Operational Risk and Control / Business Continuity & Disaster Recovery:Principal Architect and Project Manager for the Global Implementation of the Fusion (Salesforce) Business Continuity and Disaster Recovery across the enterprise.Perform System Administration and Provide Application Support for more than 2,000 Platform Users.Regional Lead for the Business Continuity & Disaster Recovery Program for North America.Support Program Director in maintaining and continuously improving the BC/DR Program including the BC & DR Plan and Testing Standard, Corporate BC & DR Plan & Policy, Corporate Incident Response Plan and Enterprise Pandemic plan.Oversee and manage the Corporate Resilience Center Strategy.Design and administer a testing and assurance program surrounding BC/DR Planning and Testing Manage and administer the Corporate Emergency Notification System.

*Oversee Operations Control for ETD, OTC and CCP and Collateral operations: Design and execute transformation plan for control team supporting 400 Operations partners by reducing cost by 20% while driving major process improvements throughout operations.*Innovate and develop solutions for Derivatives Operations: Improved controls surrounding escrow receipt depository program resulting in a Highly Effective audit rating. Designed reporting for Dodd-Frank portfolio reconciliation. Lead operations effort to resolve multi thousand reconciliation effort and recommend process enhancements for Central Counterparty Clearing (CCP). Installed OTC position and market value reconciliation across ten thousand positions and forty investment managers.

* Oversaw operations and client services for Fixed Income, Equities, Futures and Options, and FX/OTC. Managed upwards of 250 indirect and 14 direct reports, supporting more than $20 billion in client assets across the Americas and overseas operations. Established controls for margins, static data, and fees/commissions. * Directed HR responsibilities, which included team training, coaching, and monitoring for individual performance. Assessed overall team objectives and responded with mentoring and revised training programs needed to improve performance. Championed leadership development for key personnel.* Served as a key member on several internal committees. Global Operations Leadership, America’s Executive, Audit, Budget, Finance, Credit and Risk, and Investment. Consulted on interdepartmental affairs and oversaw the deployment of operating processes and integration of systems that supported operational demands. * Audited and monitored capital improvement, project, and operational budgets. Enforced a robust business continuity plan that safeguarded the organization’s strategic plan.* Resolved audit findings — closed 100% of open audit items during 2011.Led a global review of more than 700 operations procedures.* Led project team response to “Flash Crash” incident.☆ Additional major achievements include:√ Installed a global check list for operations groups√ Delivered operations synergies that reduced costs by more $2MM USD (~10%)√ Drove account control mapping project for North America that mitigated account risk√ Achieved a straight-through processing (STP) rate of more than 99% on major markets√ Reduced operations errors to less than .25% (previously >1%)√ Established Charter for Regulatory Reporting Oversight Committee√ Sponsored a project to evaluate and overhaul tax reporting process for North America clients√ Directed numerous improvements in brokerage collections and interest expense management

* Managed operations activities and executed business steering and strategic plans across asset classes and administration, financial, logistics, and staffing functions. Strengthened and integrated the people and systems within the legacy Fimat and Calyon clearing firms to create the largest player in the industry. * Outlined post-acquisition responsibilities and led business continuity and transition management efforts. Allocated resources, built consensus, detailed individual/team responsibilities, and defined business functions, during the merger between Calyon and Fimat.* Developed risk management and mitigation plans that supported the setup and expansion of organizational growth. Defined and monitored key performance indicators (KPIs) that measured strategies, processes, performance levels, and tools used across multiple sites. ☆ Transformed operations to generate sizable returns-on-investment (ROI): √ Saved more than $2MM by insourcing fixed-income clearing and settlement services √ Transferred securities operations from San Francisco to New York (15% synergy) √ Integrated master plan (IMP) for the Americas operations; delivered 8 months early √ Harmonized GMI/Clearvision platform for North American Customers √ Generated savings in excess of 3 million Euros ($4MM US) over 2 years √ Reduced Americas operating costs by ~10% year-over-year

* Managed more than 200 global personnel supporting futures, OTC, and equities. Audited management teams, systems, and processes to identify realignment opportunities. Created and managed multi-office operating budgets exceeding $100MM. Participated in business development, presentations, RFPs, and client marketing. * Integrated Tokyo and Singapore operations in addition to creating Frankfurt, Paris, London, Madrid, Hong Kong, Korea, and New York operations.Oversaw clearing, middle office, deliveries, reconciliations, client services, margin/risk, and treasury.* Implemented customer portal and real-time client reporting tools. Coordinated due diligence and compliance appropriately; reviewed tax implications for foreign branches; engineered 24-hour, globally integrated operations team. ☆ Transformed operations during tenure, which included: √ Implemented Project Management Office (PMO) for North America and 24-hour e-brokerage operation √ Directed capital improvement projects that subsequently added $2.5MM in profitability √ Identified fee structures and revenue control functions; achieved additional revenue of $1M year √ Led Dean Witter merger and created a broker-dealer operation that involved on-boarding FX/OTC operations √ Installed a real-time centralized SunGard/GMI solution to support the organizations global clearing strategy √ Oversaw response and rebuilding efforts after 9/11 tragedy at the World Trade Center (WTC)