Chris Forbes Email & Phone Number

Executive Consultant and Board Advisor for Information Technology, Cybersecurity, and Risk Management. 40+ Years of experience primarily focused on Global Financial Services and Banking.

Solana Beach, California, Us

Chief Information Security Officer (CISO) and Executive Advisor.

Los Angeles, California, Us

• Executive Vice President reported to the Chief Risk Officer and responsible for all Information Security (CISO), Data Privacy (CPO), Technology Risk Management (TRM), Business Continuity Planning (BCP), Data Governance (CDO) and Records Retention• Developed Multi-year Strategy and Roadmap to transform Information Security, Cybersecurity Operations, and Risk Management to align our controls with our risk appetite and achieve targeted capability maturity levels • Conducted extensive security controls assessments to identify gaps in coverage and to optimize control effectiveness and return on investments • Implemented comprehensive risk assessments using the NIST Cyber Security Framework (CSF), FFIEC Cybersecurity Assessment Tool (CAT), AICPA Privacy Maturity Model (PMM), and Factor Analysis for Information Risk (FAIR)• Aligned Controls Management with NIST 800-53 and conducted comprehensive security controls reviews to validate our defense in depth and rationalize our security tools and vendors• Developed the Target Operating Model with a focus on Information Security Architecture, Risk Management, and Managing Security Service Providers (MSSPs) • Rebuilt Privacy Program to comply with California Consumer Privacy Act (CCPA) and GLBA

San Francisco, Ca, Us

• CISO and Chief Privacy Officer (CPO) for the Federal Reserve Bank of San Francisco (12th District), 2nd largest reserve bank after New York.• Responsible for all Information Security and Cybersecurity activities including Strategy, Operations, Policy, Privacy, Risk Assessments, Pen Testing, Analytics, and workforce development• Worked with district and national business leaders on security strategy including the National Cash Product Office (CPO), the National Statistics and Reserves (STAR) business functions.• Benchmarked Cyber capabilities using NIST Cybersecurity Framework (CSF) and CERT Resiliency Maturity Model (RMM) to identify long-term goals and objectives• Rolled-out formal Security Risk Management and Quantification based on ISO 31000 and FAIR, including a Security Risk Register, Security Risk Appetite, and Security Risk Posture• Developed Security Architecture and Engineering functions to leverage industry frameworks, best practices, and methodologies• Developed next-generation Application Security and DevSecOps strategies, operating models, frameworks and tools• Developed a comprehensive Security Data Universe and data analytics platform to support Insider Risk Management (IRM), User Behavior Analytics, Vulnerability Management, and Security Risk Reporting

Paris, Fr

• BNP Paribas is the world’s 4th largest bank and financial services company with over $2.5 Trillion in assets on account, 189,000 employees and offices in 75 countries• Report to Chief Security Officer and responsible for the design and build of all information security functions for the new Intermediate Holding Company (IHC) covering all US subsidiaries• Functions includes Security Policies, Security Risk Management, Privacy, Compliance, Security Assessments, Threat Intelligence, Vulnerability Management, Security Controls Design & Monitoring, Incident Response, Forensics, Security reporting, Training and Awareness

• Forbes Risk Management (FRM) specializes in technology risk and information security management. Worked with technology executives at TD Ameritrade to design and develop a comprehensive global program for Application Security Management.• Responsible for managing and overseeing every aspect of corporate strategy, marketing, sales, customer relationship management (CRM), product management, consulting services, operations, technology, and accounting

New York, Ny, Us

• BNY Mellon is the largest custody bank in the world with over $27 Trillion in assets under custody (AuC) and the 6th largest money manager with over $1.6 Trillion in assets under management (AuM). BNY operates on 100+ different financial markets and exchanges and has over 65,000 staff with offices in 350 cities globally.• Reported to the CIO and managed many large complex enterprise-wide global programs and initiatives from initiation to completion including complete financials, budgets, team building, development, execution and delivery• Appointed to define and build the global strategy and capability for information and technology risk management. Developed the enterprise risk management “3 Lines of Defense” organizational structures and operating models for global information technology (Line 1), benchmarked existing investment against industry peers and secured required funding from executive committee, developed the 5 year strategy and roadmap for IT risk management including risk assessments, internal controls, control monitoring, risk reporting, key risk indicators and risk scorecards. Rewrote all policies and standards, cross mapped all existing compliance requirements including SOX, SOC1 (SSAE 16 / ISAE 4302), FFIEC, GLBA, PCI, NIST Cybersecurity, FSA Cyber Essentials, European Data Privacy, MAS/HKMA technology controls, and US government client requirements based on NIST. Defined executive accountability including goals and measures for IT senior management. Responsible for presenting to international and federal regulators and bank examiners• Defined and built the strategy and approach for End User Computing (EUC), User Developed Technology (UDT), and User Developed Applications (UDAs). Created a global shared services team to help business units manage, maintain, and remediate over 25,000 EUCs (Microsoft Excel, Access, Lotus Notes, and SharePoint applications). Build a Line 2 UDT Quality Control team to validate compliance

