank examiners and self-regulating organizations

AREAS OF EXPERTISE

• Business leadership, strategy, vision, alignment, transformation, innovation and evolution
• Strategic planning, approach, initiatives, program, project management (PMI, Prince 2, PMO)
• Finance, budgets, forecasts, business justification, optimal investment and payback
• IT organizational optimization, core-competency development, off-shore resources & partners
• Information Security, Technology Risk Management, ISO 27001/2, NIST 800-53 & NIST Cybersecurity, UK Cyber Essentials, SOX, FFIEC, Regulatory Compliance, FRB, FDIC, GLBA
• Data warehousing, business intelligence, analysis & reporting, ETL, database administration
• Enterprise architecture, system landscapes, application roadmaps, technology standards
• Application integration (EAI), middleware, messaging, publish/subscribe, broadcast
• Full software development lifecycle (SDLC), platform delivery lifecycle (DLC), Agile, DevOps
• Extensive software application architecture, ideal user experience, GUI, high-speed, low-latency, large volume, scalable, and resilient solutions
• Business process reengineering / management / optimization, Lean, Six-Sigma
• Infrastructure management, production support & service delivery (ITIL), vendor management
• IT governance, standard operating procedures, audit (ISO 9000, COBIT 5, IT-CMF, CMM)

PROFESSIONAL EXPERIENCE

Information Security Officer

Confidential

Responsibilities:

• Confidential is teh world’s 4th largest bank and financial services company wif over $2.5 Trillion in assets on account, 189,000 employees and offices in 75 countries
• Report to Chief Security Officer and responsible for teh design and build of all information security functions for teh new Intermediate Holding Company (IHC) covering all US companies
• Functions includes Security Policies, Security Risk Management, Privacy, Compliance, Security Assessments, Threat Intelligence, Vulnerability Management, Security Controls Design & Monitoring, Incident Response, Forensics, Security reporting, Training and Awareness
• TD Ameritrade is teh world’s largest online brokerage wif $650 Billion in client assets, 6.6 million customers and 5700 employees
• Executive consultant, designed and developed a comprehensive Application Security and Application Risk Management strategy

Global Head of Technology Risk

Confidential

Responsibilities:

• Confidential is teh world’s largest custody bank wif $28 Trillion in assets under custody (AuC) and teh 6th largest money manager wif $1.6 Trillion in assets under management (AuM).
• Reported to teh CIO and managed global departments and large complex enterprise-wide transformational programs wif full responsibility from initiation to completion including financials, budgets, team building, design and development of capabilities, and execution
• Defined and built teh global strategy and roadmap for information security and technology risk. Developed teh enterprise risk management “3 Lines of Defense” operating model for global IT (Line 1), benchmarked existing investment against industry peers and secured required funding from executive committee, developed teh 5-year strategy and roadmap for IT risk management including risk assessments, internal controls, control monitoring, risk reporting, key risk indicators and risk scorecards. Rewrote all policies and standards, cross mapped all regulatory compliance requirements including SOX, SOC1 (SSAE 16 / ISAE 4302), FFIEC, GLBA, PCI, NIST Cybersecurity, FSA Cyber Essentials, European Data Privacy, MAS/HKMA technology controls, and US government client requirements based on NIST. Defined risk accountability including goals and measures for IT senior management. Responsible for presenting to international and federal regulators and bank examiners for IT risk management topics. Worked wif business units to solidify teh data classification policies and records retention standards including validation of adherence wifin IT applications. Worked wif business units to define and review privileged account management policies, logging and monitoring, toxic-combinations, and semi-annual recertification process and tools
• Defined and built teh strategy and approach for managing 25,000 User Developed Applications (UDAs) including quality control to certify compliance wif policies & standards
• Managed teh rationalization for 10,000+ IBM Lotus Notes Domino applications
• Managed teh application readiness track of teh global desktop migration to Windows 7
• Confidential is teh world’s 6th largest bank
• Reported to teh CIO, responsible for teh delivery of large-scale, complex, cross-functional, programs and projects from inception to completion.
• Managed a multiyear, $35 Million strategic initiative to consolidate 3 disparate lines of business and to replace multiple Loan Origination (LOS) and Credit Risk Management systems. Managed 400+ business and IT staff, 62 suppliers, 20,000+ dealers, 2000+ end-users and dozens of project managers and project coordinators.
• Managed teh conversion of multiple Customer Relationship Management (CRM) applications to Salesforce.Com
• Managed teh conversion of our legacy Financial Accounting Systems To SAP and Financial Data Warehouse (FDW)

Chief Technology Officer & Chief Information Security Officer

Confidential

Responsibilities:

• DCFS was teh finance division of DaimlerChrysler Motors and was teh 2nd largest auto finance company in teh world managing over 5 million customers and $100 billion in loans.
• Reported to teh CIO and managed a team of 125+ in Canada, US, and Mexico, Responsible for all technology, application architecture, infrastructure, databases, help-desk and support, and end-user computing (EUCs)
• Defined enterprise architecture (EA) approach, systems landscape (current & Future-State), technology roadmaps, software coding standards, established QA & testing methodology including automated regression testing, and defect management procedures
• Defined and built teh information security strategy and capability. drove network-segmentation & intrusion detection and prevention (IDS/IPS) projects, introduced ethical hacking, secure application design and coding standards, information classification and information protection policies and standards
• Defined and led teh enterprise data warehouse consolidation and migration to Teradata.
• Built teams for Enterprise Application Integration (EAI), Extraction Transformation & Loading (ETL), Business Intelligence and Analytics, Internet development
• Led teh architecture design for new Dealer Portal System, led server & storage consolidation initiatives, delivered application monitoring center (AMC), reduced mainframe batch run time by 4-Hours

