Management Manager

Michael J. Floris

**** **** ***** ( NORTH BRUNSWICK NJ 08902

732-***-**** (Home) . 718-***-**** (Mobile) . **********@*****.***

IT COMPLIANCE SPECIALIST - FINANCIAL SERVICES

Information Technology ~ Compliance ~ Information Protection ~ Project

Management

A highly accomplished Information Technology Professional backed by a

proven track record of managing complex projects and exceeding

expectations. Extensive qualifications in all aspects of project life

cycles, from initial feasibility analysis and conceptual design through

documentation, implementation, user training and enhancement. Recognized

project management skills, consistently delivering complex, large-scale

projects in a timely manner. Additional areas of expertise include:

Information Systems Management ( Operational Risk Management

ITIL Practices ( Audits & Regulatory Reviews ( Change Management

Project Management & Tracking ( E-Discovery ( Litigation Support (

Information Security

Compliance Practices ( SDLC ( SOX Testing ( Vendor Management

Professional Experience

Barclays Capital - Jersey City, NJ

Sept 2006 - Present

Associate Director of IT Compliance

Manage, mentor and counsel a staff of 7 full-time employees and project

related contracted employees (Project Managers, Business Analysts &

Developers). Other areas of responsibility include being the Global Change

Management Officer and the Global Business Continuity Manager (BCM) for the

IT Compliance department, as well as an acting member of the IT Compliance

Steering Committee.

Notable Projects & responsibilities Include:

. Risk Management - Drive the planning, implementation & compliance of

major regulatory initiatives (i.e. Sarbanes-Oxley, Basel II), by way

of performing risk & control assessments, incident reporting &

collections, across the Global IT Compliance organization. Coordinate

the departments' Quarterly Information Technology Controls Risk

Assessments as well as the Third-Party Vendor Information Security

Assessments to identify weaknesses, security exposures and privacy

risks. Liaison with Global Compliance, Risk Management, Audit and

Risk Review, Information Security Officers, and all resources

available to optimize IT Control policies & procedures. Also perform

trend analysis, metric reporting & statistical presentations of

operational risk, vulnerability assessments & COB planning.

. Change Management - Manage the global Change Management processes and

procedures for IT Compliance applications and infrastructure

components, using the ITIL/ITSM standards. Produce schedules of

requests for change (RFCs) for managing changes into the production

infrastructure, via Change Management Calendar; identifying and

resolving scheduling and technical issues as they arise (i.e. Code

Freezes & Emergency Access to Production). Ensuring that changes to

production have been fully tested, documented, communicated, approved,

and successfully implemented. Proactively identifying configuration

issues via impact assessments and working with Senior Management to

determine solutions. Drive adherence to the defined Change Management

processes and where appropriate initiate training to rectify non-

compliance.

. Orchestria Email Surveillance (Application Owner) - Spearheaded the

global implementation, deployment and the day-to-day support of an

email compliance platform, used to monitor email, webmail, blogs,

instant messages and the Bloomberg Professional across all channels in

real time. This surveillance solution is used in screening

potentially non-compliant electronic communications for regulatory

purposes (SEC, NASD, NYSE, FinRA, Sarbanes-Oxley, HIPAA, etc).

. Business Continuity Management - Established disaster recovery testing

methodologies within IT Compliance; planned and coordinated the

testing of recovery support and business resumption procedures, in

different functional areas. Declare all recovery procedures are

effective, for the restoration of key corporate resources and for the

resumption of critical business processes. Ensure that all technical

components of the BC plans are successfully tested at least annually.

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Michael J. Floris

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PROFESSIONAL EXPERIENCE (CONTINUED)

Citigroup Global Financial Markets - New York, NY

July 2005 - Sept 2006

Department Compliance & Control Officer (DCO)

Responsible for supporting two Directors, nine Vice Presidents and their

entire Shared Services & Security Administrations' Organizations with

regards to Compliance Initiatives, Sarbanes Oxley testing & Special

Projects, in the following manners:

. Risk Assessment - Identified and assessed threats, vulnerabilities and

risks; ensuring that robust monitoring, timely detection, containment

and incident response necessary to mitigate any exposures to the bank

were in place. Coordinated and performed the quarterly Risk and

Control Self Assessment (RCSA), internal audits & external regulatory

reviews. Developed recommendations to enhance internal controls,

based on reported findings. Managed all compliance activities - Audit

Points, Corrective Action Plans, Process Control Manual updates & Gap

Analyses.

. Change Management - Led Change Management & Control activities in

coordination with the department's staff & stakeholders. Responsible

for integrating the configuration management process into the

Incident, Problem, Asset Management, Disaster Recovery and New

Services processes. Developed and promoted Change Management plans

and processes, which included user testing, owner approvals, and

proper promotion to production environments. Defined software quality

compliance processes which further added to the development &

refinement of the Change Management System. Evaluated and managed IT

risks related to change control processes. Reported change management

status and future scheduled changes daily/weekly to staff &

stakeholders. Identified and initiated the problem management process

for recurring P1 tickets and other identifiable issues, resulting from

changes that did not go as planned.

