SUMMARY:

• Versatile, results - driven CTO / Delivery Executive with 20+ years building and aligning global Business and IT organizations with key objectives to achieve dramatic bottom-line results. Strong background in team building, mission focus and improving delivery capability.
• Natural management style, integrating “best practices” with staff talents to create a world-class, high-energy workforce.
• Led organizations with up to 275 associates. Extensive offshore management in captive and outsourced development organizations.
• Strong Organizational Change Management experience. Provided delivery of numerous solutions to improve operational productivity through the introduction of new technologies, systems, methods and controls.
• Excellent development of technical roadmaps to match business planning.
• Strong communication planning, training plan development and post implementation management of change.
• Extensive Business Process Management design, development and implementation.
• Excellent ability to lead organizations through process re-engineering. Excellent back ground in Business Process management (BPM) design and implementation. Strong Business / IT process improvement experience.
• Excellent architectural background covering Business and IT processes, software, hardware, data, and network. Comprehensive knowledge of business, systems, infrastructure and enterprise software to translate business requirements into reliable cost effective systems solutions. Strong business / customer / IT alignment experience.
• Strong architecture and development background covering financial systems, brokerage systems, market data, bank operations, Web based systems and others. The ability to construct highly scalable environments. Excellent SOA background. Extensive ERP implementation and / or integration covering Oracle, Lawson and SAP.
• Excellent background in various agile practices such as Agile, SAFe, Scrum, Kanban and others. Strong experience in modeling proper development models.
• Extensive experience in building scalable, high volume, continuous operation systems. Strong BCP, DR covering all platform types mainframe, UNIX and desktop. Strong technical background covering architecture, software development, operations, security, data, DR / BCP and other IT disciplines.
• Create and align Business and IT strategy, architectural roadmap and vision. Enable IT responsiveness to support critical corporate initiatives. Provide guidance in addressing regulatory requirements and frameworks Dodd / Frank, CCAR testing, Volcker Rule, FINRA, XBRL, HIPAA, SOX, BASEL II, COBIT and others.
• Excellent Product Management experience. I have led Product Management functions for various products and companies including IBM, Thomson Reuters, Check Performance and others. Excellent ability to run user seminars, discovery and product prioritization and backlog prioritization across large and small products. Excellent cloud / Saas product management.
• Strong eCommerce background. Extensive CRM and multi-channel customer management. Scalable to transactions in the billions and supporting millions of users. Supporting both large enterprise and start up organizations.
• Expertise leading $MM initiatives, and designing high-transaction, high-availability continuous operations systems. High volume, continuous operations background. Creation of architectural layers, error trapping and monitoring, various uptime / redundancy solutions, ITIL, SOA, web services, RUP, Agile, Xtreme, and Scrum. Strong COTS and custom system development management.
• Excellent understanding of data processes and controls. Strong market data and reference data for trading applications. Expertise in Instrument, Client, Book and Product data. Strong customer on boarding and data conversion processes.
• Excellent experience in Market and Credit Risk programs. Comprehensive Capital Control Reviews (CCAR).
• Design, implementation and support of low latency, high transaction systems - trading platforms, market data, check processing, image processing, payments, transaction processing, web. Other areas of expertise document management, middleware, infrastructure management, data management.

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

CTO / Technical Consulting / Product Management & Development

Responsibilities:

• CTO providing strategy consulting, development methodologies, process reengineering, program / project management and architectural design for various customers.
• Guide CIOs / CTOs and other senior management in adopting new technologies, improvements to IT governance, establishing architectural roadmaps and improving project pipeline delivery. Provide Program Management and Architectural guidance for multiple customers. Help guide organizations in improving processes, improve delivery capability adopt new technologies and improve existing technology assets. Strong SOA and centralized service knowledge.
• Lead transitions to new development methodologies such as Scrum / Agile to improve development capability. Provide strategic input on proper development models outsourced, captive data center development and others. Provide guidance for new system paradigms such as SAAS, web services. Strong Disaster Recovery (DR) and Business Continuity Planning (BCP).
• Supported internal and external sales. Responsible for providing pre- and post sales processing, on boarding of customers.
• Strong Product management on our suite of products for HR and web monitoring. Establish release schedules, enhancement prioritization, manage user requests and improvements to a wide range of products.

