Michael Jeffery, Grcp, Grca, Cisa, Cgeit Email & Phone Number

Merritt Island, Florida, Us

I cared for my mother suffering from late-stage dementia, and my wife while she recovered from multiple surgeries and procedures (who was, and is again, my mother's primary caregiver).

San Antonio, Texas, Us

Managed and led a team of 9 risk management professionals in providing risk services for the following areas:• Chief Technology Office• Information Technology Strategy• Information Technology Architecture• Enterprise Platform Infrastructure• Contact Center Technologies• Enterprise Digital Technologies• Cloud Governance• Corporate Technologies• Software Development Life Cycle (SDLC) GovernanceAssisted executive Information Technology leaders in the areas above in leading the execution of multiple complex risk management programs by initiating and facilitating meetings with leaders across all lines of defense, identifying risks and drafting responses to audit, compliance and enterprise risk, and successfully resolving and completing outstanding risk and compliance program requirements, to include but not limited to the following:• Controls Strengthening & Rationalization • Process Risk and Control Initiatives (PRCIs)• Audits and Enterprise Risk Assessments• Risk & Control Self-Assessments (RCSAs) • Issues Management• Risk Management• Key Risk Indicator Program• Control Testing• Other Risk & Compliance Programs such as Annual Compliance Plan (ACP), ITGC Alignment and QA/QC Monitoring and Reporting Program• Continuously interfaced and partnered with frontline executives and their teams regarding their audit, risk and compliance, and regulatory response needs• Lead team in aligning risks and controls to industry standard frameworks, policies, standards, and regulatory requirements, including but not limited to COBIT, COSO, BASEL, FRB, OCC and FFIEC• Continuously kept up with regulatory and internal compliance changes for the areas my team served in order to update controls as needed to ensure compliance • Utilized a number of different risk analytics and reporting tools in service of front-line risk managers and led my team in the development and presentation monthly Risk Activity Reporting (RARs)

San Diego, Ca, Us

AVP in the Enterprise Risk Management department of the Governace, Risk and Compliance (GRC) division; key contributor to building out and developing the firm's operational risk management program; designed, developed, and administrated LPL's custom developed enterprise GRC (eGRC) platform technology used for tracking and managing all risks, controls, assurance activities, operational loss events (internal and external), issues/findings and all associated remediation work. Interfaced and collaborated with all levels of management across the firm as well as the Big 4 accounting firms on various growth initiatives and assessment projects. Internal consultant to senior managers in GRC division for design of integrated and collaborative risk management and reporting solutions. Initiated and facilitated the firm's eGRC Platform Steering Committee consisting of all stakeholders/senior managers and other key personnel, for alignment, planning, convergence, implementation and continuous improvement in the monitoring and reporting on the firm's eGRC capabilities; FINRA licensed Series 7 & 24.Includes 4 years experience in Information Technology at LPL prior to transferring to GRC division:Last IT Position: Senior Audit Readiness Analyst, Technology Risk Management (TRM)Worked in the TRM and Audit Readiness groups as a major contributor to IT audit readiness and senior level management reporting; interfaced with Internal Audit for response to regulatory IT audits including SOX, SAS 70, SSAE 16, SEC, Financial Statement and targeted internal audits. Developed and administrated the IT GRC data tracking and reporting technology infrastructure in support of the entire IT department for audit readiness and risk management.Also, I have 5.5 years additional IT experience at LPL Financial through contract work (see below).

Returned to LPL Financial as contractor and worked in the IT Project Management Office (PMO). Administrated, tracked and and reported on the firms corporate investment projects. Later transitioned into IT Governance and IT Audit Readiness roles when these roles were managed under the IT PMO. Served as one of the primary liaisons with the newly formed Internal Audit Department and managed remediation efforts interacting with process owners throughout the IT department.

Irving, Texas, Us

Worked as a technology implementation project manager for various key initiatives and technology projects. Newgen Results Corporation was acquired by Aspen Marketing in 2007.

Hanover, Md, Us

While working as a staff consultant with TekSystems in San Diego I worked in the IT Project Management Office (PMO) as a business analyst on multiple key initiatives to convert and build out the firm's flagship trading application into an online platform application. Met with business managers at all levels of the firm to capture business requirements and write/develop more than 40 Functional Specification Documents (FSDs) in alignment and support of key stakeholders for corporate projects.

Hanover, Md, Us

Staff consultant with TekSystems in San Diego; worked as a project manager and/or business analyst consultant at Kaiser Permanente, GMAC Mortgage, Sony and LPL Financial.

Houston, Texas, Us

Started as a route supervisor to help initiate GIS technology for commercial service routes at the San Diego division before transferring to Coachella Valley division; due to personal interest, initiated and implemented numerous needed technology initiatives on top of a more than full-time day job as a route supervisor, and later Operations Manager, for the Palm Desert division which serviced 7 different cities in the valley. Managed a staff of 75 persons, including 5 supervisors, with a multi-million dollar budget. Continually interfaced with residential customers, commercial businesses and city officials to ensure quality customer service at every level.

Started as a Branch Manager for the main office in San Diego after helping to increase the mortgage loan pipeline more than 100% after designing and managing a telemarketing program. After a short-time of implementing new ideas and programs, I became a Vice President and the Corporate Broker of Record. Oversight and accountability for all brokerage business conducted by 40 plus loan agents, 3 person escrow department and a 7 person loan processing department. Helped the company successfully pass a CA Dept of Real Estate audit by reviewing, reorganizing and standardizing years of company loan files and comprehensively revamping the loan origination process and internal workflows.

Represented mostly tenants in retail commercial real estate lease transactions; sole tenant representative for the Salvation Army in leasing of Thrift Stores in San Diego County; other lease transactions included warehouses and master leases of apartment buildings.

Us

Returned from a military leave of absence to a union guaranteed job in the grocery industry for a short period of time before pursuing other business opportunities.

Served in the U.S. Army by first enlisting as a Combat Engineer and then qualified for and served in Special Forces as a non-commissioned officer on a A-Team or Operational Detachment Alpha (ODA). Adviser to the Team Captain on use and deployment of weapons, tactics and infiltration methods. Trained in unconventional warfare methods in support of insurgency and counter-insurgency operations. Participated in numerous foreign liaison missions and joint training exercises with other special operations units from allied nations in Europe. Served as a key communication liaison for multiple foreign languages.

Us

Held positions as third person manager, night store manager, receiving clerk and multiple other roles and responsibilities; Journeyman clerk at 18 years of age; Took a 4 year Military Leave of Absence to serve in the U.S. Army and then came back and worked less than a year before pursuing other business opportunities.

Master Of Business Administration (Mba) Candidate

Bachelor Of Science (B.S.), Interdisciplinary Studies In Business And Social Science

Extension Studies Program, Computer Software Engineering (Architecture & Design; Project Management; Vb.Net; Asp.Net; Sql; Etc)

Associate Of Science (A.S.), Business Administration (With Focus On Real Estate)