SUMMARY

• Results - driven Management Executive with a comprehensive International background working on Wall Street, managing a range of multiple $160 to $1 Billion Dollar initiatives & consulting with C-level clients at Fortune 500 companies, including Confidential.
• Proven ability to manage clients’ Vendor Relations, Change Management Activities, create Project Management Offices, Lead Operations & Outsourcing / Right Sourcing / Off Shore Delivery Service Management & drive Strategic Planning. Offer a dedicated work ethic with ability to get the job done & deliver results beyond expectations. Proficient in various technologies, systems & software applications. Willing to travel. Additional capabilities include but are not limited to:
• Multi-Million Dollar Programs & Budgets
• Confidential / Governance Models
• Customized Application / Product Development
• Crisis & Change Management
• Business Process Re-Engineering
• SDLC (System Development Life Cycle)
• SILC (Standard Infrastructure Life Cycle)
• On Shore / Off Shore / Balanced Outsourcing Strategist / Right Sourcing
• Request for Proposals (RFP), Request for Quotes (RFQ), Memorandum of Understanding (MOU), Board of Director Reports (BoD) & Due Diligence
• Transition Management Office (TMO)
• Operations & Technology Management
• Revenue Generation, Cost Containment & Critical Initiative Focus & Business Development
• Regulatory Compliance: OCC, BASEL, Sarbanes-Oxley, GLBA, Dodd - Frank, AML, etc.
• End-to-End Vendor Portfolio & Relationship Management
• Risk Management: Operational Risk, Financial Risk, Credit Risk, Reputation Risk, Technology Risk, Strategic Risk, Legal & Compliance Risk, Business Continuity Risk, Information Confidentiality Risk, Contractual Risk, Data Integrity Risk, Geopolitical Risk, Liquidity Risk

PROFESSIONAL EXPERIENCE

Confidential, New York, New York

Senior Program Manager

Responsibilities:

• Spearheaded & Focused on responding to the Office of the Comptroller of the Currency (OCC) on the following Matter Requiring Attention (MRA): Management needs to implement a well-defined Risk Assessment & Approval Process to allow any Supplier to operate outside the scope of the ESRM program - Estimated Program Budget / Annual Spend Ranged between $50 -$70 Million Dollars
• Responsible Globally for Inventorizing & Documenting the Categories of External Third Party Service Providers that are currently designated as Out-of-Scope of the ESRM program
• Performed & Completed the Assessment of the Current State processes to exempt & approve Third Party Service Providers to operate Out-of-Scope of the ESRM Program
• Defined, Established & Documented the existing Control Frameworks for each Category of Out-of-Scope Third Party Service Providers identified
• Defined, Established & Documented a Methodology & Framework to Assess the Risks associated with the Exemption of the Third Party Service Provider from the ESRM program - such as Operational Risk, Financial Risk, Credit Risk, Reputation Risk, Technology Risk, Strategic Risk, Legal & Compliance Risk, Business Continuity Risk, Information Confidentiality Risk, Contractual Risk, Data Integrity Risk, Geopolitical Risk
• Developed & Managed the Target State Criteria & an Exemption Approval Process to allow Third Party Service Providers to operate Out-of-Scope of the ESRM program
• Successfully Secured Management approval of the Risk Assessment Methodology & the Target State Exemption Approval Process for Out-of-Scope Third Party Service Providers
• Supervised & Managed Re-assessment of all Suppliers currently designated as Out-of-Scope of the ESRM program, including Suppliers with access to Confidential or Restricted Information, using the new Risk Assessment & Exemption Approval Process Tool
• Implemented the process to periodically Re-Assess the Risks Associated with Suppliers designated Out-of-Scope of the ESRM Program; Provided Oversight of Outsource Service Provider (OSP) and Enterprise Supplier Risk Management Program (Domestic and International) for Out-of-Scope Third Parties
• Provided Global Oversight & Governance for Developing & Delivering a Robust Approval Process to ensure Suppliers designated as Out-of-Scope of the ESRM program (20,000+) present Minimal Financial, Operational, Reputational, Legal & Compliance Risk to the organization
• Ensured Compliance with Industry Standard Regulatory bodies such as BASEL II & III, Sarbanes Oxley, Gramm-Leach-Bliley Act (GLBA), Anti-Money Laundering (AML), Outside Service Providers (OSP)
• Collaborated & Directed with Global Programs for Governance of the Out-of-Scope Third Parties, Supplier Risk Classification, Supplier Risk Concentration, Assessment of Supplier Concentration & Level of Dependency, QA Process Improvements, CoB supplier Risk Management Framework, Issue Management, Risk Tolerance Definition, Business Processes not to be Outsourced, Enhance Supplier Classification, Critical Supplier Determination, etc.
• Identified & Reviewed the Key Policies, Procedures & Control Framework / Business Rationale for all of the Out-of-Scope Third Party Categories (41) such as Supplier Selection & Management Policy (CSSMP), Citi Code of Conduct, Mergers & Acquisitions Policies, Citi Expense Management Policy, Outside Legal Counsel Policies & Procedures, Third Party Information Security Assessment Process (TPISA), TPISA Out-of-Scope Review Procedures, Citi Information Security Standards (CISS), Citi Approved Supplier Program (CASP), Guidelines for Direct Sales Agents (DSAs), etc.
• Provided Direction in Creating Various Risk Assessment Processes & Methodologies to calculate various Risk Ratings / Score such as Inherent Risk, Residual Risk, etc.
• Responsible for Coordinating & Aligning with the Program Team (40 - 50+) Provided Weekly Status Updates & Reported Directly to the Head of Enterprise Risk Management & the Head of Operations & Technology Management & Contributed to the Board of Director Report