New York, Ny, Us

• Chase Auto Finance is the 3rd largest non-captive auto finance company in the world working with over 2 million customers, $50 Billion in loans outstanding, over 5,000 employees and over 16,000 dealerships• Reported to CIO, responsible for the delivery of large-scale, complex, cross-functional, programs and projects from inception to completion.• Managed a multiyear, $35 Million strategic initiative to consolidate 3 disparate lines of business and to replace multiple Loan Origination (LOS) and Credit Risk Management systems. Managed 400+ business and IT staff, 62 suppliers, 20,000+ dealers, 2000+ end-users and dozens of project managers and project coordinators. Developed the business case, oversaw all financial management, conducted vendor RFQ/RFPs, Defined and built the Program Management Office (PMO), Designed and Built 5 Complete Infrastructure Environments in 3 Separate data centers, Implemented a rules-engine for automated credit scoring and automated credit decisions, credit policy compliance and credit risk reporting. Real-time connectivity to credit bureaus, and dozens of other data providers. • Managed the conversion of multiple Customer Relationship Management (CRM) applications to Salesforce.Com including requirements, review of top vendors, Proof-of-Concepts, vendor negotiations and contracts, system architecture and technical design, integration of external partners, and connectivity to internal sales and financial Systems• Managed the conversion of our legacy Financial Accounting Systems To SAP and Financial Data Warehouse (FDW)

Auburn Hills, Mi, Us

• DCFS was the finance division of DiamlerChrysler Motors and included all lease/loan activities for Chrysler/Dodge/Jeep and Mercedez-Benz in North and South America. DCFS was the 2nd largest auto finance company in the world managing over 5 million customers and $80 billion in loans. DCFS had over 6,000 employees and worked with over 3,000 dealerships. DCFS was disbanded when Chrysler went bankrupt in 2006 with parts going to Daimler Financial Services and TD Bank Auto Finance.• Reported to the CIO and managed a team of 125+ in Canada, US, and Mexico, Responsible for all technology, applications architecture, infrastructure, databases, and end-user computing (EUCs)• Defined enterprise architecture (EA), systems landscape (current & future-State), technology roadmaps, software coding standards, global common components, established QA & testing methodology including automated regression testing, and defect management procedures• Built the information security strategy. drove network-segmentation & intrusion detection and prevention (IDS/IPS) projects, introduced ethical hacking, secre application design and coding standards, information classification and protection policies and standards• Defined and led the enterprise data warehouse consolidation and migration to Teradata. Organized database technology review and vendor selection and negotiations. • Created teams and platforms for Enterprise Application Integration (EAI), Extraction Transformation & Loading (ETL), Business Intelligence and Analytics, Internet development (ChryslerFinancial.com and MercedesBenzFinancial.com)• Led the architecture function for the new 21st Century Dealer Portal System used to manage all contacts, customer service, field sales schedules, and customer relationship management (CRM).

Puteaux, Fr

• AXA Investment Managers is the 9th largest asset manager globally with $1.4 trillion in assets under management (AuM) and part of the AXA Group, the world’s 3rd largest insurance company with annual sales over $147 billion. • Reported to the Global CIO, lived and worked in London, U.K., managed 60+ staff in the UK, France, and Germany. Responsible for global systems architecture, application development, data warehouse, enterprise application integration (EAI), QA and software testing. Member of AXA’s Group’s global architecture and technology standards board• Implemented Decalog IDÉE (Portfolio & Trade Order Management System) including electronic trading of equity and fixed-income securities• Implemented FMC’s Sylvan performance attribution reporting platform and Sungard InvestOne portfolio accounting system.• Designed and consolidated multiple legacy data warehouses using Financial Technologies Inc. (FTI) investment financial data models, Sybase, and Hummingbird ETL.• Developed internet-facing private-label website allowing several hundred thousand employees from large European companies to manage their pension plans and stock investment programs online (www.Capeasi.Com)• Developed internet-facing “Virtual Manager” website allowing private clients and institutional investors to see detailed performance and attribution reporting online.• Managed the Integration of Siebel Customer Relationship Management (CRM) systems with internal sales, and client services systems.