Global Head Systems Development

Confidential

Responsibilities:

• Confidential is teh 9th largest asset manager globally wif $1.4trillion in assets under management (AuM) and part of teh AXA Group, teh world’s 3rd largest insurance company wif annual sales over $147billion.
• Reported to teh Global CIO, lived and worked in London, U.K., managed 60+ staff in teh UK, France, and Germany. Responsible for global systems architecture, application development, data warehouse, enterprise application integration (EAI), QA and software testing. Member of AXA’s Group’s global architecture and technology standards board
• Managed teh development of an internet-facing private-label website allowing several hundred thousand employees from large European companies to manage their pension plans and stock investment programs online
• Managed teh development of an internet-facing “Virtual Manager” website allowing private clients and institutional investors to see detailed performance and attribution reporting online.
• Managed teh Integration of Siebel Customer Relationship Management (CRM) systems wif internal sales, and client services systems.
• Cambridge Technology Partners was a mid-size management consulting company wif 2,300 consultants later sold to Novell in 2001
• Consultant for Lehman Brothers’ Strategy called “Lehman Live” to migrate and integrate all of Lehman's systems to teh Web
• Lead Consultant for Instinet’s OATS trade reporting system business evaluation

Chief Technology Officer

Confidential

Responsibilities:

• Teh Confidential was an independent software vendor dat developed teh Landmark Trade Order Management System (TOMs) for institutional equities and fixed-income portfolio managers and traders. Longview was bought by Barclays Global Investors for just over $50 million in 1998 and later sold to LineData Corporation.
• Reported to teh president and managed a team of 35 responsible for all software products and development including activities required for teh sale to Barclays Global Investors
• Led product development and upgrades including multiple large client deployments and customizations including Barclays Global Investors, Morgan Stanley Asset Management, Glodman Sachs Asset Management, Mellon Bank, Nicholas Applegate Capital Management
• Led teh design and build of real-time portfolio rebalancing for stock and bond holdings based on client directives and investment models. Expanded teh real-time trade-order compliance engine, real-time portfolio valuations reporting, and block-trading and block allocation algorithms
• Managed teh Development and Deployment of Electronic Trading Using FIX Protocols to 40+ Broker Dealers and Electronic Crossing Networks (ECNs) such as BRUT, ITG’s Posit, Instinet, LiquidNet, EuroNext, etc.
• Prototyped teh Institutional Trade-Order Crossing Networks, Landmark “Lite” a Private-Label TOMS for State Street Global Advisors (SSGA), Landmark “Lists” for Large Index Traders, and In-Memory Databases for Increased Speed and Performance

VP Trading and Investment Systems

Confidential

Responsibilities:

• Nicholas Applegate Capital Management was a specialty investment management company wif $40 billion in assets under management (AuM) purchased by Allianz and merged into Confidential .
• Reported to managing-director of IT, managing a staff of 15 and responsible for teh global trade-order management systems (TOMs) and all market data systems including Thompson Reuters, Bridge Data, Knight Ridder, Bloomberg, FactSet, etc.
• Led teh customization and implementation of teh enterprise portfolio management and trade order management system (Longview’s Landmark), including teh development of advanced portfolio rebalancing, electronic trading & market risk calculation applications
• Managed teh integration of Scopus Customer Relationship Management (CRM)
• Campbell & Company is teh world’s oldest Commodity Trading Advisor wif $3 billion in assets under management (AuM) providing algorithmic trading programs for commodities, futures, currency, and options trading
• Reported to teh CEO and managed a team of 20 responsible for all IT activities including infrastructure, market research platforms, algorithmic trading systems, commodity, futures, and foreign exchange trading applications, market data providers, and portfolio accounting systems.

TECHNICAL SKILLS

Languages: Java/J2EE, C#/.Net, C/C++, VB/.Net, Clipper/Dbase, COBOL/CICS, Assembler

Productivity Tools: Microsoft Excel, Microsoft Access, Microsoft PowerPoint

Databases: Oracle, IBM UDB, Microsoft SQL Server, Sybase, Teradata, Ingres

Enterprise Platforms: Salesforce.com, SAP FDW, ARGO Data Solutions, SharePoint 2010

Software Stack: IBM Websphere, IBM Portal Server, BEA Weblogic

ETL & Middleware: Hummingbird GENIO, IBM MQ Series / MQSI, Tibco Rendezvous, Informatica Powercenter

Reporting: Business Object, Cognos, Crystal Reports, Hyperion

Risk tools: RSA Archer, ExtraView, Brinqa, Thomson Reuters Accelus

Security Tools: StealthWatch, ForeScout, Damballa, TripWire, Avecto, eTrust, McAfee. Qualys, Symantec Vontu (DLP)