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Executive Director Resume Profile

New York, NY

Summary

Business-focused executive with twenty years of experience in global companies, committed to being industry leaders. Client-facing leader experienced with IT strategy, delivery, governance, transformation, operations and relationship management in highly regulated environments. Accomplished in conducting business in foreign markets that contain diverse modes of operation. Broad thinker with high energy, creative style, and the ability to effectively align business objectives with technology. Outstanding leadership, communication, planning and team-building skills.

Professional Experience

Confidential

Executive Director

  • Oversight of the delivery of all technology services and relationship management between Morgan Stanley affiliates to the Confidential, including all required and relevant reporting to the business.
  • Directly responsible for the alignment of regulatory requirements and the delivery of technology.
  • Established a framework for all service level agreements SLA's used between the organization's, disparate legal entities, maintaining alignment with Dodd Frank Volcker , FFIEC requirements and OCC guidance.
  • Created specific SLA's for the organization's Portfolio Loan Accounts PLA , Regulation W Reg W and bank deposits BDP platforms.
  • Created the model for all inter-affiliate delivery management reporting and associated KPI's.
  • Responsible for business management and technology financial/cost allocations reporting between inter-affiliate suppliers and customers.
  • Initiated a supplier risk management program to oversee 3rd party vendors that provide technology platforms for lending, portfolio loan accounts and trust products.
  • Lead the completion of FDICIA assessments and certifications for the Confidential, MSPBNA.
  • Oversight of all issues and risks including regulatory, program and project level reporting.

Confidential

Consultant

  • Direct management the information security team and its day-to-day operations.
  • Liaison with the CIO/Executive Management team and providing timely info-sec reports and KPIs.
  • Created a minimum information security standard based on ISO 27001 management controls.
  • Revised all information security policies, standards and procedures to align with the transformation to a service delivery technology model, subsequent to the acquisition of Synovate.
  • Led the vendor selection process for the provisioning of technology services in the areas of information security, privacy and compliance.
  • Created the framework for the organization's self risk assessment, risk register and information security assessment.
  • Introduced SAINT as the organization's vulnerability management platform.
  • Developed a new access control/entitlements framework and oversight program.
  • Established a data classification and privacy framework the organization's primary market research application, scalable to other platforms.
  • Oversight of all customer information security audits.

Confidential

Head of IT Operations Director

  • Board appointed role, with responsibility for the executive management of business technologies. Hired to reposition corporate technology so that it is regarded both internally and externally as a competitive differentiator. Actively engaged in ensuring that the technology and processes supporting key decision makers enable them to make timely business decisions and manage risk. Active member of the Trust Advisory Committee. Managed a 60MM budget including the direct management and oversight of multiple performing suppliers.
  • Directed the technology support for all business units and products inclusive of but not limited to Equity, Fixed Income, Futures, FX, Absolute Return Strategies Hedge Fund/Fund of Funds , Real Estate and Alternative Investments, Investment Operations, Corporate Finance and Corporate Administration.
  • Managed the revision of the company's information security program, which is the firm's governing policy ensuring corporate, SEC and OCC regulatory compliance. Created the information security and compliance strategy. Partnered with Risk Management and Compliance in most information security matters.
  • Respond to 20 internal and external SEC, OCC, FFIEC, SOX annual regulatory audit/exam requests. Achieved a 100 reduction in audit control deficiencies from 2006 to 2011 resulting in a reduced number of vulnerabilities and significant deficiency exposures within the GM global environment.
  • Business interface and relationship management for all regulatory agendas. Direct responsibility for managing the relationship with the FED, SEC, OCC, FSA and internal auditors.
  • Developed the organization's annual technology risk assessment and strategy for all remediation activities.
  • Responsible for the creation of the information security program including data classification and data privacy guidelines for the management of all corporate information.
  • Created and presented the annual risk and security awareness presentation, required by the board of directors.
  • Performed an initial review and gap analysis of proposed limitations mandated by the Dodd-Frank act.
  • Created a centralized Data Warehouse platform and 'Gold Copy' data repository to improve cross asset management analysis and reporting. Established best in class business intelligence, client reporting, performance attribution, risk management, and portfolio analysis capabilities 12MM initiative.
  • Led the equity trading system migration from Eze Castle to Charles River to deliver alignment with changing business requirements and improving compliance.
  • Managed the migration of Bloomberg POMS to Bloomberg AIM for Fixed Income trade order management.
  • Outsourced and migrated the Back Office and Investment Accounting functions to a new vendor from an in-sourced model. Co-lead and partnered the joint IT and Investment Operations initiative.
  • Responsible for the relationship management of executive/front office, middle office, back office, investment operations and corporate administrative departments and the alignment of technology within their groups.
  • Executive oversight and relationship management for all third party vendors, providers and partners.
  • Board appointed as the company's Chief Information Security Officer CSO/CISO .
  • Lead the merge of a stand-alone technology organization to integrate with the parent company's ITIL based services and delivery model. Responsible for all IT operations and support O S .
  • Created the enterprise architecture and IT governance strategy to effectively align the strategic business direction and to execute consolidation efforts. Introduced and integrated COBIT as IT's governance model.
  • Developed a new business continuity resumption site providing resources for 75 of corporate staff with full functionality of day-to-day business operations.
  • Migrated a shared and outsourced SAP platform from an existing performing supplier to new internally hosted instance of ECC and BW 15MM initiative.
  • Oversight of all application development efforts using .NET and J2EE as primary platforms.
  • Initiated server virtualization efforts that resulted in a 60 TCO reduction for the useful life of the assets.

