Manager Project

Caroline G. Kulik

** ***** *****, **********, **

Mobile: 203-***-**** ? ab84q4@r.postjobfree.com

> 20+ yrs. in OTC derivatives and fixed income securities.

> Implementer of CFTC/SEC regulations, most recently Title VII Dodd Frank

initiatives.

> Hands-on with credibility and presence to interact and influence

throughout the organization.

> Ability to manage large programs/initiatives and people with disciplined

cadence, structure and governance.

EMPLOYMENT EXPERIENCE

Crossbridge Consulting (11/2012-Present) - 101 Park Avenue, New York

Senior level consultant at Barclays Bank Plc - Lead Project manager within

Distribution, representing global asset classes; responsible for Mandatory

Clearing readiness and implementation of Dodd Frank/ CFTC mandates.

Accomplishments include:

> Coordinating development among IT, Front Office, Compliance, Client Data

services, Onboarding, Middle Offices and Operations of the Client Check

Tool and other technology for determining mandatory clearing eligibility

with respect to US Category 1 counterparties on time for March 11th

> Creating training content and organizing its global delivery to Trading

and Sales on time for March 11th.

Natixis, SA (7/2012-10/2012) - 9 West 57th Street, New York - Consultant -

US Compliance

Assisted Compliance with developing educational tools and training programs

with respect to upcoming mandates under Title VII of The Dodd-Frank Act,

including: Clearing requirements; CFTC Cross-Border guidance; External

Business Conduct Standards; ISDA DF Initiative (Adherence/Protocol,

Supplement, Questionnaire) ISDA/Markit solution and mechanics.

HSBC Securities (U.S.A.) Inc. (9/2010-2/2012) - New York, NY.

Senior Vice President, Chief of Staff, U.S. Global Rates

Teamed with Head of Global U.S. Rates Trading, responsible for overall, in

depth business management and administration of trading businesses:

Derivatives, US Government securities, Agencies/SSAs, Repo, Futures and

Structured Transactions.

Accomplishments, in addition to day to day responsibilities:

> Co-Led Dodd Frank Act (Title VII) implementation and Clearing initiatives

for OTC Rates and CDS:

. Drove start-up of the DFA initiative in the US; established governance

structure; co-Chaired the Project Steering Committee directly

representing MD and Global Head of Rates.

. Established global OTC clearing memberships for HSBC and its U.S. FCM

at the LCH and CME.

. Mapped out systems architecture and developed correlated strategies for

future operating models where HSBC Bank USA operates as Executing

and/or Clearing broker, for House and Client Clearing.

. Developed and carried out strategy to incorporate HSBC's Affiliates in

Europe, France, Asia, Chicago and Mexico into the proposed FCM

framework.

. Developed relationships with and organized demonstrations by various

SEFS such as Bloomberg, Tradeweb, and Javelin

. Chaired post-trade Risk Management working group

> Restructured front office from a desk-oriented to a strategy-oriented

structure; realigned all Management Information/Financial Reporting, HR

and Compliance processes accordingly; maintained direct and allocated

expenses, managing the step change in budget forecasts and new product

development.

> Successfully took 7 new products through HSBC's New Business Review

Committee and Product Due Diligence processes in a highly risk-averse and

cost-challenged environment.

> Formed and chaired the monthly Business Control Committee for US Rates,

attended by Senior Management and cross-functional department heads -

identified and documented major control weaknesses, implemented

remediation programs and took responsibility for elevating issues to

senior management;\.

> Wrote front office Desk Instruction Manual from scratch.

> Partnered with IT to automate the End Of Day closing process, enabled

more accurate daily P&L estimates, tied out to T+1 actuals; significantly

improved front office/back office trade reconciliation processes and P&L

attribution by Product Control.

RBS Greenwich Capital (1997-12/2008) - Greenwich, CT.

Senior Director, Business Manager, U.S. Global Rates - RBS Greenwich

Capital (2003-2009)

Senior Rates Business Manager - Greenwich Capital Derivatives, Inc.(2000)

Vice President, Rates Business Manager, North America - Greenwich NatWest

(1997)

Accomplishments

> Co-managed first phase of the U.S. Rates front office integration of RBS

and ABN AMRO.

> Implemented numerous critical-path technology deliverables for Rates with

Chief Technology Officer;

. "Interim Architecture" the most critical stage of the 1-5 year strategy

to retire multiple, disparate trading, sales and support platforms and

deliver an integrated, global solution across OTC Rates.

. Global Sales MIS and Customer Relationship Management (CRM) system.

. Overhauled curve libraries, developed and implemented single U.S.

Dollar curve process.

. Rolled out electronic trading platforms linked to pipeline of global

markets product offerings.

. Implemented prime brokerage services for Rates in U.S.

. Partnered with commercial services such as DTCC, SwapsWire, LCH,

TriOptima.

> Drove Established web-based Customer On-boarding System, in compliance

with U.S. Patriot Act.

> Established web-based Credit Limits Approval system.

> Coordinated readiness for Basel 2 implementation

> Worked with MI team to develop infrastructure and reports enabling

transparency and verification of all direct and allocated expenses,

reserves, CVA and capital charges; challenged and corrected where

necessary.

National West Minster Bank Plc - (3/93-11/97) - New York, NY

Vice President, U.S. Business Manager - OTC Rates and Financial Products

Group (1994-1997)

Vice President, ISDA Documentation Group (1993-1994)

In 1997, relocated NatWest's "Financial Products Group" from New York,

front to back, including 100+ personnel, whole trading platforms,

technology systems, hardware and infrastructure support functions to

Greenwich Capital Markets, Inc.

Chemical Bank - (3/85 - 3/93) - New York, NY

Vice President, Corporate Sales (1990 to 1993)

Assistant Vice President, Capital Markets Legal Department (1985 to 1990)

> Started up bank's first ever ISDA documentation group; original member of

ISDA's task force in 1985; Head of ISDA Legal Documentation Group

managing more than 15 direct reports globally.

> Promoted to front office Sales covering mid-west fortune 500 corporate

bank clients.

EDUCATION

Fordham University, Bronx, New York, BA in Sociology

CERTIFICATIONS AND REGISTRATIONS

FINRA Series 7

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