Confidential, New York

Sr. Director of Global Corporate Treasury Change Management PMO

Responsibilities:

• Responsible for Leading the ‘Corporate Treasury: Global Liquidity Risk Management’ Program Management Office (PMO) for the Bank with a keen focus on Aligning & Confirming with the FED Identified Policies, Procedures & Regulatory Reporting Best Practices & Highlighted Critical Control GAP’s & Recommended Process / Procedural Improvements to ensure the Adoption & Application of Best Practices of the Liquidity Risk for ‘ALL POSITIONS’ held by the Bank; Estimated Budget greater than $25 Million Dollars
• Responsible for taking the Inventory of all the Current State (ALL Workstreams) PMO & FED Related Documentation from multiple Channels & Sources & for Designing, Creating & Mapping the Documentation towards the ‘Go-Forward’ Target State; Reviewed & Highlighted Technology Proposals that would deliver the recommended Business Process Improvements; Created, Analyzed & Aligned with the Capital Investments Treasury Technology (CITT) Risk Control Framework
• Defined the Process Standardization Frameworks, the Execution / Adoption Plans & Governance Structures to Manage & Maintain the Project Related Documentation, Policies, Procedures, Reports, SLA’s going forward
• Created & Designed the Enterprise Level Policies & Procedures, Critical Reports, SLA’s Standard Templates & Quality Control Checklists for Various Procedures to cover the All Regions, i.e., North America (Domestic) & EMEA (Includes Latin America, Asia & Europe)
• Responsible for Gathering the Requirements, Creating & Writing the Policies & Procedures & User Guides to Satisfy the FRB - 4G Requirements: Debt, Repos & Reverse Repos, Deposits: Monthly, Deposits: Weekly, Unencumbered, Cashflows, LRS Rules Control, Consolidated, Miscellaneous, LRS User Access & Entitlements, Counterparties, Month End Closing, Desktop Monitoring, Flexible Reporting User Manual, Regulatory Reporting User Guide, 4G Liquidity Monitoring Tool, BASEL II & BASEL III, etc.
• Provided Direction & Worked closely with the Core Team of Subject Matter Experts (SME’s), Program Managers & Heads of Various Practices (Treasury, Change Management, Data Assurance, Technology, etc.) working in a Matrix environment; Created Weekly Management Decks & provided Status Updates for Senior Management
• Responsible for Coordinating & Aligning with the Team (35 - 40+) & Reported directly & worked on a daily basis with the Sr. Directors, Head of Treasury, Head of Technology, Head of Data Assurance & Head of Change Management, Head of Risk Management & Head of Compliance Management & the CFO Group
• Spearheaded & Conducted the Audit-Risk-Compliance Bi-Weekly Meetings & Created the Global Policies, Procedures, SLA’s & Reporting Tracking Repositories

Confidential

National Financial

Responsibilities:

• Responsible for setting up a multi-currency, multi-product, multi-division / department, multi-countries, multi-million dollar ‘International Trading Platform Offering’ Program Management Office (PMO) to serve Global Critical Initiatives with an emphasis on cumulative Revenue Generation ranging from $120 Million to over $1 Billion Dollars over a five year period (2009 -2013) & a keen focus on Cost Containment with a spend of $404 Million over a five year period (2009 -2013)
• Provided direction & worked closely with a core team of Subject Matter Experts (SME’s), Program Managers & Heads of various practices working in a matrix environment; Created Weekly Management Decks & provided status updates for Senior Management
• Responsible for coordinating & aligning all team members on the engagement (120-150+) & Reported directly & worked on a daily basis with the President - Institutional Product Group, Executive Vice-President - Product Management, Senior Vice-President - Product Management, CFO & Senior Partners
• Managed the Program Portfolio for the ‘International Trading Platform Offering’ that included but was not limited to Capital Markets, Order Entry, Fixed Income, Foreign Exchange, Securities Lending, Security Master, Money Movement, Reg- T Margin, Portfolio Margin, Tradeaway, Allocations, P & S Hub, Trade Hub, Finance, Billing, Plato, Tax Lot Accounting, Business Setups & Registrations, ETF’s, Direct Market Access (DMA), FNX replacement, Domestic & International Options, Fixed Income & Equities, Central Trade Manager (CTM), TradeFlow, Swift Messaging / Gateways, DVP-RVP, Prime Brokerage Custody Platform
• Responsible for Managing Full Project Life Cycles for Applications Development & Upgrades using SDLC & SILC Methodologies; Process Development (including re-engineering & IT) & Data Migration & Hardware Migrations

