Rick S. Email & Phone Number

Park Ridge, Nj, Us

TIP National's Head of Cyber, leading the Managing General Agent (MGA)cyber insurance portfolio sales and underwriting support;Responsible for both pre and post-sales support as company's cyber risk and licensed cyber insurance subject matter expertEvaluate client cyber risk to determine underwriting viability and most appropriate risk mitigation solutionsExecute strategic technical plans with a key focus on small business cybersecurity statistics and metrics to drive customer adhesion,including technical architecture and design of solutions.Lead TIP National's IT transformation project required to adhere with NYDFS 500 and PCI DSS cyber security and data privacyregulations.Primary channel partner lead with company's critical cyber insurance distribution and solution partners in proving enhanced cybersecurity offering focused on small and medium-sized businesses.

Purcellville, Va

Identify, evaluate and document design and effectiveness of internal controls looking for both control gaps and opportunities to gain process efficiencies the company's SOC 2 engagementsManaged the Cyber and Technology components of the SOC 2 Audit for one of the country's largest secure cash and transit enterprisesDetermined the technical and business impact of identified control gaps, including a resolution plan with steps to remediate findingsAssisted in the creation of information security policies, standards, procedures, and plans (BCP, DR, and Incident Response) to support client information security needs and governance requirementsCollaborated with clients to implements 3rd party vendor risk management programs and processes critical for SOC 2 certificationWorked with key client stakeholders and business leaders to enhance reporting capabilities and overall firm security by implementing risk mitigation solutions needed to protect their business

Greater Ny Area

Conducted customer infrastructure security audits for companies across a variety of industries and stage, providing documented analysis of findings in accordance with specific regulatory requirements and security frameworksRecommend and implemented infrastructure and security solutions in accordance with industry best practices.Reviewed and approve internal security policies, controls, and cyber incident response planning to optimize client information securitypolicies and processes on an ongoing basisKeep abreast of current IT threat landscape and industry regulatory requirements to ensure continued compliance with laws and industryframeworks, including ISO 27001K, NIST CSF, SEC, FINRA, HIPAA, GDPR, CFTC, PCI and NYDFS

Jersey City, Nj

Developed defined sales process across the organization, aligning each internal business unit at specific steps in the sales cycle improving overall sales effectiveness while reducing time-to-close by more than 10%Technology Operations: Minimized internal tech stack so that each group was utilizing one set of applications to minimize the number of different applications being paid for, while introducing a seamless information architecture across the companyContent Management: Prioritize, create, integrate, and publish training materials; implement and manage ongoing feedback with Sales teams to drive continuous improvementWorked with executive leadership and existing enterprise customers to gather customer feedback from all existing enterprise customers to prioritize tasks to accelerate new prospect engagement and pipeline activationReviewed and oversaw the implementation of procedures and solutions to allow the firm to adhere to NYDFS and NIST CSF vendor due diligence best practices

New York, Ny

Position created by executive leadership, leveraging my proven compliance and security sales domain expertise as the program leadLeverage compliance experience to advise client base of more than 500+ hedge funds & Private Equity firms surrounding SEC/Finra recommended cyber-security best practicesParticipate in Client escalation calls and on-site meetings leading technical discussions and resolution with strategic executives and regulatory auditorsDeveloped the vendor due to diligence standard and review implemented across all existing customers as a new, revenue-generating consultative solutionLiaise with all relevant business units to secure resources required to complete tasks on time and within budgetTrained, collaborated, and advised the Client Development team in identifying potential opportunities within the existing client base.Reviewed and presented technical solutions to Clients, showcasing how proposed plans can be leveraged to support their technology needs, and core business objectives.

New York, Ny

Facilitated the creation of an internal compliance group, including team members and core business requirementsCreated and implemented company-wide Cybersecurity testing solutions aligned with SEC and NIST standards that drove net new expansion revenue stream of 500k per yearProvided guidance and go-forward strategy to Client Executives, highlighting new products and services that meet client technical requirementsOversaw the creation of all customer Disaster Recovery, Business Continuity, and Incident response plans, including ongoing testingResearched industry-leading information security training solutions to create a new subscription-based training solution to be leveraged by existing and new customersFacilitated and managed internal annual audit requirements to maintain SOC-1 Type II certificationMaintained and updated the Internal Business Continuity Plan for all company offices and operations, factoring in all staff and departmental creations and changesResearched, evaluated, and recommended new information Security products and services to be utilized both internally and externally.

New York, Ny

• Manage 120 clients, providing outsourced IT expertise and support specializing in the Alternative Assert Vertical• Recommend and implement technology-based solutions based on client need and firm type• Acted as project manager throughout project lifecycle from recommendation through implementation• Facilitated Compliance Campaigns due to SEC mandatory registrations to educate clients about key requirements and services available• Cultivated relationships with C level decision makers from existing firms and new business opportunities• Managed firms with multiple offices and infrastructures globally to ensure levels of service • Utilized a consultative sales approach as a client advocate that led to me being the firms top sales performer 4 years in a row• Review client technology initiatives to make sure industry recommended best practices are met and exceeded

• Provide investment, savings, and liability management solutions for clients to help develop financial strategies.• Met and exceeded all revenue goals • Analyze client needs and deliver guidance and advice.

Jersey City, Nj

• Managed institutional and retail client broker dealers generating between $3-$20 million of annual firm revenue• Maintained firm revenue increase of 7 to 10 % annually with each firm I managed • Accountable for the timely and accurate resolution of escalated client issues, using proactive, 'outside the box' problem solving techniques • Developed and cultivated excellent business relationships with client C-Level Executives • Introduced new products and services to existing clients to improve firm revenue and drive business growth • Managed and provided guidance on all regulatory and legal issues for correspondent firms• Involved in all aspects of trading and procedural compliance, I.E. AML, BCP, Trace, MSRB and Oats reporting• Worked with correspondent Broker-Dealers on annual Sox certifications and focus filings

Jersey City, Nj

• Oversaw all aspects of client service and sales for the RIA division.• Ensured the retention of existing business relationships measured by client satisfaction, client reference-ability and TD Waterhouse risk management.• Correspondent between RIAs and all levels of senior management, compliance and operations.

Master Of Business Administration - Mba, Risk Management

Bachelor Of Business Administration - Bba, Business Administration And Management, General

High School