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Sr. Regulatory Compliance Resume

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NY

SUMMARY

  • 22 years of experience into IT.
  • Banking sector, Financial services industry Experience.
  • Proficient in deployment, Design, Architecting, enterprise scale systems spread globally.
  • Project management and team management experience in global deployments and implementations and support.
  • Significant experience working with geographically distributed and culturally diverse Teams.
  • Ability to adhere to the highest standards of ethics and professional
  • Regulatory and compliance monitoring, Electronic DiscoverySubject Matter Expert (SME).
  • Compliance and Retention Architect. Search and Social Engineering archive and surveillance.
  • Service Delivery management experience.
  • MCSE and Certified Microsoft Exchange Admin.
  • Excellent communication skills, Project Management, documentation and interpersonal skills.
  • Ability to work in fast paced global environment, multi - tasking
  • Self-motivated and ability to work under pressure; Flexibility to deal with conflicting and ever-changing priorities;
  • Understanding of Electronic Records Management and document lifecycle. Demonstrated robust ability in electronic discovery
  • Exposure to various ediscovery products including Clearwell, Enterprise Vault, ZL unified, Autonomy
  • Extensive experience with Microsoft Active Directory, Microsoft Windows Servers through 2012.
  • Hands-on System Integration, Technical Project management, Fork Lifting, Data center migrations of servers, data, networking.
  • Experience in Email systems including, MS Exchange, O365 which includes installation, integration, operational experience, Design, configuration, administration, troubleshooting, Migration, connecting multiple site experience, Outlook Web Access and implementing connectors with different mail systems such as Lotus Notes
  • Deep understanding of client/server, networking and Internet technologies required to troubleshoot messaging systems end to end.
  • Professional experience supporting Enterprise scale Messaging and IT solutions.
  • Single Sign On technologies, SSO, Siteminder
  • Thorough knowledge and Hard core hands-on experience into Data archiving, Email journaling/Archiving, Managing Regulatory Compliance, Surveillance, Records Management, Storage & Archiving /optimization, De-dupe, culling, E-Discovery, Case management.
  • Experience with SAN, NAS, NetApp filers, snaplock, centerra, and retention policies
  • Use of SQL, Oracle sql queries
  • Familiarity with eCommunications archiving/journaling incuding email, social media, financial chat platform with a Large journal archive experience
  • Familiarity with SOX regulations and best practices implementing Internal controls to comply with Federal Banking Regulations.

TECHNICAL SKILLS

Operating Systems: Windows servers through 2012 Novell Netware, Working knowledge in Linux, scripting

E-discovery / Compliance: E-discovery, compliance, legal hold, Litigation, Data archiving products like Enterprise Vault, Ziplip e-discovery/compliance products, Autonomy, Actiance, EAS Orchestria. Migration of systems. Lexicon rules, policies et all.

Technologies & Products: Win Advanced Server, Terminal Servers, x64 bit, R2, IIS, O365

Exchange on: prem, Mobile, Active Directory Services, ExchangMigration, Windows Registry, File System, Services, Security, User Policies, DFS, GPO, DNS, WINS, DHCP, Iron port, Blackberry, Backup, Archive Solutions, Enterprise Vault, MS Cluster Servers, Migration Tools, Binary Tree, Backup, Virtualization, VMWARE, Novell. Lotus notes to Exchange Migration. Exchange to Lotus notes migration. ADFS,Azure, DUO authentication

PROFESSIONAL EXPERIENCE

Confidential, NY

Sr. Regulatory Compliance

Responsibilities:

