Marcus Theis Email & Phone Number

Frankfurt Am Main, Hessen, De

I am currently managing a 2LOD Operational Risk Team with the responsibility of re-design & operationalization of the RC(S)A, Breach Management and Risk Appetite across Deutsche Bank Americas. This includes also the execution oversight of the (quarterly) RC(S)A across DB Americas and DB Group, working in close coordination with all 1LOD stake holders. In addition, I am responsible for CCAR (14A and 14Q) and the 2025 BASEL III End-Game implementation in the Americas.Across these responsibilities, I do provide regular updates to the US Board, Risk Committee and regulators.

Senior Business Transformation Consultant across Non-Financial Risk, Divestiture & Change Initiatives, Target Operating Models (TOM), Organizational Transformation & Change, Client on-boarding/KYC, Product Approval, Sourcing and 3rd Party GovernanceMost recent engagements (Oct 2018-Apr 2019):'Vertical Relevance' Program Manager at independent Wealth Management company and responsible for managing the build-out of their financial advisory platform and adoption across their recent acquisition of an IBD/RIA. Platform improvements include: new advisory solutions, digital advice, collaborative tools, redesigned online and mobile client experiences, reporting, workflow and lead management tools. 'Vertical Relevance' Program Manager who successfully setup and implemented the Employee Benefits Renewal Program at AXA to efficiently renew Employee Benefits products to achieve scale and positive earnings. The Program Manager’s responsibility span across all business work streams with the goal to re-engineer the Employee Benefits Process, establish a Target Operating Model including Business Strategy, establish the Systems Roadmap, define the Staffing Model, create the Standard Operating Procedure (SOP) and the Change Control Process for ongoing execution

Valley Forge, Pa, Us

Global Divisional Head of Risk and Control for Tech/Ops & Security (reporting into CIO Technology & Security and Head of ERM)...Integrated 1st and 2nd Line of Defense Risk&Control teams and established an independent, business-to-supplier aligned IT/Ops Risk & Control coverage model that was tightly aligned with ERM, CISO, Compliance, Business Risk and Supplier Management. ...Operationalized a global execution oriented Risk,Control & Regulatory Governance Model...Defined & operationalized a global IT/Ops Risk & Control roadmap leading to a pro-active Risk Culture that embeds risk conscious behavior early in the IT development & support lifecycle. This resulted in the cascading of risk accountability into teams and provided the ability to control, manage and optimize risk long term (versus mitigate risk only)...Established an industry standards (e.g. NIST, ITIL, SOC-2) based IT/Ops control environment to support the migration towards ‘public cloud IT services’ and the organizational transformation towards a streamlined ‘DevOps environment’. ...Built-out and operationalized a monthly IT/Ops & Security Risk Balanced Scorecard across 10 key technology risk themes: System, Security & Access Management, People, Regulatory, Resiliency & Continuity, Project Execution, 3rd Party/Vendor, Data, Process & Control and Business....Developed & tracked ‘Top Risk’ catalogs for each IT/Ops & Security sub-division that mapped to the operational ‘Risk Balanced Score Card’, regional business risks and used for ERM Board Reporting ...Established a common IT/Ops Process-Risk-Control Framework that aligned & integrated organizational controls, policies & procedures, legal & regulatory requirements and external authoritative sources in a common framework (using RSA Archer)...Other: Staff training & awareness’ Program, Control Test Automation, Leading Risk Indicators, Vendor & Regulatory risk oversight

Advising international Asset and Wealth Management companies:Feb 2016 - Sep 2016Leading business divestiture PMO for a Universal Bank in the sale of their US Private Client Brokerage division to a wealth manager with focus on: Equity Capital Markets, Mid Market Joint Ventures, Global Research, Alternative Private EQ offeringsTopics covered included: Target Operating Model design (TOM), Know-Your-Client (KYC), Client on-boarding, Investment Product Divestiture, Workstream coordination, PMO Reporting May 2015 - Feb 2016:Advised two clients during a due diligence phase in areas around: Audit/Risk/Control/Regulatory oversight and Vendor Management (contracts, spend, SLA/KPI/KRI, service / regulatory / vendor risk and strategy)