Confidential

Director / Stream lead / Application Lead

Responsibilities:

• Led the Program to replace Confidential current operational risk platform.
• Identified how to approach development for the key streams in the program including system development, data migration, feeds migration and decommissioning.
• Established an Agile development approach based on a series of one month sprints.
• Assisted in building the team, hiring key personnel and building on shore and off shore capabilities.
• Established roles and responsibilities within a new development team and PMO. Led the development work stream establishing the approach, scope, method of operation for a multi-team development organization.
• Established a group of Business Analysts to work with the business to validate requirements, build Use Cases and communicate to the technical team.
• Led the Business Unit re-architecting necessary to support the changed Business / IT process.
• Led the re-architecting of the Technical Units to support new Engagement Model.
• Delivered an organizational RACI matrix to identify future states roles, responsibilities and processes. Tracked migration of the organization to the new engagement model.
• Created training materials and training plan to ensure a high level of quality delivery in the future state model.
• Directed the build out of the development, DIT, SIT and QA environments along with the infrastructure group.
• Hired a deployment / release manager and together we established the processes for deployment.
• Established with QA the processes for supporting testing, defect triage and addressing defects or technical debt.
• Created process for evaluating project backlog. Established processes for communicating program status to senior management and stakeholders within the Risk organization.
• Assisted the Program that was leading CCAR testing to establish the proper program approach, validate the testing, capture any missing issues and / or controls for retesting. Validated processes and controls were adequate in Credit, Market, operational and Compliance areas. Set up projects in Clarity.
• Created standardized business processes for Assessment editing, updating and approval. Led implementation of BPM and ODM to support these processes. Worked with Enterprise Architecture to establish proper implementation patterns.
• Created a single source Data Warehouse for both Operational Risk groups and the Control Room so that there was no longer any need to “pass” data downstream.
• This significantly shortened end to end processing times and eliminated a significant number of data issues across Corporate Risk.
• Established processes to identify and validate Critical Data Elements (CDEs) as they move through various Risk systems.
• Coordinated testing efforts across Basel III, Dodd Frank and CCAR so that tests were more efficient, issues were addressed quicker and more completely.
• Eliminated duplicate efforts in testing and remediation across the programs.

Confidential

Strategic Program Manager

Responsibilities:

• Led the development of a Business and IT Digital Strategy to help a multi-billion dollar software company support their products via the web.
• Replace the current point solutions with an integrated process that is customer and partner centric. Integrate the solution to the existing IT infrastructure especially SAP, CPQ (quotes), IBM BPM and entitlements management systems.
• Develop requirements based around an Inside Out View of the company and an Outside In View.
• Lead interviews with Senior Management (CEO, CIO, CFO), product development (General Managers and Product Managers) and relevant support personnel (Renewals, Entitlements, Customer Support, etc.) plus key Partners and Customers. Set up projects in Clarity.
• Led the Business Operations team to develop the operational model web sales, support and fulfillment in house for the first time. Led discovery sessions to identify current state, determine future state and build a transitional organizational and technical map to deliver future state for the organization.
• Led the re-architecting of the Business Units to support new Operating Model. Delivered an organizational RACI matrix to identify future states roles, responsibilities and processes. Created training materials and training plan to ensure a high level of quality delivery in the future state model.
• Developed a plan to track the success of organizational change and reward systems for change adoption.
• Develop relevant Personas, journey maps and customer engagement policies.
• Develop Product Roadmaps to identify the needs of each individual product, their timeline to be on the web and what capabilities they will need to support them.
• Address business process deficiencies, identify temporary solutions and implement end to end scalable systems within the business and within IT.
• Created organization wide communication plans and strategy sessions to inform the organization of future changes and impacts on various departments.
• Build an IT Roadmap and product on boarding program to ensure that needed IT capabilities are available as products are ready to be deployed to the web platform.
• Create the architectural approach for the integration layer to all downstream systems including SAP, CPQ and other support systems.
• Build a platform where previous legacy products can be sold or downloaded via the web. Build a pipeline for products to move from legacy to Saas based / cloud based delivery.
• Created standardized business processes for Assessment editing, updating and approval. Led implementation of BPM and ODM to support these processes. Worked with Enterprise Architecture to establish proper implementation patterns.