Confidential

Consultant Global Technology Infrastructure

  • Architected the strategic plan to retire 38 production facilities a decrease of 1.2MM sq. ft. of raised floor space and the addition of four Tier 4 Data Centers resulting in a 35 efficiency gain in platform consolidation and technology upgrades.
  • Managed the monthly reporting process of the project portfolio both delivery and financials .
  • Assigned to the team leading a 1 billion reduction effort of technology TCO expenses over three years.
  • Ownership of executive communications Up, down, cross-committee, portfolio and program .

Confidential

Consultant Office

  • Management of a 144 million project portfolio comprised of 80 concurrent projects.
  • Executive management of all application, infrastructure, mainframe, disaster recovery, networking, security, operations, distributed computing and application monitoring initiatives.
  • Executive direction of the client services team including PMO, engagement management, and service delivery management activities.
  • Responsible for coordinating with AIG's global CIO, divisional CIO's and CTOs to define overall technical strategies and to establish and align synergies between the individual lines of business.
  • Management of the relationships between the business and various technology groups.
  • Negotiation of contracts and service level agreements for all projects and responsible for all business development.
  • Created proofs of concept, business cases and functional requirements for emerging technologies to be used by the organization.

Confidential

Vice President and Director

  • Created and managed the corporate IT budget yearly which ranged from 20 to 40 million.
  • Worked proactively with division executives to assess business requirements for appropriate technical solutions.
  • Changed the posture of the IT function within the Real Estate company from an operational necessity to a strategic element by creating an independent department designed to support the specific business while successfully leveraging resources from the parent company.
  • Implemented a world-class data center and secured a global data communications network servic ing over 100 international sites. All internally-hosted servers resided in a state of the art facility.
  • Generated infrastructure initiatives that resulted in 1 million yearly savings in telecommunication costs.
  • Directed all emerging technology research for potential use within the enterprise.
  • Led the vendor selection and execution for optimization of the company's e-commerce website.

Confidential

Manager

  • Team leader and manager of engagement groups responsible for client initiatives. Major clients included global financial services firms with initiatives spanning across several business verticals.
  • Evaluated the impact of the existing and proposed application portfolio and architecture including the feasibility of rollout/migration and projected cost savings.
  • Facilitated the evaluation of new technology requirements with senior executives.
  • Managed monthly Steering Committee and Architecture boards.

Confidential

Manager and Senior Technology Engineer

  • Led the management oversight for a 20,000 node Cisco, Local and Wide Area Network.
  • Coordinated technical teams across multiple departments and geographical locations to develop scalable, highly available and secure system architectures.

AREAS OF EXPERTISE

Financial Management and Regulatory Management of technology including budgeting, forecasting, auditing, evaluation of results to plan, implementation of cost reduction programs for information technology budgets. Strong banking, and asset management experience within multiple regulated Fed, OCC, SEC, Basel III, NIST, Dodd Frank, Volcker etc. investment areas including Deposits, Lending, Mortgages, Trust, Money Movement, Equity, Derivatives, Fixed Income, FX, Swaps, Swaptions, Interest Rate Derivatives, Futures, Commodities, Absolute Return Strategies Hedge Fund/Fund of Funds , Real Estate and Alternative Investments.

Operations Management including acquisition integration, business process reengineering, business continuity planning, talent evaluation, team building and retention, motivation of employees, management of external consultants, and performance goal setting. Experienced with all aspects of investment operations.

Program Management and Project Management including experience in overseeing and directly managing enterprise-wide, global projects and programs exceeding budgets of 140MM. Proficient with multiple methodologies including but not limited to: agile, interactive, incremental, iterative and phased CMM, CMMI, Six Sigma, PMI and PMP.

Technical Management including the management of application development, infrastructure, information security, IT risk and compliance, IT governance, network engineering, telecommunications and vendor management. Strong proficiency and career experience with multiple technology platforms, methodologies and models including but not limited to ITIL, ITSM, COBIT, Microsoft Windows/Wintel, Unix, Linux, Open Source, Microsoft .NET, C , J2EE, SaaS and IaaS.

Application Management of trading Trade Order Management and Execution Order Management and financial systems including but not limited to Loan IQ, Metavante Insight, Fidessa, Charles River, Yieldbook, Portia, Intex, Derivative Solutions, Swapswire, Eze Castle, Charles River, Advent Geneva, Simcorp, Blackrock Aladin, AES, Barclay's Real Tick and POINT, FX Connect, HF Optimizer, Holt, Bloomberg POMS, Bloomberg AIM, Bloomberg Terminal, Markit OTC, Tradeweb, Reuters, Factset, Barra, Morningstar Encorr, Insignis, Genesis, Zephyr Style Advisor, Watts Express, JP Morgan Cash Transfer, SAP, Wachovia Connect, MatLab, Globeop, RediPlus and FIX Protocol.

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