Frankfurt Am Main, Hessen, De

Leading a team of 25 across Asia, Europe and US (and +250 FTEs matrixed) with direct responsibilities for...Financial, Business and Resource Management (total budget responsibility of $1.0 Billion and leading delivery of $150m (25%) Run-The-Bank cost reduction program betw 2012-2015, +1,400 employees)...Risk & Performance Oversight (Operational Risk, Resiliency, KPIs, Activity Based Costing / Cost per Trade, Benchmarking, Reporting, Analytics)..Regulatory and Control Oversight (Reporting, Audit, Regulatory Affairs incl SoX/Dodd-Frank/EMIR/MiFID/..., Information Security, Group Policy Compliance, accountable for yearly regulatory spend of $45m / +250 FTEs in a matrixed organization)..3rd Party Governance incl service & vendor risk (Governing direct 3rd party IT/Ops spend of +$200 Million per year incl Custodians, Fund Administrators, Middle/Back Office providers and Application Service Providers (ASP) / Software as a Service(SaaS) incl Blackrock Aladdin, Salesforce.com, Simcorp Dimension, B-source/Avaloq.)..Strategy & Transformation: Strategic, financial and operating plans (2013: Coordination of IT/Ops work stream of $280 Billion AuM ‘Strategic Asset Management Review’ incl Bidder Coordination, Change of Control Planning, stand-up planning & operation of ‘Buyer NewCo’ functions/platforms and interim services for Finance, Expense Management, P2P, HR, Compliance, Infrastructure, 3rd parties etc)...Investment&Portfolio Governance and Demand Management across $1.0bn IT/Os budget to ensure close collaboration and alignment with business priorities across Tech&Ops-Clients/Front Office and 3rd Party Providers incl Custodians...Project Management Office: MIS, Program Oversight, Review and adoption of software governance principles, liaison with architecture team to ensure solution compliance with architecture road map)...People development, Organizational design principles, Performance Management, Collaboration and general liaison to Corporate Human Resource

Frankfurt Am Main, Hessen, De

...Established global, industry leading 3rd Party Governance framework overseeing the largest operational service providers in Asset Management (yearly spend +$150 Million) and in-house offshore operations (+200 employees). This included standardization of KPIs & SLAs, balanced scorecard reporting, setup of 360º Risk-Performance-Control Framework, yearly on-site due diligence, competitor benchmarking, contract negotiation and regional (Asia, Europe, US) operational governance oversight....Lead the definition of the Target Operating Model (incl. business scenarios, design principles and capability model, organizational sizing & setup and future collaboration model with front office and vendor) and Offshore Operations Transition during 2010 US Middle Office outsourcing to a world leading Asset Servicing provider....Managed Business Process Reengineering Program across Trade Processing, Fund Accounting, Performance Measurement & Attribution, which resulted in streamlined processes, reduced cash & position breaks and minimized operational losses.

Frankfurt Am Main, Hessen, De

...Managed the US and European Asset Management IT/Operations sourcing of +250 positions into India, designed the hub & spoke location strategy leading into a ‘networked back office model’. Overseeing Due Diligence, RFI / RFP, Vendor Selection, Contract and Implementation across Europe and US....Implemented a global strategy framework (Process-People-Technology) that initiated the migration towards a standardized and more efficient software development model leveraging practices from ‘Capability Maturity Model’ (CMMI) and the 'Agile' model. This improved projects being on time and in budget from 55% to 80%.

Frankfurt Am Main, Hessen, De

...Co-lead IT work streams during due diligence and business driven divestiture programs including Passive EQ&FI sale to Northern Trust (+$110 Billion AuM) and Investment Operations outsourcing to State Street....Successfully delivered on large scale Application Enterprise Programs (+1,500 users, +150 FTEs, +100 apps, +$5 Million budget), ‘Business & IT coordination of desktop support & helpdesk outsourcing to IBM’ (+1,500 users, estimated yearly cost reduction of +$2 Million), ‘Scudder Datacenter Consolidation’ (upgrade of Scudder applications & system software, hardware and security to Deutsche Bank standards and migration to Deutsche Bank data center, +250 FTEs, +130 apps, +260 servers, +$10 Million budget)....Co-lead the Deutsche Bank Asset Management IT team during ‘Scudder Investments’ due diligence and managed IT integration i.e. minimum requirements definition, dress rehearsal, change of control (resulting into a merged IT department of +600 FTEs, +$200 Million yearly budget)....Joined Asset Management (+$780 Billion AuM) with responsibility to implement the global Institutional Client Relationship Management Solution ‘Siebel’ across Asia, Europe and US (16 locations, 4 Hubs, +500 users, multinational team of +30 IT & business managers, +$15 Million budget).

Frankfurt Am Main, Hessen, De

...Co-lead initial global Deutsche Bank GTO Y2K Program setup out of Germany and relocated to New York to manage the Latin Americas and Canada Y2K Programs while interacting with country CEOs and CIOs....Co-managed the rollout and on-site branch IT support teams (+50 FTEs, +2,000 domestic branches, +35,000 PCs/Users, +5,000 Servers) of a +$50 Million Deutsche Bank Germany branch transformation program from 3270 Terminals to Client/Server technology

Deutsche Bank Executive Mba Program

Bachelor Degree, Computer Science