Business Continuity, Crisis Management and Disaster Recovery Manager• Selected to lead SLOD Business Continuity Risk Management (BCRM), providing Business Continuity Management (BCM) Program governance, oversight, and SME review/ challenge of First Line of Defense (FLOD) lifecycle activities.• Developed and implemented BCM Program Policy (Board approved), Standards, and Control Objectives in alignment with Parent Company requirements.• Transitioned SLOD to FLOD activities in accordance with OCC Heightened Standards and Business Continuity Program Operating Model.• Managed SLOD/FLOD Issues Management process, providing status and remediation management as required.• Participated in the Business Continuity Management Program RCSA process, creating workflow. • Interfaced with OCC, FRB, and Internal Audit, providing responses and remediation management deliverables/status.• Established metrics reporting activities including Risk Appetite reporting and Key Risk Indicator (KRI) identification.• Prepared and presented Annual Business Continuity Management Program Report to Risk Committee of the Board.• Designed Operational/Business Continuity Resilience Program framework and project requirements against regulatory guidance (FFIEC, BASEL, FCA UK, PRA UK), identifying critical operations through Resolution Planning and integration of Business Continuity Management (BCM) Program activities.• Drafted overarching Operational Resilience Program Policy and Standards to align with Operational Risk Management.• Organized and managed Pandemic Crisis Management Team to develop and implement COVID-19 Policy/local government protocols for US operations through the duration of the Pandemic.

Achievements at CAPCO with Fortune 100 companies:• Business Continuity consultant/OCC MRA Business Continuity Program Issues Management and Remediation.➢ Result: OCC MRA closed.• Project Manager/Private Wealth Management Broadridge to Pershing Conversion Project.➢ Result: Implementation of Global Trading Workstream Projects.• Project Manager/Capital Markets and Wealth Management Broadridge to Pershing Conversion Project.➢ Result: Bestowed with a team award for successfully executing critical trading platform project.• Project Manager/Information Security Assessment Project.➢ Result: Recognized low-risk cybersecurity vulnerabilities.• Business Continuity Consultant/Domestic and International BC/DR.➢ Result: Streamlined BC/DR documentation and developed Disaster Recovery Strategy document for two new Data Centers.• Business Continuity Consultant➢ Result: Designed Business Continuity/Disaster Recovery plans, policies, and Procedures for Software Development Lifecycle (SDLC), as well as fulfilled FINRA documentation requirements. • Project Manager/ Continuity of Business SDLC Project.➢ Result: Performed SDLC Business Impact Analysis (BIA) and Non-Functional Requirements (NFRs), while conductingFailure Mode Effect Analysis (FMEA) and Internal Audit findings closed.

• Provided Project Management consulting, execution, and support services to international banks and investment management firms. • Implement Business Continuity Management programs and Disaster Recovery planning/testing.• Reviewed/analyzed Dodd-Frank Act criteria which included development of Dodd-Frank Criteria Checklist outlining elements of regulation and requirements therein. • Prepare controls and procedures in support of various BCP rulings including rigorous test planning prior to transition.

• Provided liquidity and fair market practices as a Lead Market Maker for ETFs and Structured Notes administering ARCA/NYSE Electronic Trading Platform.• Managed Proprietary Trading Desk creating high frequency and various trading strategies collaborating with in-house quant, application programmer and outside vendors.• Lead Project Manager in creation and implementation of trading desk project assignment.• Project Management duties included applying (PMBOK) strategies for the development of proprietary trading platforms. • Designed derivative trading models for Structured Notes and international ETF theoretical arbitrage.• Interacted with clearinghouse operations assisting in positions, P&L management, clearing and settlement.• Managed relationships with major financial institution issuers resulting in listing allocations.

Managing Director/Equities and Derivatives Specialist/Member, American Stock Exchange• Specialized in Equities, ETFs, Real Estate Investment Trusts (REIT’s) and Structured Products.• Project Manager for business and technical project assignments.• Managed ETF/ Structured Products Arbitrage Trading Division succeeding in continued profitability for eleven years.• Supervised clearing and settlement for derivative operations.• Communicated system requirements to IT Committee creating business/functional requirement documentation (BRDs/FRDs) on behalf of the firm.• Project Management and committee involvement included: AIME Project Committee (hybrid trading system), ETF Specialist Unit Head Committee, ITS (Inter-market Trading System) Committee, NETS Project Committee (AMEX trading system).• Managed BC/DR for AIM Securities and assisted AMEX in Business Continuity Strategies.