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Project Manager Management

Location:
Monmouth County, NJ
Posted:
May 22, 2017

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Resume:

LAWRENCE J. BREY, MBA, CISA

732-***-****

ac0fu9@r.postjobfree.com

PROFESSIONAL PROFILE: Lawrence Brey

Extensive financial services industry experience providing Operations and Technology management leadership to major financial institutions including: Bank of America and UBS. Significant Operational and Technology Control programs and process efficiencies and improvements by utilizing executive management abilities; business analysis and project management skills to successfully achieve cost saving automation, improved risk management and highly standardized operational control across multiple business lines in support of enterprise wide initiatives. Skilled in budgeting, project planning, IT Controls and mitigating risks. Proven ability to manage in dynamic environments. Experienced in creating and leading teams from multiple disciplines and creating vision, strategies and plans in midst of rapid growth and change. Particular expertise in:

●Project Management

●Business Analysis

●Business Requirements

●IT Risk Management

●Business Continuity Planning

●Vendor Risk Assessments

●Outsourcing

●Financial Planning & Analysis

●IHC CCAR IT Controls

●Six Sigma Black Belt

●Training

●AML Compliance

●FATCA Compliance

●Volcker Compliance

IT Audit Management

PROFESSIONAL EXPERIENCE

Steven Douglas Associates New York, NY October 2015 - Present

Director - Senior Project Manager IHC CCAR IT Controls

●Services provided for a Key Swiss Bank Client:

oLead the IHC CCAR IT Controls work-stream including: Reporting IHC IT Controls status to the IHC Operating and Steering Committees and business streams;

oManage the Quarterly IHC IT FRY9C attestation for the IHC CIO and CFO;

oManage the IT Controls testing team located in Pune IN and NYC;

oCreate and maintain the IHC IT Controls Framework;

oScope the IT applications and interfaces to be tested;

oCreate and maintain MS Projects with key milestones; and

oCreate and maintain the IHC IT Controls project budget and forecast

Sia Partners, New York, NY May 2014 - October 2015

Senior Manager IT Risk and Compliance

●Services provided for Key Clients including 2 Indian Banks, 2 French Banks and 1 Chinese Bank:

oCybersecurity Assessment - Project Manager for cybersecurity risk assessment which included a gap analysis of the current state of Cybersecurity controls to FFIEC, NIST, NYSDFS and CSC control standards and a list of prioritized risk rated issues with remediation plans and a Cybersecurity policy.

oIHC CCAR IT Risk Control Assessments-Project Manager for 2 engagements for key clients. The assessments included a combination of application and interface IT Risk Assessments using key controls based on FFIEC COBIT and NIST Control Standards.

oOperational Risk Management Department set-up - Project Manager roles included planning and managing staff to conduct an Operational Risk Control Self-Assessment questionnaire, an Operational Risk Event form, an Operational Risk report and a Policy to manage the program.

oEnterprise-wide BCP - Consolidate multiple department BCP plans, BIA reports and Disaster scenarios into one Enterprise wide BCP Plan to FFIEC standards.

oPenetration Testing – Perform a Nexus scan and provide management reporting with vulnerabilities and remediation plans.

oAnti-Money Laundering Look Back - Review clients for KYC and AML issues.

oIT Risk Assessment and Audit Issue Remediation - Assess critical applications using FFIEC and COBIT standards, and update IT Security policies for a major international bank.

oIT Security Awareness Training- Develop and deliver IT Security awareness training to end users.

oFATCA Assessment and Remediation - Project Manager to assess compliance with IRS FATCA guidelines and provide remediation plans.

UBS, New York, NY March 2007- May 2014

Director - Information Technology Risk Manager

●Perform Business analysis and Project Management for implementation of

SAP Enterprise Risk Management system Audit and Risk Management modules for UBS Global Asset Management and Wealth Management Americas.

●Developed and maintained Self-Identified Issue Reports for Global Asset Management and Wealth Management Americas Technology.

●Performed Vendor IT Risk Assessments for new and existing vendor engagements. This included review of the SSAE16 or other 3rd party reports, on-site reviews, interviews of key personnel, data center reviews and reviews of policies and procedures.

●Create Business Impact Analysis (BIA), Disaster Recovery Plan (DRP), Calling Tree, Updated Calling Tree system and created System Recovery Plan (SRP).

●Produced Pre/Post Implementation IT Risk assessments for Key Projects.

●Managed quarterly Internal Control Assessment Program for Global Asset Management and Wealth Management Americas Critical and SOX Applications.

●Liaison with Internal/External Auditors on Global IT related issues and IT Audits.