Confidential, New York

Consultant - Director of Global Program Management

Responsibilities:

• Defined, Structured & Provided Direction for the ‘Private Client Workstation Strategy Conversion’ (PCWS) Program Management Office (PMO) to oversee the Transfer of the Clearing & Custodian Services from National Financial to the Chase Investment Services Corp. (CISC) that would align as part of the JPMCC Broker Dealer Advisor Services with an Estimated Budget greater than $100 Million Dollars
• Provide Strategic Direction & Governance for the CISC-JPMCC Executive Steering Committee & Stakeholders; Worked on a daily basis with the Managing Directors
• Lead the Centralized PMO Activities & report weekly on Cross-Project/ Program leverages & synergies
• Created the Milestone RoadMap & Dashboard Reporting based on Key Performance Indicators (KPI)
• Serve as the Gatekeeper for all Resource Management, Budget Management, Issue & Risk Management, Communications Management, Operational Alignment, Data Management & Training Activities

Confidential

Senior Program Manager

Responsibilities:

• Lead, Designed & Managed the Global ‘Offshore Wealth Services’ Program for Global Wealth Management Services, Investment Banking & Private Banking budgeted over $5 Million Dollars plus
• Participated & Conducted activities for the ‘Global Regulatory Exam Tracking System – X-TRAK’ & ‘Ethics Office’ initiatives, individually budgeted between $ 5 - $10 Million Dollars plus
• Created & Delivered Regular Risk Analysis Reports, including various Risk Statistics & Risk Trend Analysis which focused on the investor's unique needs & analyzed the impact of potential investment structure changes on the overall risk/return profile of the program
• Developed Outsourcing (On & Off Shore / Balanced) Strategies & Governance Model for SDLC & SILC processes
• Overall responsibility for the day-to-day management, development, review and control of all the functions carried out by the team together with ensuring adherence to client, compliance & other regulatory requirements
• Act as a Liaison between GWM business users, Legal & Compliance, Internal Technology Teams and Onshore & Offshore Development Teams and translate Operations Requirements into Custom Technical Solutions & Provided Operations Support to Sr. Managing Directors
• Responsible for Managing Full Project Life Cycles for Custom Web Applications Development using SDLC & SILC Methodologies; Process Development (including re-engineering & IT) & Data Migration & Upgrades
• Responsible for new Product Design & Development (in conjunction with business users)
• Responsible for Regular Business Evaluations will be part of the Risk Control Self Assessment process; Responsible for all Entitlement related activities; Ensuring Compliance with Anti- Money Laundering (AML), Suspicious Activity Reports (SAR), Patriot Act & Other Regulatory Requirements
• Managed the Onshore & Offshore Development Teams in INDIA, TAMPA, LATAM & US
• Managed all Vendor relations, contract negotiations, requirements analysis, financial budgeting & reporting, management reporting, team building, project milestones & mentoring/training
• Responsible for Overseeing the Deployment of the application for the warranty period; Provided Change Management oversight & Post-Implementation support. Proactively approach business contacts to ensure smooth acceptance of new capabilities, to answer questions, etc.

Senior Program Manager

Confidential

Responsibilities:

• Lead high-profile projects for the company’s Infrastructure & Risk Management portfolio with teams of up to 50 people & multiple program budgets of up to a $160 million dollars each
• Directed nine key global implementation initiatives, including Audit & Legal Compliance, Electronic Communications-Content Monitoring, Hardware & Software Risk Management & Technology Infrastructure security using SDLC & SILC Methodologies & Data Center Relocation initiatives
• Developed Outsourcing (On & Off Shore / Balanced) Strategies & Governance Model for SDLC & SILC processes
• Managed all vendor relations, contract negotiations, requirements analysis, financial budgeting & reporting, management reporting, team building, project milestones, change management, contingency planning & mentoring/training
• Identify & Protect Confidential Information to Prevent Data Breaches, Stop Data Leakage, Demonstrate Compliance & Reduce the Risk of External Attacks & the Insider Threat & Ensure Security & Compliance
• Customized & Aligned Vendor Solutions to work within the Citigroup Threat, Risk, and Vulnerability Assessment Methodology