Qualifications
Technology Transformation
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For a global retail bank’s technology operations group, led the framework development of division’s multi-phase transformation strategy aligned to foundational ITIL processes which included the establishment of mission control, Site Reliability Engineering (SRE) functions and the conversion to a DevOps operating model. This model was implemented across the 1000 FTEs in the group which supported nearly 300 applications in use by the bank and its clients.
Designed and implemented a global Technology Lifecycle management system for all technology assets. The system, based on the global Configuration Management Database incorporated advanced discovery capabilities, normalization, reconciliation with a third-party database (Flexera) and risk ranking of all assets according to the respective hardware / software end of life dates. The project included the creation of a Global Technology Lifecycle Standard which detailed and documented the entire governance process for assets nearing their end of life / support dates.
For a global corporate and investment bank, Co-invented an instrument reference data reconciliation product “Data Request Analysis and Fulfillment System and Method” U.S. Patent US 10,884,991 B1 filed on March 13, 2015, and issued January 5, 2021. This system optimized data requests directed to data vendors from internal applications and performed monthly reconciliations for cost chargebacks.
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Expanded the infrastructure control plane with ServiceNow to enable self-healing of failing infrastructure components utilizing MicroFocus with alerts from Splunk at a global fintech This expansion of the control plane also included interfacing ServiceNow with CyberArk for privileged access controls and Harness for Instant Change Authorization during CI/CD automated software deployments.
For a global banking and payments provider, implemented Outcome Definition Groups for all critical IT Service Management (Change, Incident, Problem, Request) functions to manage the diverse business requirements of each division within the framework of the ServiceNow product roadmap. These groups established an agile backlog to manage the development of new functionality and any operational change requirements while maintaining adherence to required audit controls.
Managed the integration and implementation of an e-business portal for a consortium of money center banks. This portal will permit full price discovery and trading of financial instruments by corporate and institutional clients while providing efficiencies in processing and clearing.
Technology & Operations Assessments
Performed technology and risk management due diligence for an equity fund's investment in an options clearing firm. This due diligence included an evaluation of the firm’s risk management and information technology architecture, applications and processes for functionality and scalability.
Systems Integration
Managed the global rollout of ServiceNow to over 35 thousand internal technology users over a 28-day period replacing HPSM (Change) and ITSM (Incident and Problem) at a global money center bank. This implementation was the culmination of over 20 months of development work to replicate and optimize application interfaces, rearchitect process models for Change approvals, Incident and Problem management and implement Common Services Data Model for all internal applications which were managed with ServiceNow.
Managed the migration of Private Bank clients (100K households) to a new affluent sector within a major retail bank. The project included the selection of clients, mapping of product differences, definition of roles and responsibilities for various functions, definition of service delivery model, the modification of client database records and the conversion to a new deposit system.
Regulatory Compliance
Managed a global audit of all Investment Bank applications at a global corporate and investment bank to identify and remediate any misuse or underreporting of market data. This project covering over 300 applications examined licensing, entitlement control, and reporting identifying and remediating over $100 million in annual licensing issues.
Led the Risk and Control Self-Assessment (RCSA) process for a global retail bank’s production operations group which defined and documented processes and related controls for all functions, including the continuous testing of those processes and controls. In addition, coordinated all Production Management audits achieving Satisfactory ratings for Service Delivery, Incident, Problem, Change and Release Management.
Enterprise Data Strategy & Governance
Led the cross-functional team that created SPReD for a global money center bank. This managed services industry – owned utility mutualized operations and technology costs related to instrument reference data management. This entity created custom golden instrument data for banks, asset managers and hedge funds. Collaborated with strategic investment groups of our partner banks to develop the service offering, create of the operating model, the entity business case for the investment, the market opportunity analysis, and the technology / operating partner selection. Developed the integration methodology and product roadmap for this utility to maximize the revenue opportunity and time to market for the services integration.
Developed the operating model, governance structure and daily operation of the global security master for a global corporate and investment bank. This database was comprised of over 15 million instruments, associated issuers, ratings, and client mappings and served as source for pre and post trade data supporting the entire wholesale bank. The governance structure focused on data provenance, and data entitlements for all downstream applications that consumed the data. The instrument data operating model was designed to resolve daily data exceptions identified by automated processes for each asset class. The operations centers totaling 175 FTE were in Mumbai and Manila and followed a lead-the-sun model to clear exceptions prior to the start of trading in each global location.
Represented a global money center bank on the SIFMA Industry-wide taskforce for the development of the Legal Entity Identifier Utility. This initiative included requirements definition, operating model development, RFP preparation, and vendor analysis and selection.
Sourcing & Strategic Vendor Management
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Managed a global Market Data productivity initiative that identified and executed over $200 million in recurring savings over a four-year period for a global corporate and investment bank. The project included desktop analysis, sourcing strategy, and the development of consumption-based reports to allow the business to identify patterns in usage across departments.
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Managed the Strategic Vendor program for a global banking and payments processor which oversaw approximately 30 vendors that accounted for $ 2 Billion in annual spend. The program included the coordination of a Global Vendor Day in which vendors were briefed on strategy across the technology infrastructure group and were encouraged to develop value propositions that were self-funded or cost neutral.
Talent Management & Aquisition
Designed and implemented an improved more scalable process for identifying, evaluating and hiring talent within a major money center bank. This process was designed with the goal of having a portfolio of available candidates ready for any larger spurts in hiring activity. Implemented a behavioral interviewing guide based on Lencioni's "The Ideal Team Player" to identify candidates that are Hungry, Humble and Smart to supplement the rigorous technical evaluations of candidates that were in place.
Training & Development
Developed and delivered a three-day bootcamp program for over 90 Production Operations Level 2 managers at a global money center bank. This training included critical thinking skills, problem solving techniques, Myers-Briggs personality assessments and IT Service Management functional training.
Developed and delivered detailed training on Securities and Derivatives to all technology officers and interns in the Investment Bank of a global money center bank. The training focused on applied topics related to pricing theory, trading strategies and data required for trading analytics systems. This training, attended by over 1000 individuals globally succeeded in increasing the understanding of the business to improve the overall level of support provided.