  • Engineering and Architecting E-discovery, Regulatory compliance monitoring solutions for entire Organization
  • Email/O365 E-archive, Compliance solutions. Thorough understanding and hands-on with O365 system including Ediscovery and Advanced Ediscovery module
  • Participated in the migration of Domino legacy system to O365 cloud.
  • Integrate security standards and processes into daily work to meet and sustain compliance with Organization policies
  • Administration, Maintenance and Management of Email solutions and policies. Powershell scripting
  • Support daily operations of O365 Exchange Online tenant, Active directory solutions
  • Support third party E-Discovery solutions ZL unified archive solution, including backend Oracle data support. AnalyzeZLapplication performance and end user experience and suggest improvement and architectural changes.Review the architecture and provide recommendation to address the Data growth rate in a scalable and redundant way.Training legal team aboutZL application features and functionality.
  • Define and uniformly enforce retention and disposition granularly to meet governance requirements.
  • Forensically sound content capture. Message order preservation and complete chain of custody.
  • Support application both front and backend.
  • Email/E-archive troubleshooting, server maintenance, installations and migrations, upgrade, patching with minimal downtime
  • Process voluminous electronically stored information from collection through production.
  • Coordinate with other technical teams, including database, helpdesk Teams
  • ServiceNow used for all helpdesk and support-based systems.
  • Work to ensure standard procedures for electronic discovery and litigation support projects are consistently applied across the life cycle of the case; Ensure data that is subject to local rules and agreed upon processes are managed appropriately.
  • Program Management: Plans, organizes and oversees to achieve the goals and objectives of electronic discovery projects, whether specific to individual cases or more generally addressing the electronic discovery program
  • Managing electronic discovery (e-Discovery) requests for data that relate to legal matters and investigations. This includes the identification, preservation, collection, processing, and delivery of information related to legal matters
  • Manage multiple Regulatory compliance eDiscovery projects & matters, coordinate with internal and external teams to ensure deadlines and priorities are met
  • Support International request on behalf of the Firm’s Legal Team. Work closely with Internal Legal department and support the process towards Outside Counsel as well.
  • Assists in developing, implementing organizational best-practices and workflow procedures for E-Discovery, compliance, Records management organization wide.
  • Security and Compliance Center (eDiscovery, Archiving, Retention Policies, and Content Searches)
  • Well versed with Peripheral systems and protocols, such as Email Gateways, ADFS, AZURE AD, Email Archiving solutions.
  • Proactively research and recommend technology solutions and process improvements that will ensure continued defensibility.
  • Assisting with troubleshooting, diagnosing issues, and resolving defects that arise from deploying the Email solutions in complex enterprise customer environments.
  • Maintained a solid relationship with and provided consulting to internal stakeholders, Risk Management Group and Group Legal /compliance.
  • Hands-on with the O365 eDiscovery workflow

Confidential

Sr. Consultant

Responsibilities:

  • E-archiving compliance activities - Analyzing and pilot testing Compliance products.
  • Implemented E-archiving solutions, policies and archival of electronic documents.
  • Manage Exchange environment and Blackberry Enterprise Servers while maintaining uptime and SLA's.
  • Managed and supported 6000 + users in regards to enterprise messaging.
  • Migration from Microsoft Exchange Server 2007 to Microsoft Exchange Server 2010
  • Exchange 2010 environment support
  • Strong troubleshooting abilities with a keen sense for technical direction to quickly triage and resolve any issues.
  • Enterprise Vault cloud archiving, Journaling, On premises support and cloud
  • Single Sign On integration of AD.
  • for ediscovery, legalhold, mailbox retention
  • Troubleshooting server policies and configurations
  • Development of user policies and controls
  • Enterprise API integration with office 365 and archiving of mailboxes, Federated search support, stubs.
  • Perform MS Exchange system administration activities involving install, update, configure and maintain servers
  • Setting up Exchange Server Archiving - archive items from Microsoft Exchange user mailboxes, journal mailboxes, public folders, and file systems.
  • Design & implement backup/restore policies.
  • Enterprise Vault Reporting - provides reports on the status of Enterprise Vault servers, archives, and archived items.
  • Archive stubs, shortcuts, migration of large PSTs into Enterprise vault archive from local PCs and discovery of PST files and archiving them into vault.
  • Symantec Archive migration.
  • Execute monthly patch process to the Enterprise Vault and Exchange Servers.
  • Administration, Maintenance and Management of Mailboxes.
  • Participate in monthly on call rotation of Enterprise Vault and Exchange needs.
  • Archive PSTs into Enterprise vault
  • Anti-SPAM and virus solutions, postini, troubleshoot email issues caused blacklists and false positives decreasing time lost due to junk email and lost emails.
  • Create documentation to increase knowledge of staff and ensure consistency of installations and procedures.
  • Research hardware and software to meet customer needs, decrease restore times, and reduce costs.
  • Architect highly available and disaster recovery Exchange solutions to reduce and eliminate downtime and outages.
  • Patch & Project management. Practiced ITIL change management processes to implement new improvements into the environment.
  • Attended High Visualization meetings to explain global changes within the messaging environment to Corning executives and other engineers.
  • Evaluated the global environment daily to ensure low latency and high performance.
  • Managed mailbox databases and proper balancing of data across DAG’s.
  • Worked in conjunction with Microsoft to ensure best practice measures were always met.
  • Made sure the messaging servers had proper host resources and backups were done properly on databases.
  • Use Active Directory to set permissions on Service Accounts and ADSIEDIT Utility
  • Use Active Directory to manage users and security groups
  • Perform/create .PST restores from tape and live Exchange databases.
  • Provide Tier 3 support for email, Internet, & core Windows services, working closely with Help Desk personnel, end users & executive management.
  • Patching of servers. WSUS updates

