PROFESSIONAL SUMMARY

Versatile and committed leader with comprehensive knowledge of compliance and business operations in a wide range of markets. Extensive technical and business credentials with proven leadership and unconventional management skills. Proven ability to successfully analyze critical business strengths, identify potential opportunities, evaluate work processes, and implement balanced, cost-effective solutions which improve performance and increase earnings. Develops sensible strategic goals which provide clear focus, empower individuals to make solid decisions, leverage organizational strengths while being able to recognize the limitations. Exemplary track record of successfully managing complex and challenging projects, managing diverse multi-discipline teams, and deliver high-quality outputs.

AREAS OF EXPERTISE

• Extensive Compliance and Audit Abilities
• Policy/Process Formation Implementation
• Strategic Planning Development
• Risk Management Mitigation
• Continuous Improvement
• Lean Operational Focus
• Change Control Management
• Strong I.T. Skill Sets
• Cyber Security Systems Strategy
• Proven leadership with more than 140 employees under direct supervision.
• Budget formation
• Project Management
• NERC / FERC / CFTC / AML /Patriot Act Compliance
• Trade / Market Surveillance

PROFESSIONAL EXPERIENCE

Manager of Operations and Pricing

Confidential

• Manage more than 20 direct reports within the retail electric Pricing and Operations groups.
• Manage complex regulatory and competitive marketing issues, including the unbundling of services and product development and pricing. Developed successful new business lines and product pricing strategies.
• Responsible for all retail electricity-based operations. Operational functions include, but aren't limited to power delivery, budget formation, hedging performance, billing issues, compliance of retail environment, financial reporting, strategic direction of products, risk assessments, portfolio management, load management assistance large customers, and the management of all pricing elements.
• Implemented and manage risk management policies and procedures, liquidity measures, and credit practices.
• Compliance and reliability assessments for PJM, NERC, and FERC mandates, including but not limited to Dodd-Frank, SOX, CTFC swap analysis, back office financial surveillance activities.
• Manage hedge portfolios to safeguard risk exposure to retail electricity portfolio.
• M A activities: Performed pro forma merger and acquisition consequences, discounted cash flow analysis, accretion/dilution analysis and due diligence on more than 10 books of business, companies, and proposals.
• Refine and develop regulatory reporting structures including, but not limited to, compliance assurance with federal and state laws and rules concerning the operation of deregulated energy supply. Host working relationships to evaluate plans of actions to remediate any issues.
• Architect and implement automated systems used to increase production while keeping costs low.
• Install and implement ERP Solutions including, but not limited to Aligne ETRM to Allegro systems and processes. Constantly checking for differences against the risk management system reports to remediate differences in volumes/margin variances.
• ISO based settlements for financial validation and remediation of weekly or monthly load/charges.

Director of Audit and Compliance

Confidential

• Managed/developed a portfolio of compliance activities including: promotion of compliance culture, give advisory opinions, support financial crime/market conduct programs, conflict management, provide compliance training, apply knowledge of energy and financial commodity products, reliability standards, evidentiary support documentation, approve new business initiatives, policy development, assess applicable forthcoming state and federal financial legislation in conjunction with regulatory affairs and legal, and compliance administration.
• Types of audits performed included, but weren't limited to Sarbanes Oxley SOX Audits, GLBA Financial Modernization Act of 1999 , COBIT and COSO Toolsets, FERC and NERC reliability audits, DOT compliance audits, FFIEC Regulations, and the mandated ISO 17799 and ISO 27002 protocols, NERC E-Tagging , and OASIS scheduling audits.
• Trading surveillance
• Aid functional work groups in formulating and implementing programs and practices which support compliance with NERC and FERC Reliability Standards utilizing reliability audit worksheets and reporting those findings to the executive members for remediation.
• Develop the compliance monitoring and transaction surveillance capabilities of the compliance department personnel having regard to actions and responses to applicable market conduct and financial crime scenarios.
• Assist in compliance investigations and visits by auditors from a variety of federal and state audit teams to ensure due diligence compliance.
• Overall control and oversight of the company's Sarbanes Oxley compliance efforts. Performed annual planning of SOX compliance efforts such as, risk assessments, materiality, significant accounts disclosures, and establishment of due dates, coordination of documentation, testing, remediation and the appropriate controls associated with financial reporting. Coordinate with external auditors for the audit of internal financial reporting, and show financial statement impact.

Director of Pricing Operations

Confidential

• Manage two separate pricing teams Natural Gas/Electricity , consisting of 14 members. Develop methods and models to competitively price electricity and gas markets for trading. Review inputs and outputs to accurately reflect NEISO, CAISO, PJM, MISO, and ERCOT market conditions.
• Monitor and analyze daily trading activity, strategy, position and market price movements including explanation of daily position and market to market changes on physical, financial, commodity spread heat rate , basis spreads transport and time spreads storage and imbalance .
• Create processes and procedures. Document operating procedures, spreadsheets and checklists.
• Responsible for transaction structuring and fundamental market analysis, for developing and refining company-hedging strategy, and for modeling and evaluating value and risks associated with structured commodity deals.
• Validate data accuracy including the verification of customer demand and supply in risk management models. Verify, track, and record all derivatives in risk management sub-ledgers and coordinate among departments for compliance of information flow. Ensure risk management system data is accurate, and daily checks of positions are optimized and captured through risk models.
• Collaborate effectively with Pricing, Structuring, Commercial, Legal and Operations team to evaluate non-standard requests in a timely manner.
• Oversee, manage, and train all pricing personnel to utilize all new pricing models and tools.
• Built and maintained daily exposure reports for market to market movements.

