SUMMARY:

Accomplished, proactive senior financial and IT business leader with skills in business, operations and technology strategy, financial planning and analysis, risk management, and independent management reviews in both domestic and international settings. Ability to partner with senior management teams to develop and execute strategic programs to improve service levels, reduce risks, and manage costs. Managed complex initiatives including redesign of P/L statements, integration of systems and operations of acquired companies, client and vendor management, and data governance and rationalization. Hired and managed diverse business and technical staffs.

EXPERTISE AREA:

• Senior Level Business Analysis/Metrics
• Risk Management/Internal Controls
• Regulatory Compliance
• Program/Project Management/Delivery
• Compliance Technology Strategy
• Financial Planning & Analysis
• Vendor Management
• Business Continuity/DR Planning

EXPERIENCE:

Confidential, Stamford, CT

Treasury Risk Reporting Project Manager

Responsibilities:

• Consulting Project Manager managing the migration of performance, risk, and activity reporting responsibilities from the Treasury Desk to the dedicated offshore Reporting Services unit, in response to Internal Audit finding.

Confidential, New York, NY

Enterprise Risk Management

Responsibilities:

• Compliance risk analyst for this enterprise risk management consulting firm. Includes risk assessment and solutions for financial institutions, especially in the risk analysis of new product offerings, KYC documentation, and process outsourcing. Introduced risk control self - assessment ( Confidential ).

Confidential, New York, NY

Sr. Program/Project Manager

Responsibilities:

• Consulting Project Manager supporting several work streams within the Financial Crimes Technology Compliance PMO.
• Responsibilities include project management and reporting for bank-wide response to regulatory-mandated change, including new procedures and processes and the required information technology development.
• Emphasis was on AML/KYC and client off boarding technology, risk appetite monitoring and metrics, PEP process enhancements, global data privacy and governance issues, and risk management and reporting.
• Tools utilized included MS Office, SharePoint, and SQL.

Confidential, New York, NY

Program Manager

Responsibilities:

• Project managed the upgrade of the Confidential platform.
• Development of senior management dashboard from daily GL.

Confidential, New York, NY

Vice President

Responsibilities:

• Project managed re-design of transaction monitoring systems, migration of data into new platforms, project budgeting, and enforcing risk, project, and data management governance.
• Led software vendor evaluation and purchase process.
• Financial, budget, and business management analysis of future state alert management processes, including decommissioning of outdated systems.
• Led review of external vendor viability and legal agreements.

Confidential, New York, NY and Charlotte, NC

Consultant - Finance Manager

Responsibilities:

• Built the corporate-level business case for the project portfolio, developing financial and business analysis for integration into firm-wide architecture, identifying risks and mitigation strategies, compliance with legal and regulatory requirements, data governance and strategy, software vendor selection, and developing analysis for Board level review.
• Aligned results from the firm-wide Long Range Planning model with the Corporate Finance platform.
• Led review of external vendor product offerings and contracts.
• Tools utilized included MS Office, SharePoint, and SQL.

Confidential, New York, NY

Senior Manager Consultant

Responsibilities:

• Responsible for defining scope and deliverables for financial services clients of this boutique management consultancy specializing in the capital markets industry.
• Gained acceptance of a plan to merge fixed income operations, IT, prime broker, and administrative functions of the bank and its acquired broker dealer, Dain Rauscher.
• Developed business rules for the use of ‘golden copy’ reference data for equities, fixed income, FX, and derivative products, streamlining the in corporation of cleansed reference data into the production stream.
• Created cost-based analysis, SLAs, risk control, and decision tools to measure the financial and processing impacts of outsourcing.
• Program managed the targeting of global IT initiatives for spend reduction, with subsequent testing, risk and control monitoring tools, and operating metrics.
• Developed PMO / SDLC for long range IT strategy implementation projects including financial and business analysis of the project portfolio; SLAs, risk metrics, balanced scorecard, release management, entitlements management, and developing appropriate operational, risk, and financial controls.
• Developed a Disaster Recovery/Business Continuity plan for the university’s IT and Operations functions.

Confidential, Charlotte, NC

Vice President, Integration Manager

Responsibilities:

• Managed migration of account and transaction data for post-purchase integration of SouthTrust bank.
• Designed and managed department-wide SOX testing and compliance plan.
• Developed and implemented department business continuity plan.
• Developed outsourcing and divestitures policies, standards, and metrics.
• Tools utilized included MS Office, SharePoint, and SQL.

Confidential, New York, NY

Senior Vice President/ Lead Engagement Manager

Responsibilities:

• Led remedial systems re-engineering to comply with regulator findings.
• Program managed an award winning web-enabled time tracking system to manage compliance with mandated business rules and HIPAA data privacy.
• Designed and successfully implemented an cloud-based online order management system.
• Internal management responsibilities included chief of staff level assignments such as firm-wide finance and controller, HR, marketing, audit, legal, billing, physical relocation, and administration.

Confidential, New York, NY

First Vice President, Profitability Reporting Project Manager

Responsibilities:

• Designed enhanced organization, business line, and customer P&L reports and balance sheets.
• Successful conversion from mainframe general ledger and supporting feeds to server-based ERP platform (Oracle Financials).