Confidential, NJ

Associate Director

Responsibilities:

  • Servicing in Engineering Team, Project rollover and then into Production team.
  • Both Technical and Managerial role as a technical Manager and Subject Matter Expert.
  • Design and Architecting solutions. Been part of the Global Email engineering and support team.
  • Part of the Implementation of Electronic archiving and surveillance solution for 6000+ mailboxes in the US and 13K + mailboxes across 13 countries in APAC region
  • Designed and maintained surveillance hierarchy solution.
  • SME to the legal and compliance Team.
  • Risk mitigation and strategic planning to avoid any potential risk.
  • Project handling and reporting to PMO office
  • Enterprise content management, E-archiving, Ediscovery, Legal compliance, Legal hold, Data culling, Data retrieval, Disaster recovery.
  • Wealth Management, Investment banking, Global asset management, and Asia pacific rollouts
  • A to Z handling - System Integration, Solutions Engineering, Archive Compliance, legal hold, surveillance, vendor management, Stake holders, liason with other teams
  • Design, Architect Data archiving solution of e-discovery / compliance product. All Electronic data archiving in and out of the organization.
  • Integration of the product with Confidential centralized Single Sign On repository,
  • Active directory user population and link with products like Actimize
  • Auto update when users leave the organization and join the organization.
  • Work with Vendor for any upgrades, patches and support.
  • Thorough understanding of the suite and archiving and stub creation, deduping of data
  • Rollout the solution globally in US, Asia/pacific, Hong Kong, Korea, Taiwan, Luxemburg, Bahamas Locations, EMEA
  • Migration of data from old data archiving solutions
  • E-discovery regulations, compliance as per USA SOX regulations. Validation, testing, deployment, implementation, and integration of journaling & archiving solutions for the messaging & collaboration infrastructure, Topcall Fax solutions, Various application archiving and chat data.
  • Site minder SSO integration. Integration of applications into SSO, CA siteminder product. Identity management, Active directory services and more.
  • Policies, Lexicon rules definitions, Applying policies for various different groups etc
  • Working with Legal team, legalhold, policies, retrieval of data, etc.
  • EMC SAN, Netapp filers, SRDF, replication understanding.
  • Network connectivity, latency, performance, zero tolerance production support.
  • SAN, NetApp filer storage, snaplock features as per country regulations to store data for 10 years or less
  • Off shoring data with a 10 weeks local storage and off shoring data to secured data centre in Houston Texas
  • Legal hold, Litigation, Post-review, pre-review,Audit trails, Retention, supervision, Proactive and reactive archiving,
  • Thorough understanding and knowledge in Data archiving, Email journaling/archiving, Application data archiving, Fax data
  • Facetime (Vantage), Mindalign, interchange Chat integration, Lynch and archiving for US regulations
  • Great understanding of Microsoft Exchange server, transport protocols, Gateways.
  • Bloomberg data, chat archiving solutions
  • Thorough understanding and knowledge in Data archiving, Email journaling/archiving, Application data archiving, Fax data and various chatting solutions, Bloomberg.
  • Enterprise Vault support for Global management migrations, upgrades, support
  • Enterprise vault e-discovery accelerator, case management and data extraction
  • Data center migration, fork lifting of servers, Network connectivity, data migration, resource handling etc
  • Experience with database query with Microsoft SQL and Oracle SQL.
  • Virtualization of the solution/servers. Move Physical to virtual solutions.
  • Effectively managed the team, demonstrating the ability to coach, mentor and positively influence others, providing timely feedback to individuals and resource managers.
  • Build and maintain an understanding of business processes and products across the Business Unit, establishing strong working relationships with counterparts across the functional areas and spanned across globe.
  • Ensures that project team roles and project expectations are clearly communicated to all stakeholders including business subject matter experts and end users.
  • Attending Stakeholder meetings. Responsible for working with managers and technical experts across the globe (Business Partner, Architecture Services, Development and Business Systems Support Services) to identify the appropriate project resources needed, assembling the project team, assigning individual responsibilities, and developing a schedule to ensure timely completion of project.
  • Responsible for deploying projects on time, with quality, within budget, and as per specification (adhering to architectural design), effectively monitoring project risks, employing mitigation strategies where appropriate.
  • Managed vendor contacts and relationships
  • Provide Reports and Escalation of problems in a timely manner.
  • End to End project delivery. Liaison with other teams to complete the project deadlines.

