FRANK VIZZINI

* ***** *****, *********, *** York 11767

631-***-****

ac9xim@r.postjobfree.com

SUMMARY

Experienced financial service professional, I’ve worked at industry leading financial intuitions supporting control programs and trade processes and looking for an opportunity that will leverage my skill set. In past positions I’ve demonstrated proficiency in communication, leadership and resource management as I was assigned in prior roles responsibilities around managing and supervising employees. Specialized knowledge base on the following topics: Broker-dealer processes, industry regulations, Vendor Risk Management, and Technology Risk & Control.

AREAS OF EXPERTISE

Operational Risk

Trade Execution and Settlement

Client Services

Operational Clearance

Relationship Management

Buy-In Execution

Risk Management

Regulatory Reporting

Office Management

Project Management

Information Risk and Security

Audit

PROFESSIONAL EXPERIENCE

Lowes & Co-New York, NY 5/18-Present

Associate II – Internet Sales/Product Support Department

•Responsible for creation of written procedures and training of staff.

•Gap analysis of new system interface update.

•Prepare weekly accountability report of breaks created by the Internet Sales Department inventory system.

•Attend weekly brainstorming management meetings with senior management.

J.P. Morgan Chase & Co-New York, NY 10/16-3/18

Vice President Project Manager – Chase Wealth Management Division

•Responsible for governance to manage and respond to Department of Labor compliance requirements guidance.

•Oversaw preparations for upcoming Department of Labor (DOL) Conflict of Interest (COI) rule implementation.

•Introduced system entitlement tool as well as rule set to support segregations of duties across three lines of business for the newly created DOL COI compliant self-directed investing desk.

•Provided updates regularly to the Client Wealth Management (CWM) Governance Committees on the progress of compliance to Department of Labor.

•Spearhead Mutual Fund Class offering project for preparation of fiduciary responsibilities for compliance and oversight.

•Chaired CWM project weekly meetings, communicate and manage resources and priorities.

•Prepared CWM departments for internal and external audit exams, leveraged strong partnership with teams to provide guidance and proper responses.

•Trained junior staff on best industry practices and business processes, was a point of escalation when young staff members struggled or faced resistance on an assignment.

•Leveraged past experiences and finra knowledge to develop proper control design and implementation within the bank.

J.P. Morgan Chase & Co-Brooklyn, NY 11/14-09/16

Control Officer – IT Risk and Security Management Division

•Ensured the Global Information Technology Risk Security Management (ITRSM) agenda progressed and met the business needs among all the regions within the firm.

•Responsible for managing the regional IT Risk and Security Risk practices on internal and vendor tools.

•Ensured systems meet the compliance standards set by IT Risk, Security Policies, and Standards.

•Provided oversight of compliance with relevant regulatory and legal requirements as they relate to IT Risk and Security.

•Conducted assessments annually of existing and new systems implemented with the firm.

•Monitored and reported risk and compliance action plans in monthly metrics to senior management.

•Chaired regional IT Risk meetings of Application Risk Assessment (ARC) and Application Control Assessment (ACA) reviews with Technology Control Officer (TCO) to report status and escalate identified concerns from findings.

•Facilitated the execution of both global and regional IT Risk and Security Strategic initiatives and projects.

•Worked across (EUS) End User Services, assisted in developing and maintaining the risk posture with input from lines of business.

•Conducted training session with department and system representatives within the firm.

•Promoted and improved awareness and communication around key security threats, risk posture, IT Risk & Security Management policies and the strategic initiatives.

•Leverage best practices like ISO, NIST, and Cobit for control design and oversight.

Citigroup Global Markets-New York, NY

Vice President Project Manager – Change Management Department, Operations Divisions 12/12-02/14

•Independently documented process requirements and activities for the transition that crossed multiple systems and impacted multiple stake-holders.

•Partnered with Technology Development/Application Managers, Technical Architects and Quality Assurance Managers to ensure effective cross-project communication and issue resolution management.

•Created, assigned, and communicated project plans to responsible parties, monitored progress to provide status update to senior management for weekly progress meetings.

•Organized, developed, and conducted end user testing for implementation of a new operation platform to identify any issues or processing limitations that can lead operational risk.

•Traveled to cost saving location to conduct hands on training and onsite support to help regional support team transitions.

•Kept senior management informed throughout the entire project transition along with providing oversight of daily Buy-In activity.

•Aligned bank policy requirements with regulatory rules to show the firm would be acting in compliance with guidance communicated to firm, this was also part of the BRDs developed for system automation.

•Executed a successful relocation and migration of operation functions project to support cost reduction initiatives.

Citigroup Global Markets-New York, NY

Vice President Global Head – Buy-In Department, Operations Divisions 11/02-12/12

•Managed the Buy-In department of 22 employees involved in the daily execution and settlement process.

•Established new compliance procedures and system enhancements to ensure all Buy-Ins are executed to abide to regulatory requirements.

•Presented and compiled weekly and monthly metrics for Senior Management to add transparency to, capital charges, firm positon exposure, and productivity reports.

•Designed procedure manual for NYSE regulatory extension filing to ensure 100% compliance.

•Had direct interaction and contact with FINRA, SEC, and external audits during reviews.

•Represented Citigroup at arbitration hearings if dispute occurred with other Broker/ Dealers.

•Implemented SEC internal system solution in response to mandate 204 CNS Buy-In Short Sale Regulation.

•Monitored regulatory updates to ensure compliance with Broker-Dealer, SEC rules FINRA regulatory rules.

Citigroup Global Markets-New York, NY

Salomon Smith Barney, New York, NY

Assistant Vice President – Buy-In Department, Operations Divisions 9/87-11/02

•Supervised 15 employees in the Buy-In department responsible for daily execution and processing.

•Interacted with the business and external brokers on escalation and high risk Buy-Ins.

•Represented the firm at industry wide events among peers at events and conferences.

•Minimized capital charges through the aggressive resolution of fails.

•Produced weekly and monthly reports for senior management.

•Documented and developed procedure manuals for Buy-In functions.

•Established and maintained Business Continuity requirements, function was part of disaster recovery exercises as the process were critical to be maintained during crisis.

•Supported migration of Salomon Smith Barney entity into Citigroup.

EDUCATION

SUNY Farmingdale, Farmingdale New York, Degree in Applied Science.

LICENSE AND CERTIFICATIONS

Series 7 (Expired - CRD 1174401)

Series 99 (Expired- CRD 1174401)

TECHNICAL EXPERTISE

Computer Skills: Excel, PowerPoint, Word, Outlook, Share Point.

Industry Platforms: Mainframes-(DTC) Depository Trust Company, Bloomberg

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