John Gurrieri Email and Phone Number

Responsible for the maintenance and Development of SOX 404 Control Standards within the TFI Wealth Management Division. Responsibilities included coordination of the semi-annual self-certification of the standards in the Operational Risk System (ORA). • Developed end to end (E2E) analysis on individual departmental processes and procedures which developed Visio flows outlining the operational functions, special notation of SOX 404 Control Standards and Non-SOX Control Points, and reference commentary providing supporting documentation. • Instituted the UBS Control Plan incorporating the aforementioned as well as gap analysis, recommendations and action plan development.• Scripted Quarterly SOX 302 reports for the analysis of a UBS financial product from its process to potential risk exposure to the firm.• Established Departmental Metric reporting, Incident reporting, Control Standard evaluations and the Action Plan Tracking System which helps to monitor pending tasks on open items.• Appointed as Project Management liaison for UBS’s Business Continuity Management (BCM) testing and coordination including test script development and execution at the designated recovery site. • Collaborated with UBS’s Internal Audit Group and the individual departments within the Transaction Products Group in the Wealth Management Division.

ADP - Florham Park, NJManager –New Business Group (2005 – 2006)Managed a team of thirteen Underwriters in all aspects of direct supervision including hiring, performance review, and daily operational management responsibilities.• Maintained a successful relationship with our Sales Group and partner with other internal implementation groups for seamless client transition.• Marked increase in efficiency and productivity including company record statistical achievements by legacy analysis.• Achieved top score on ADP’s Gallup Survey, a survey where the associates rate their managers. I also presented concepts for success to other managers in the Operational groups during our Gallup focus meetings.

Originated key functions in ADP’s scanning and imaging system. Tasks included full responsibility for the success of report programming for companywide common platform document content and implementation of a Client Services System that enables document access at point of call.• Launched, managed and was the subject matter expert on ADP’s Direct Measure of Quality Report that included our Retirement Services small, mid and large markets. The report documented a rolling six-month key statistical measurement including Client Services, Operations, and our Money Movement Groups. The report is viewed on ADP’s intranet sight and utilized by senior management to gauge departmental performance and for presentations and performance meetings. • Built the legacy Plan Project which involved archiving and scanning ADP’s legacy plan paperwork to assist in space management for our transition to the Florham Park location. Well over 18 thousand legacy plans were scanned and transitioned to an archiving facility.• Appointed as ADP’s Disaster Recovery project manager; project included scenario plan development and execution at our recovery site in Lyndhurst, NJ.

• Coordinated with our Operational Group and Morgan Stanley directly for a successful alliance implementation to include the interim payroll process.• Collaborated with senior management on various projects centered on operational efficiency and effectiveness such as client facing reports.

Project involvement focused on the Implementation of the Executive Summary Report and enhancements to the Quarterly Statements.

Benefit Consultant Developed total client relationship, including project and team management, training development and general client consulting.Implementation ManagerMaintained all client deliverables within the scope of managing their 401k plan. • Managed staff of three senior analysts, which included responsibilities such as payroll administration and reconciliation, client service center issues and continual interaction with senior client personnel.

• Converted the corporate IRS 1099R tax year-end processing; responsible for coordinating and managing all field offices’ activities and created a corporate procedure manual to facilitate last year’s and future processing.• Managed the re-organization and re-engineering of all financial activities for all daily financial plans. This process included the transfer of payroll processing; trust reconciliations, verification of daily valuations and the initiation of daily trade transactions. • Assigned to a task force of senior managers responsible to design an in-house system that would incorporate health and welfare, defined benefit and defined contribution processing. Senior Benefit Administrator • Performed all aspects in the management of major corporations’ 401k plans, specializing in conversion and direct consulting tasks. Continual client contact, compiling and monitoring of data and valuations of contribution balances were required as well as discrimination testing and creation of 1099R’s.

Account Supervisor • Managed and Administered major corporations’ 401k plans, including client contact, extensive review and compilation of client data and valuations in individual’s daily, monthly and quarterly contributions balance. Additional responsibilities included discrimination testing, establishing unit values, asset flows and the creation of 1099R’s.Account Assistant • Provided support to the Account Supervisor in all aspects of managing individual 401k plans. Worked extensively with an IBM mainframe system in the development of the valuations and in the creation of various ad hoc reports utilizing the system’s report writer.