●Developed and implemented UBS wide e-Risk Symposiums to provide a forum to disseminate risk information to technologists across UBS.

●Implemented a division-wide heat map for senior management to perform Top-Down Assessments.

●Manage Secure Code Scanning for key applications.

●Managed and coordinated Technology Outsourcing & Off-Shoring engagements.

●Provided post-mortems to key stakeholders.

●Managed access control program and implemented automated joiner, mover leaver program.

●Created annual Computer Based Training courses for all Global AM Technologists via internal training systems.

●Increased standardization through enforcement of Project Lifecycle policy to ensure new projects and/or applications are compliant with UBS IT Control Standards.

●Chaired Global Asset Management IT Risk & Security Board.

Bank of America, New York, NY March 2000- March 2007

Credit Derivatives Middle Office

Operational Risk Manager/Business Manager 2006-2007

Technology Finance (FP&A) Manager 2000-2006

●Ensured accurate and timely monthly reporting of the Balanced Scorecard, Key Performance Indicators, Status of Key Projects, Self-Identified Issues, Headcount, Volumes, Expense analysis, Monthly Highlights and Risk reporting.

●Six Sigma Program: Certified Greenbelt. Discovered defects in the Market Data Services process totaling $622,723.

●Implemented a Business Continuity Plan and coordinated site testing for twelve Structured Credit Middle Office Operation areas.

●Provided information to senior management and internal audit, for SOX reporting, including System Access, Operational errors, Self Identified Issues, Self Assessment, Call Tree updates and Continuity of Business awareness.

●Developed 2004- 2005 Middle Office Operations Plan from preliminary process through Front Office and Finance approval.

●Developed and administered reporting of key IT projects for Prime Brokerage technology, budget, headcount, and metrics for key stakeholders.

●Implemented an Activity Based Cost Model in 2005 and its conversion to a Cost per Trade model in 2006 to understand and allocate costs by function.

●Developed 2001- 2004 Technology Plan from preliminary process through executive approval of CIO, CFO, COO and Vice Chair.

●Ensured accurate and timely monthly reporting to Fleet Boston Financial on Operational Metrics, Status of Key Projects, Headcount and Expense analysis.

●Provided end to end financial support of Technology expense needed for September 11, 2001, including:

oDevelopment of an emergency financial plan for Disaster Recovery expense at COMDISCO.

oProposed write-offs of equipment at former Data center / and items eligible for Insurance claim with complete back-up material.

oProvided financial information for negotiations of purchase of new hardware and software for use at Disaster Recovery facility and new Data Center.

●Founding member of Efficiency committee tasked with reducing costs and putting controls in place with Executive Vice President.

●Responsible for final approval on Information Technology Services purchase requisitions and payments prior to Purchasing and Accounts Payable Departments respectively.

●Led group to inventory and tag all assets at Data Centers, the team then reconciled tagged inventory versus the Fixed Asset Balance Sheet write-off assets no longer in use.

●Managed a staff of accountants responsible for allocation and payment of Voice, Data and Market Data Service invoices.

●Directed financial analysts responsible for managing costs of budget billings to Fleet subsidiaries and billing to correspondents.

EDUCATION St. John's University, New York

M.B.A. Executive Management

Six Sigma: Black-belt

CISA: Certified Information Systems Auditor

PROJECTS:

Create eRisk Program - Build awareness of Technology controls for Technologists via in-person international training sessions, newsletters, wallet cards and video links.

Operational Risk Management set-up- Project Manage self-assessment process, creation of OR policy, reporting and metrics

Segregation of Duties mitigation program - Remove 499 instances of Developer access to Production.

Anti-Money Laundering Look Back - Project Management and reporting

IT Risk Assessment and Audit Issue Remediation - Perform an IT Risk Assessment and IT Security Assessment on key applications and close IT Audit Issues.

IT Security Awareness Training- Develop and present training to key client staff and management for annual requirement.

FATCA Assessment – Project Management and reporting of FATCA assessment for key client.

Manage Windows and UNIX patches - Implement 263 patching requests.

Cybersecurity Risk Assessment- Leveraging FFIEC booklets and NIST standards

IHC CCAR IT Controls Review- Project Manager for 12 person team to assess IT Risk Controls for IHC and CCAR

Certify and tag Technology Asset Inventory

Roll-out “Release Now” Change Management system

Perform 750 First Cut IT Risk Assessments.

Transition 300 applications to a centrally managed Access System

Manage outsourcing of 32 Development roles to offshore vendor.

Create an Enterprise wide Business Continuity Plan from 70 separate plans.

Created a vendor risk assessment dashboard.

Project Manage IT Controls Testing for IHC/CCAR



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