Senior/Lead Auditor

Confidential

• Performed government and regulatory compliance audits outlining changes necessary for FFIEC- Federal Financial Institutions Examinations Council rules and regulations compliance, and ISO 17799 and ISO 27002 security and procedural protocols.
• Bank penetration, assessment, and remediation tests. Extensive bank auditing to ensure adherence of FDIC and bleeding edge I.T. security standards.
• Utilize ISO and Six Sigma programs to ensure continued quality and process improvements.
• Complete and document audit personnel, operations, financial streams and external vendors deliverables given to the client for remediation of the issues found.
• IT auditing skills include, but aren't limited to Sarbanes Oxley SOX Audits, Human Resource/personnel, GLBA Financial Modernization Act of 1999 , COBIT and COSO Toolsets, FFIEC Regulations, and the mandated ISO 17799 and ISO 27002, FRY, and TIC protocols.
• Risk management functions across a broad variety of markets and business environments Metric reporting, Compliance Tests, and External Audit Services.
• Government compliance skills include a HIPAA certified consultancy HIPAA Certified in Information, Security, and Privacy , Security and Exchange Commission metrics and process control.
• Senior leader of a five person team in auditing government offices critical to infrastructure and support.

Consulting Manager/ Cyber Security Operations

Confidential

• Six Sigma lean-styled process development to restructure problematic areas that need immediate attention with the ability to apply updated processes anytime within projects. Develop Kaizen-based solutions and maintain risk models by determining cost of resources verses return on investment for the applied changes to process. Build impact assessments of what-if scenarios.
• Mastery of Project Management: More than 70 major projects completed involving nearly all enterprise related activities including but not limited to I.T., Treasury, Marketing and Trading, Sourcing, M A, and corporate restructuring events.
• Directed a team of seven to perform penetration tests, internal investigative services, process documentation and reformation, review of internal policy to suggest new policy formation, human resource services, reorganization services, and project management.

Executive Director

Confidential

• Data acquisition, evidence recovery services, expert witness services, investigative services, hostile site services, document and materials management, discovery to decision analysis in regard to merit application, and evidence analysis.
• Develop and maintain insurance evaluations of infrastructure.
• Network implementations of various types of automation software with project budgets averaging 2.2 million dollars in budget. Project management dealing with a variety of multi-million dollar projects.
• Director of four teams of employees specializing in customized data forensic and big data projects.

Senior Staff Manager

Confidential

• Process Management utilized to develop, deploy and maintain Enterprise Information Security Policies and Standards in accordance with Core Values and Beliefs for multiple platforms and a variety of technologies.
• Effectively and efficiently design, implement, and maintain integrated information security controls and technologies that enable e-commerce, client-server computing and enterprise-wide information system processing in accordance with corporate strategic plans, operating plans and architectural requirements.
• Develop and perform routine system security auditing by analyzing audit reports and reporting issues to management for resolution. Focus on information security technology selection, implementation and maintenance, by researching security infrastructure products, performing the technical implementation and on-going maintenance of the security infrastructure. Current firewall technologies including packet filtering and dynamic packet filtering, application level proxies and commercial firewall technologies.
• Authentication systems including commercial token-based authentication systems, public-key based authentication PKI and authorization systems, symmetric key systems Kerberos . Commercial VPN technology and emerging VPN standards. Conducts extremely sensitive investigations that require significant understanding of depth and scope of potential impact that the results may have upon the organization. Works in direct contact with the CIO of multiple business units, Legal and Human Resources.

EM T Process Management

Confidential

• Accurately evaluate assets and market positions in real-time, determine acceptable risk levels, respond to regulatory requirements to compete successfully and enter new energy markets profitably. Heavy analytical activities consisting of maintaining organizational objectives through constant problem resolution. Trading software support and functional analysis of streaming information given to the trade desk leads from various products including, but not limited to MV-90, Midas, N-Market, Allegro, and Aligne ETRM review, installation, and implementation to serve reporting functions.
• Developing market surveillance processes and investigative tool capabilities. Compliance investigations and process improvements to enforce a compliance mindset within the environment. Work with any enforcement entities to ensure transparency.
• Served as a business liaison to facilitate the needs of the trade floor against the technical details behind products which needed to be developed. Worked in conjunction developers within application development with a number of applications including, but not limited to, ETRM set-up and implementation, Trading Software, and e-commerce development.

WISC Operations Analyst

Confidential

• Develop resolutions to mission critical issues including specialized applications, network security, and administration of system resource allocation. Lead trainer for the Solution Center personnel. Extensive knowledge of operating systems including all Windows formats, Linux OS and mainframe applications.
• Able to work in high stress, dynamic, very fast paced environments to facilitate performance issues in a team environment. Strong facilitation skills and able to work with little to no supervision. Very strong public presentation and training, oral and written , skills and able to coordinate team activities to exceed expectations.
• Supports Williams' internal and external customer base for IT issues including mainframe connectivity and specialized applications. Results oriented self-motivator with excellent customer service skills.

Manager of Operations

Confidential

• Contract administration including, but not limited to: formation, issuance, financial impacts, amendments, and precise tracking of project documents. Project plan formation from the start of contract issuance through project completion processes. Responsible for the overview of risk potentials and reporting those assessments to the Chief Financial Officer.
• Responsible for reporting to the Chief Executive Officer, President, and the Chief Financial Officer. Directed field personnel and operations of more than ten regional offices. Responsible for development and issuance of corporate communications, contract administration, and project updates, to each of the regional offices.
• Implemented a coordinated effort in an operations flow system for multi-site national corporate operations including MIS functions. Developed and implemented intranet and internet communications policies. Payment regulation from the issuance from the owner's lender and tracking of documents associated with the release of payments from lender. Identified cost saving opportunities through tracking, auditing, and analysis.