. Compliance - Established IT regulatory compliance measures and tracked

remediation plans through implementation. Led complex risk management

reviews, investigations and risk assessment evaluations (including

identification of Internal Control deficiencies). Collaborated with

affected IT units and auditors to validate and verify audit findings

and/or deficiencies, as well as on-going oversight.

BLOOMBERG LP - New York, NY June 1998

- June 2005

IT Compliance & Discovery Manager

Regional Manager of the Message Compliance & Discovery Department tasked

with providing Discovery as well as Litigation Technology Support for the

Organization's Compliance Staff, Lawyers, Paralegals, as well as support

for Bloomberg clientele.

. Oversaw the retention & discovery of all Bloomberg correspondence

(emails, IMs, chats, VOIP transmissions and trades) via SANs,

Centera's CAS solutions, and/or tape back-ups.

. Developed practical relationships with Legal Staff in utilizing

litigation support technology for improved efficiency, effectiveness

and competitive advantages.

. Provided historical email retrievals for clients relating to legal

and/or compliance subpoenas and regulatory inquiries, which hit

Corporate & Investment Banks.

. Responsible for managing the procurement, acquisition and integration

of complex software applications and systems including preparation of

Statement of Works (SOWs).

. Developed and presented Legal staff training on new features &

enhancements to message compliance & discovery monitoring tools. (i.e.

Orchestria Active Policy Management).

. Facilitated Change Management procedures and controls for all

production changes to Compliance & Legal Applications, in accordance

with compliance polices & procedures.

. Defined not only the appropriate change/release initiatives to manage

the impact of future-state changes to production but also the change

risk mitigation options for Compliance & Legal applications.

. Responsible for understanding the business impact of changes and

negotiating modifications to change requests between internal and

external teams to meet the needs of the business.

. Worked closely with the Assistant Director of Legal Operations to

ensure that our records retention standards and measures were

compliant with laws, policies and procedures.

Continued

Michael J. Floris

Page Three

Professional Experience (Continued)

Special Projects & Achievements:

. Recipient of Bloomberg Transactional Products Award for Unparalleled

Performance & Dedication x2.

. Managed deployment of Transactional Products/practices to London (six

week trip), thus reducing company workload, stateside.

. Trained 100+ sales staff on Message Compliance & Discovery

applications, to aide in Bloomberg Terminal sales.

. Developed and conducted Technical Compliance Assessments, which aided

in the implementation of new policies & procedures thus improving

Message Compliance & Discovery efficiency by 41%.

IDT/NET2PHONE - Hackensack, NJ May

1997 - June 1998

IT Customer Service & Technical Support Supervisor

Coached, counseled & trained a staff of 10 - 20 reps. Challenged to

maintain and operate voice services via IP networks for corporate clients

for hardware, software, telephone, and broadband devices. A member of the

technical operations team, tasked with providing tier III support, and

first level escalation for call center tickets. Resolved non-routine,

vendor, and N2P platforms issues. Entered account information, orders,

implemented recovery procedures, and documented problems. Earned solid

reputation for resolving complex issues and providing exceptional customer

service.

Technology Overview

Platforms: Windows XP Professional, Windows2000, Windows NT 4.0, Windows

95/98 & MS DOS.

Hardware: Installation of Hard drives, Motherboards, Sound cards, Video

cards, NIC cards, Modems & Memory

Upgrades. Also, familiar with handhelds &

wireless technologies (Palm, Pocket PC & Blackberry).

Software: Checkpoint VPN-1/Firewall -1 NG, Microsoft Exchange 2003,

Microsoft Office 2000 Suite, Microsoft Visio, Microsoft Project

2003, Microsoft SQL Server 2005 Management Studio 9, SAP,

VMWare,

Blackberry Enterprise Server, CA Orchestria, Open

Bloomberg, Bloomberg API/DDE Server, Citrix &

Radia Packaging Application, Assentor Compliance

Discovery, Symantec Enterprise Vault, Discovery

Accelerator, IDEAL, CT Summation, Clearwell E-Discovery

Platform, EnCase E-Discovery & Legal

Hold v 3.1, AccessData FTK Imager, Clear Case 6 and Ultra Edit,

HP Service Center.

Education & Credentials

Bachelor of Science in Computer Information Systems - 2000

JOHN JAY COLLEGE, New York, NY

Military

United States Army, Fort Benning, GA

Sergeant . Airborne Ranger . Honorable Discharge

(1991 thru 1995)

Licenses & Certifications

Certified Orchestria Systems Professional (COSP) - 2007

Memberships & Affiliations

An acting member of the Compliance and Ethics Leadership Council (CELC) as

well as the Society of Corporate Compliance & Ethics (SCCE)

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