Management Service

MBA with over (**) years Banking & Business ownership experience. My

skill set includes Strategic Business Management, Risk & Control,

Regulatory Compliance (e.g. GLBA, Sarbanes-Oxley, Bank Secrecy Act,

Patriot Act, Outside Service Providers, Anti-Money Laundering, BASEL II

etc.), P&L Responsibility, Information Security, & Audit. Additional

skills are IT, System Design and Development, Contingency Planning, Change

Mgt, Disaster Recovery, Bank Operations, & Investments.

Owner, Entrepreneur - Family Entertainment Center (FEC)

6/2007 - present

Bananas! Drop-In, Jump & Play Inc, West Chester, OH

Organization, funding, start-up, and ongoing operations of a 42,000 sq

foot indoor Family Entertainment Center (FEC). Company was awarded

"Best in the City" by Cincinnati Magazine.

Focus Areas:

* Strategic Business Management

* P / L Responsibility

* Vendor Management

* System Infrastructure & Implementation (including POS, Online

Reservations, and Web presence)

* Recognized as an industry leader

* Worked with State of Ohio Regulators & Ride Safety Inspectors

* Focus on Risk related elements, safety, security, insurance, etc.

* Created a family friendly - "safe-play" environment.

* Over 152,000 guest annually

Risk Management - Institutional Advisory Services

4/2005 - 6/2007

EnterpriseRisk Management, Cincinnati, Ohio

. Providing professional Enterprise Risk Management advisory services,

specializing in Operational & IT Risk, to Financial Institutions. Client

concentration in Large Cap US Financial Institutions.

Focus Areas:

* Enterprise Risk Management Programs

* Financial Privacy, Gramm-Leach-Bliley Act (GLBA Compliance)

* BASEL II - Program Considerations & Implementation

* Sarbanes Oxley Implementation & Reviews

* Information & Physical Security Reviews

* Change Management Process Flows & Controls (Service Delivery Life Cycle

-SDLC)

* Business Continuity / Disaster Recovery Programs

* Regulatory Examination Advisory Support

* Outside Service Provider (OSP) - Program Management - Domestic &

International

Vice President - Enterprise Risk Management

12/2003 - 4/2005

Fifth Third Bank, Cincinnati, OH

. Enterprise responsibility for directing Information Risk Governance

program for bank which included Operational & IT Risk Management, Info

Security, Change Management, Physical Security, & Outside Service

Providers. Recruited to turn-around Regulatory critique of Enterprise

Risk Management. Successful.

. Defined Business Requirements for Enterprise Strategic Risk Platform.

Successfully Implemented.

. Developed, Designed, and implemented new program for Due Diligence and

Control Environment reviews of Outside Service Providers meeting all

regulatory requirements.

. Re-engineered and implemented Strategy for monitoring Operational Losses

consistent with BASEL II

. Implemented Change Management Program - Service Delivery Life Cycle

(SDLC)

. Developed & Implemented Strategic approach for implementation and use of

the risk platform to maximize risk visibility, identification,

remediation, tracking, and reporting. The strategy includes the

following modules:

* General Control Based Self Assessment

* Key Risk Indicators (KRI's)

* Detail Risk Based Assessment/Testing (Sarbanes & FDICIA)

* Outside Service Provider Due Diligence - Domestic & International

* Internal/External Audit findings, Regulatory findings

* Integration of Operational Losses

* Scenario and Capital Allocation

Vice President, Technology Risk Manager

9/1997 - 12/2003

JP Morgan Chase, Dallas, TX

. Global responsibility for IT Control Governance program for Investor

Services Division

. Managed Risk associated with JP Morgan Chase Investor Services

applications used in the daily settlement & clearance of $1 Billion in

Securities.

. Strategic Oversight and Escalation for recovery efforts associated with

World Trade Center Tragedy - Manage financial exposure associated with

Risk.

. Strategic Contingency Planning / Disaster Recovery for JPM Investor

Services.

. Developed Security Infrastructure Architecture for 50+ Applications.

. Executed Change Management Program - Service Delivery Life Cycle (SDLC).

. Manage IT Audits of OSP's (Outside Service Providers).

. Liaison with Internal & External Auditors with full responsibility for

all SAS70's

9/1982 - 9/1997

Various Financial Institutions, Dallas, TX

. Managed Departments specializing in Banking Operations & Systems (e.g.

Commercial, R/E, & IC Loans)

. Managed Treasury Operations Dept servicing Cash Mgt Products

. Served as Licensed Broker (#7 & #63) for both Capital Markets and Retail

Investments

. IT Audit

Amberton University, Dallas, TX

. BA (GPA = 3.75 / 4.0)

Amberton University / MBA, Dallas, Texas

. MBA (GPA = 3.55 / 4.0)

Banking Information Security Privacy

BASEL International Risk Mgt Profit & Loss Mgt

Business Continuity Regulatory Compliance

Capital Markets Investments

Disaster Recovery IT Audit Risk Management

IT Risk Sarbanes Oxley - SOX

Enterprise Risk Management Security 7 & 63 (not

Entrepreneur Operational Risk current)

GLBA SDLC - Change Mgt

Operations System

Summary

Work Experience

Education

Skills

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