Chief Technology Officer

Confidential

Waxhaw, NC ***** **********@*****.*** M: 980-***-****

Profile: Senior Technology Executive

CIO / Vice President of Technology

Dedicated 18-year career identifying the business needs and issues,

defining the technology strategy and approach, building the teams and

operating models, and positioning Capital Markets & Consumer Banking

organizations for competitive growth.

Deliver Business Value By:

. Building, transforming, automating, integrating, and aligning technology

investments with evolving business and strategic goals

. Establishing effective organizational structures to support the evolving

needs of complex global, matrixed organizations

. Driving the implementation of technology solutions to support industry-

first programs and strategic business initiatives

. Recruiting, developing, motivating, retaining, and leading teams that

deliver results, savings, and competitive advantage

Core Competencies:

Business & IT Strategic Planning -Transformation, Turnaround, Automation,

Integration & Standardization Leadership

Large, Complex, High-Matrixed Program Leadership - Onshore/Offshore

Delivery Models - Service & Quality Improvement

Professional Experience

CONFIDENTIAL CORP. - Charlotte, NC 2011-Present

SENIOR VICE PRESIDENT / TECHNOLOGY EXECUTIVE - CONSUMER SEGMENTS TECHNOLOGY

ORGANIZATION

Recruited by former Lehman Brothers' CIO to turnaround failing multi-

million dollar strategic programs. Following success, promoted and given

full responsibility for the technology portfolio strategy and planning

across 4 lines of business. Provide the technical leadership to ensure the

overall financial and execution health of portfolio of initiatives valued

up to $101M. Oversee efforts of up to 130 resources, and lead technology

executives across the 13,000 person organization for the execution of

critical programs to retain, expand relationships, and grow business across

customer base.

STRATEGIC PLANNING & LEADERSHIP

. Turned around and delivered $15M Platinum Privileges program that was at

risk of being cancelled within 4 months, avoiding $10M in additional

funding. Partnered with the business and technology teams to implement

solutions to enable the launch of new reward program for high-asset

customers.

. Selected and delivered $50M at-risk program within 1.5 years.

Transformed and led the team in implementing the first-of-its-kind

Enterprise Product Data Management Platform and Global Pricing Engine to

support the bundling of products for customers.

. Key member of the Consumer Banking Technology Organization's

Transformation Committee that evaluated, recommended, and led the

development of new technology delivery and accountability models.

TECHNOLOGY & BUSINESS SOLUTIONS

. Chosen as technology executive for the launch of the industry-first

customer reward program impacting 8 million customers. Directed matrixed

organization of 13,000 resources in building capability across 104

systems and platforms to enable consumers to receive rewards across

portfolio of products and channels.

. Directed the delivery of the desktop framework that enabled new Banking

Specialists team to access all preferred customers' consumer banking and

investment data and strengthen relationships with customers.

. Drove one of the top CIO initiatives focused on optimizing the customer

engagement and creating a differentiated customer experience across the

consumer banking business by eliminating redundant platforms and

workflows.

. Assumed responsibility for managing and enhancing the Global Referral

Suite of Platforms that serve as the control hub for referrals and cross-

selling capabilities within the bank. Led the delivery of gamification

capabilities to drive non-monetary incentives for the enterprise sales

force to support CEO-roadmap to increase referrals from 1 to 3 million.

NEUBERGER BERMAN CORP. - New York, NY 2008-2011

SENIOR VICE PRESIDENT OF technology / head of front office applications &

global application services

Chosen to build out the infrastructure, establish the team, and migrate

portfolio of applications to new environment to enable Neuberger Berman to

separate from Lehman Brothers following the bankruptcy. Held responsibility

for global team of 65 in building, enhancing, and ensuring optimal uptime

of infrastructure and environments supporting core applications.

NEUBERGER BERMAN - Continued...

STRATEGIC PLANNING & LEADERSHIP

. Built the Application Services Organization within 3 months. Recruited

and led team of 30 in administering database, ETL, business

intelligence, document management, web content management, media

services, workflow management, and web server platforms for newly

separated business.

. Established the organization's 1st Mobile Application Team leveraging

existing resources. Led the development of the 1st mobile platform that

enabled portfolio managers to access critical data on mobile devices.

. Instituted enterprise application architecture standards and quality

practices that reduced defects across the software development

lifecycle.

TECHNOLOGY & BUSINESS SOLUTIONS

. Planned and led the migration of 230 applications to newly built

environment to manage $200B in assets, within budget and months ahead of

schedule, resulting in a cost avoidance of $30M.

. Drove the creation of a consolidated dashboard for all Investment

Management businesses that enhanced decision-making by providing a

centralized means for accessing trading, research, and portfolio

allocation / performance data.

LEHMAN BROTHERS CORP. - New York, NY 2003-2008

senior VICE PRESIDENT OF TECHNOLOGY - INVESTMENT MANAGEMENT FRONT OFFICE

Kept on following acquisition of Neuberger Berman and given full

responsibility for the Equity Analytics and Equity Trading Platforms,

Portfolio Management Applications, Application Architecture, Equity

Research Intranet, Private Investment Management Dashboard, and Job

Scheduling / Automation Framework servicing the Investment Management

Division. Managed geographically dispersed team of 65 in designing,

enhancing, and providing 24/7 support to critical systems.

LEADERSHIP & TECHNOLOGY SOLUTIONS

. Built the 1st successful offshore technology organization in India that

enabled organization to expand globally.

. Led the development and launch of the Equity Analytics Portal that

enabled portfolio managers for the first time to view impact of intraday

trading to the portfolio in real-time.

. Managed the integration of portfolio management application suite with

equity trading platforms that enabled portfolio managers and their teams

to process trades directly, eliminating calls to the trading desk.

. Oversaw the development and implementation of a pre-trade scenario tool

that allowed portfolio management teams to evaluate impact of potential

trades to book of investments.

NEUBERGER BERMAN CORP. - New York, NY 1999-2003

HEAD OF FRONT OFFICE PRODUCTION SERVICES

Recruited to create automated solutions to improve productivity of the

Production Services Department. Promoted to build and lead the Production

Servicing team of 3 in managing and optimizing job scheduling, batch

processing, and automation platform. Based upon success, assumed

responsibility for additional 20-25 resources and portfolio of 8

applications.

LEADERSHIP & TECHNOLOGY SOLUTIONS

. Established the centralized 24/7 batch processing and job scheduling

support team that reduced risks and improved the overall availability of

strategic data.

. Drove a major rationalization and integration of trading systems that

reduced software licensing costs.

. Designed and deployed the enterprise automation and batch processing

platform that increased competitive advantage by enabling management and

traders to access critical data 7 hours earlier.

. Granted patent for creating a drag and drop solution that addressed the

limitations of early Internet Explorer software.

. Developed a proprietary mobile batch engine that enabled the production

support team to remotely control the batch processing environment

leveraging their portable devices.

Previous experience as Independent Consultant / Senior Programmer for

clients throughout New York (1996-1999)

Education

Bachelor of Arts in Computer Science

COLLEGE UNIVERSITY OF NEW YORK, QUEENS COLLEGE (1999)

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