Confidential

PMO Consultant

Responsibilities:

• Deliver by end of year a review of the current IT organization, requirements process, development paradigm, testing processes and deployment for one of the Confidential platforms.
• Goals are to improve development, increase development velocity, “right size” development process, recommend architectural changes and reduce issues throughout the SDLC life cycle.
• Led the re-architecting of the Business Units to support changes to the Operating Model.
• Delivered an organizational RACI matrix to identify future states roles, responsibilities and processes.
• Led a series of interviews with key personnel within the 10 groups that make up the end to end development team from Product Management through deployment and support personnel.
• Reviewed existing development metrics, time lines, release cycles, issues, errors and deployment metrics.
• Implemented a Test Driven Development (TDD) paradigm.
• Improved business requirements gathering shortening development cycles and improving finished requirement.
• Led a number of Architectural reviews to understand failure points and complexities within the current design.
• Evaluated inclusion of a packaged work flow product IBM BPM.
• Review OOM processes for best practices review.
• Identified 60 critical issues within the SDLC and aggregated common issues into 11 recommendations which were reviewed with the individual departments and Senior IT Management for implementation.
• Deliver within 90 days a plan of action to the CIO to make changes to their current PMO processes and procedures in order to improve throughput and increase reliability for their projects.
• Lead discussions with business and IT key stakeholders in IT and the business to identify process issues. Look at both the IT and business organizations to help identify any organizational constraints.
• Review requirement processes, IT SDLC, QA practices and development paradigms. Review past projects and their delivery successes and failures.
• Review the current PMO responsibilities and statuses of all projects in flight. Transition the PMO from a waterfall process to a more Agile development paradigm.
• Led the re-architecting of the Business Units to support new Operating Model. Delivered an organizational RACI matrix to identify future states roles, responsibilities and processes. Created training materials and training plan to ensure a high level of quality delivery in the future state model.
• Improved coding standards and coding approach for J2EE, PHP, Ajax, JavaScript.
• Improved Business Requirements gathering process.
• Implemented a Business Driven Development paradigm for the web.
• Develop an improved process that will increase project velocity, lower the percentage of defective code, identify proper project tracking metrics and improve project reporting.
• Provide an overview of staff and staff capabilities to identify proper roles and personnel.
• Implement a quasi-Agile OOM paradigm for software development.
• Lead the replacement of Sterling Commerce with Oracle OMS.
• Lead the initial deployment of ATG for Confidential .
• Established proper coding practices, introduced ATG capabilities to various business units, built the development and project plan.
• Established Java coding standards for the team.
• Set up Exadata DB platforms and established proper support procedures.

Confidential

Program Manager

Responsibilities:

• Program had fallen behind schedule and was not delivering.
• Implemented new Portfolio Risk methods. Needed to be completed by May to avoid penalties and sanctions.
• Organized CAL program into four work streams around delivery aspect to the program - migration from old platform, completeness and accuracy of data, reporting and process improvements covering automating a highly manual process.
• Initiated project charter for OOH and led the initial requirements gathering and building of an accepted taxonomy across all asset classes globally.
• Engaged a number of managing Directors and COOs to come up with a consistent methodology for identifying OOH terms, conditions and practices.
• Provide ability to meet regulatory requirements of FINRA, Dodd / Frank, Volcker Rule and Basel III.
• Ability to adhere to all compliance requirements and demonstrate a repeatable approach to all reporting processes.
• Provide updates and reporting for Credit Risk and Market Risk systems.
• Update reporting models to correct inaccuracies in reporting. Capital Analysis and preparation for CCAR testing.
• Re-architected processes in Treasury Services for cash vault processing, additional AML controls.
• Hired appropriate personnel to deliver program initiatives. Organized training for technical team to take over aspects of the system supported in the interim by operations personnel, delivered initial multi-year plan for delivery and supporting budget.
• Utilize Crystal Reports for trending and daily reporting.
• Designed and implemented IBM BPM 8 process flows.
• Led the implementation of the IBM product.
• Implemented Configuration Management (DDMA, DDMi, etc.)

Confidential

Portfolio Manager

Responsibilities:

• Responsible for managing the Data Center / Infrastructure project portfolio for Global Markets and Banking for Confidential ’s engagement at Confidential .
• Developed processes to improve HPs responsiveness to project development and implementation.
• Rebuilt PMO organization to transition from an offshore to an onshore model to increase delivery quality. Replaced 32 PMs, hired 4 Program managers and aligned Program Managers to each functional area within the investment bank.
• Worked with CIO Office, Senior Directors to align Confidential, Bank of America and Confidential to address processing gaps and issues created by our multiple, independent SDLCs. Eliminated duplicate processes and reviews. Decreased project prep time 37%. Decreased PM paperwork and overhead 27%.
• Developed PMO processes. Developed proper reporting for Project Managers, business stakeholders, Steering Committees and other interested stakeholders. Indentified proper metrics to measure the delivery organizations effectiveness in delivering business solutions. Hired and trained staff to run PMO. Increased customer satisfaction rating from 68% to 88% in first 6 months.
• Built NOC within a NOC to support GBAM operational impacts.
• Created and led change management and deployment group to ensure better implementations.
• Established proper procedures and managed escalations to ensure that Confidential met the customer’s needs. Established with customer proper governance Worked with the NOC for monitoring and problem resolution improvements.
• Planned and led a number of Global workshops and summits for implementing new 10G network, replacement of Trader Turrets with new VOIP based systems and a common design pattern for all global low latency environments.
• Built global swat teams to support the new delivery model. Personally managed projects in Trader Voice, Market Data, Reference Data Low Latency and Trading. Supported the Americas, Europe and the Pacific Rim.
• Supported all production Data Base instances including but not limited to Oracle 9,10g, 11g, 12c and Exadata, DB2, Sybase and others.
• Supported all departments associated with Confidential processing including trading, Trade Floor Management, Reference Library, Credit, Risk, Treasury and other departments. Supported all trading desks FX, domestic, fixed income, etc.
• Led process development for all customer on boarding. Faced off with all key stakeholders and set up implementations for FIX, Radianz, closed networks for dark pools and other connectivity. Troubleshoot connectivity across multiple data providers, telecom providers and infrastructure teams. Established swat teams responsible for on boarding
• Provide ability to meet regulatory requirements of Dodd / Frank and Basel III. Ability to adhere to all compliance requirements and demonstrate a repeatable approach to all processes and implementations of trading platforms and supporting services.
• Rebuilt Credit Risk infrastructure and processes to correct for inaccurate customer roll up and portfolio risk.
• Built out appropriate asset management processes for installed infrastructure. Built processes for procurement auditing, asset management for assets installed (universal Discovery). Implemented Configuration Management processes (DDMA, DDMi, etc.).
• Established proper DR / BCP planning for trade floors globally. This involved not only system but logistical planning for offsite fail over.
• Transformed Merrill’s infrastructure capability by building out the first large grid (25,000 servers), led move to 10 gig capability, standardizing low latency environments globally, deploying clouds (first internal and external)) and moved to VOIP for trader turrets.
• Responsible for managing over $200 MM in vendor contracts and auditing services and assets delivered.
• Sign off authority and responsibility to ensure services and assets delivered correctly or remediated.
• Identified KPIs, SLOs and SLAs for correct project delivery. Improved process to align Confidential and business to develop more efficient pipeline for delivery.
• Establish process for following all global trading compliance regulations.

Confidential

SME / CIO Advisor

Responsibilities:

• Worked directly with the CIO to establishing a strategy to support a centralized data services environment for Market and Reference data for end to end trade flow.
• Provided plan to support a centralized data enrichment and correction process and procedures for updating and maintaining a data service supported by an offshore team.
• Led workshops with IT and business stake holders to develop overall global requirements, establish proper MDM and on boarding processes and schedules.
• Led the coordination with the Enterprise Architecture group to provide correct architectural patterns to support proper access methods for reference data.
• Establish proper architectural principles in data access. Identified tools and processes to build the platform allowing multiple input sources, merge feeds, build proper work flows and identify issues.
• Transformed data update processes and BPM workflows to utilize one centralized data management group. Instituted daily update process, data tolerances, feed handling, vendor corrections, system notifications and management reporting. Utilized Tibco iProcess for workflow processing. Build update procedures for Instrument, Client, Book and Product reference data. Use of ETL tools for data corrections and additions. Built development operations capabilities to validate and implement any data corrections or additions.
• Established processes and procedures for supporting Oracle 11g and Exadata.
• Responsible for building a program pipeline to on board 500 applications accessing reference data services platform.
• Create proper reporting procedures for senior management and the PMO. Implement ITIL for our overall project methodology.
• Identify candidates for conversion to the centralized service and provide support for migration.
• Develop federation strategies for customers to partially or fully transition to the platform.
• Ability to adhere to all compliance requirements and demonstrate a repeatable approach to data loading and updating.
• Corrected multiple issues that led to a high number of failed trades, inaccurate Credit Risk profiles. Corrected inaccurate customer hierarchies and counterparty issues.
• Updated Market Risk models with new bitemporal trading information giving a real time view of trading and risk profiles throughout the day.
• Identify opportunities for increasing revenue.
• Identify proper risk exposure at both the customer and portfolio level.