Confidential

Lead Consultant / SolutionsArchitect

Responsibilities:

  • Designed the Active directory /Email infrastructure, Parent child architecture.
  • Supporting Windows 2000/2003 on HP Prolaint and Dell servers. Active Directory running in mixed mode with exchange 2003.
  • Server hardening to prevent attacks from exploiting known vulnerabilities.
  • Home folder migration from one server to another within the same domain, which consisted of 1000+ users who were both on Windows
  • DNS/WINS/DHCP architecture design, migration and implementation
  • US and UK site design, Mail flow
  • Build Pristine Active directory 2003 Network multi-site design
  • Design & Build Email Exchange 2003 infrastructure
  • Front End Back End Exchange email design with SSL, FE on DMZ
  • Virtual servers implementation and installation. ESX, GSX, VMWARE
  • Creating Image files of servers in case of system failures. This image file includes all the system's data including the operating system, programs, software updates, patches, mission critical data files, configurations, settings, etc.
  • Virtual server - Domain controllers, Front End servers.
  • Blackberry 4.0 enterprise Servers in UK and US locations.
  • Managing group policy objects using GPMC.
  • Installing and Configuring DHCP, DNS and WINS.
  • Build and implement Webmail architecture, OWA & RPC over HTTPS
  • Design and implement Enterprise Vault Archiving solution into new and old network
  • Migrate Mailboxes using Enterprise Vault archiving solution to new forest
  • Scripts for automation. Modified scripts to fit the environment
  • Proficient in Enterprise vault design, implementation, troubleshoot problems
  • PSTs migration into Enterprise vault.
  • Migrate users and Email to new forest using MS native tools
  • Prepared the Design documents, Implementation documents and final handover documents
  • Used Plate spin products to clone server
  • Used Double-take for Server mirroring solutions multi-site
  • Disaster Recovery and implementation
  • Migration of Servers
  • Blackberry servers, migration
  • Backup and restoring using Veritas backups.
  • Backup and Restore design for Domain controllers, Storage servers, Email servers, Enterprise Vault, SQL 2005 servers - complete testing and implementation
  • Recovery storage groups
  • Barracuda spyware
  • Trend Anti virus deployment
  • Enterprise Vault 6.0 deployment, migration of PSTs, Archiving into Enterprise Vault

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