• Cambridge Technology Partners was a mid-size management consulting company with 2,300 consultants that was sold to Novell in 2001• Consultant for Lehman Brothers “Lehman Live” Strategy to Move and Integrate all of Lehman's Systems to the Web• Consultant for Instinet’s OATS Trade Reporting System Business Evaluation

• The Longview Group was an independent software vendor that developed the Landmark Trade Order Management System (TOMs) for institutional equities and fixed-income portfolio managers and traders. Longview was bought by Barclays Global Investors for just over $50 million in 1998 and later sold to LineData Corporation.• Reported to the president and managed a team of 35, responsible for all software products and development including activities required for the sale to Barclays Global Investors• Led the build of 3 major product upgrades and multiple large client deployments and customizations including Barclays Global Investors, Morgan Stanley Asset Management, Goldman Sachs Asset Management, Mellon Bank, Nicholas Applegate Capital Management, etc.• Led the design and build of real-time portfolio rebalancing of stock and bond holdings based on client directives and investment models. Expanded the real-time trade-order compliance engine, real-time portfolio valuations reporting, and block-trading and block allocation algorithms• Prototyped the Institutional Trade-Order Crossing Networks, Landmark “Lite” a Private-Label TOMS for State Street Global Advisors (SSGA), Landmark “Lists” for Large Index Traders, and In-Memory Databases for Increased Speed and Performance• Managed the Development and Deployment of Electronic Trading Using FIX Protocols to 40+ Broker Dealers and Electronic Crossing Networks (ECNs) such as BRUT, ITG’s Posit, Instinet, LiquidNet, EuroNext, etc.

Munich, De

• Nicholas Applegate was a specialty investment management company $40 billion in assets under management (AuM) that was purchased by Allianz and merged into Allianz Global Investors.• Reported to managing-director of IT, managing a staff of 15 and responsible for the global trade-order management systems (TOMs) and all market data systems including Thompson Reuters, Bridge Data, Knight Ridder, Bloomberg, FactSet, etc.• Led the customization and implementation of the enterprise portfolio management and trade order management system (Longview’s Landmark), including the development of advanced portfolio rebalancing, electronic trading & market risk calculation applications• Managed the integration of Scopus Customer Relationship Management (CRM)

Baltimore, Maryland, Us

• Campbell & Company is a Commodity Trading Advisor with $3 billion in assets under management (AuM) using systematic trading programs for commodities, futures, currency, and options trading• Reported to the CEO and managed all IT activities including infrastructure, market research platforms, algorithmic trading systems, commodity, futures, and foreign exchange trading applications, market data providers, and portfolio accounting systems.

Mount Laurel, Nj, Us

• PHH FleetAmerica was the 2nd largest fleet management company in the world and was later purchased by Arval.• Led the redesign and conversion of a large-scale application for the management of vehicle maintenance for over 600,000 vehicles

Duluth, Georgia, Us

• Primerica Holding Company was led by Sandy Weill (CEO) and Jamie Dimon (CFO) and was the corporate umbrella for Primerica Financial Services, Commercial Credit Corporation and several other insurance and finance companies. Primerica bought Drexel Burnham and later merged with Travelers Insurance before taking over Citibank.• Designed and built Primerica's Treasury Management System (TMS) for real-time trading of commercial and corporate paper, bonds, and treasury credit-line transactions. • Built the Corporate Purchasing System, Legal Management System, and Retirement / Pension Management Systems.

Us

• Baltimore Federal Financial was a failed savings and loan bank that was bought by Household Finance Company.• COBOL Programmer for Multiple Banking and Internal Applications

Washington, Dc, Us

• ET1/SS• Qualified Engineering Watch Supervisor and Reactor Operator• Stationed aboard the U.S.S. Daniel Webster SSBN 626 and U.S.S. Nathaniel Greene SSBN 636

Master Of Business Administration (M.B.A.), Business And Finance

Bachelor'S Degree, General Studies