Lloyd Kappeler Email & Phone Number

Carlisle, Pennsylvania

Coordinate SOX ITGC and IT Security policy compliance, internal and external audit activity and SAP authorizations.

Vast Fortune 500 strategy and transformation consulting experience in delivering system implementations, integration services, financial analysis, process improvements and compliance monitoring systems within budget and deadline constraints.

• Performed business analyst and project management roles for 12 different IBM clients • Created and managed PMO plans, dashboards and project metrics through stages of the SDLC methodology• Created and managed project deliverables, including business requirements, technical functional requirements, test plans, issue logs, risk mitigation logs, change management logs and implementation plans• Coordinated assessments and implementation for various IT systems to address diverse client needs for changing regulatory and compliance requirements• Communicated and clearly explained project directives and progress with various levels of managementSenior associate business analyst on largest retail brokerage merger in history:• Drafted, edited and disseminated detailed project documentation for the Global Financial Services / Wealth Management division, including status updates and timely presentations to multiple levels of management• Facilitated IT estimates and project scope prioritization for a 2 year planning forecast • Coordinated gathering, development and prioritization of business requirements / solution requirements from multiple business units and data sources Compliance project manager on consolidation of 2 independent broker dealers:• Managed a $3.5 million compliance delivery stream of an overall $220 million system implementation • Delivered development, testing and implementation life cycle phases• Managed issues, risks and change request enhancements for the main Broadridge/ADP system implementationProject manager for a federal regulatory audit response:• Assumed project management of a regulatory response 3 weeks into a 6 week project• Assessed broker dealer's ability to identify and retrieve e-mail and IM electronic communications• Delivered assessment and recommendations on time, within budget and to the full satisfaction of client

** Purchased By Ibm In 2002

• Performed business analyst roles for 5 client projects (Fortune 500 financial institutions)• Aligned detailed procedures and workflows with globally mandated policies • Performed field and code mapping for a data repository integration initiative • Implemented portfolio management system and data conversion Business analyst on a U.S. operations stabilization project:• Coordinated efforts between client staff (IT, back office, middle office and risk control departments) and project team to develop process flows and user procedures for customized application package• Interacted with 3 tiers of management to address risk concerns and develop mitigating controls• Delivered an intranet based documentation deliverable

- Department Manager, 07/97 - 03/99;- Project Coordinator, 07/95 - 06/97;- Proof & Reconciliation Specialist, 05/94 - 06/95; - Corporate Action Specialist (simultaneously) 05/94 - 06/95;- Applied International Banking Studies Program, 07/92 - 04/94• Managed global private banking securities middle office operations department• Efficiently reduced supervised headcount from 10 FTE to 6 FTE • Responsible for corporate actions, trade settlements, cash funding, security and account maintenance, cash/position reconciliation, investigations and portfolio management • Facilitated vendor and IT support and head office (Zurich) relationships to ensure systems integrity • Increased processing efficiency by tracking detailed logs to reduce daily system difficulties by 90%• Conducted cash management for a 500 - 800 client base

- Shared time in (1) Central International Office and (2) Branch Office as an intern post study abroad semester with the University of Köln.

Master In Business Administration (Mba), Finance

Certification In Applied International Banking, Diploma Endorsement By The German American Chamber Of Commerce, Inc.

The American Institute of Banking (AIB) offers curriculum that incorporates foundational banking courses in affiliation with the American.

Bachelor Of Science (Bs) In Finance And International Business, Finance, Int'L. Business, German, Music

Activities and Societies: Delta Phi - Psi Chapter Social Fraternity, Delta Phi Alpha Honorary German Fraternity, Penn State Glee Club.

Intern, Economics / German

H.S. Diploma, College Prep