Project Manager Office

Earl Johnson

** **** *** ***** ******, NY *****

914-***-**** *************@*****.***

WORK EXPERIENCE

Citigroup, New York, NY

ICG Operational Control Group

Director April 2006 - June 2016

Global Head of Operation Risk and Control – Citi Private Bank Operations

Managed the Operational Risk and Control group ensuring adherence to all aspects of Citi’s Operation Risk Policy and US Regulatory guidelines

Reported and advised Operations Senior Management on Risk and Control Self Assessments, covering all key operational process’, Continuity of Business and Information Security controls

Provided Operation Management with guidance and oversight in the implementation of Fraud Management Assessments, Internal Audit Reviews and Regulatory Audits

Served as the Global Information Security Officer (GISO) for Private Bank Operations

Managed various teams (up to 20 staff members) in all aspects of Operational Risk Assessment and Reporting for the various operational product groups (Managed Accounts, Alternative Investments, Derivatives trading, Equities, and Fixed Income)

Global Head of Operational Risk and Control - Smith Barney Operations

Managed a team of 12 in the assessment of operational controls involved in the processing of fixed income and equity products across 8 million client accounts

Provided operational risk reporting for client statement reporting, tax operations, mutual funds, managed accounts, and corporate actions activities

Worked with Morgan Stanley Operations Control on the transition of Smith Barney operations to Morgan Stanley organization

North American Head of ICG Markets Risk & Control Self Assessment

Managed the conversion of all ICG Markets and Private Bank Operations from RCSA to MCA assessment model

Managed a staff of 10 (located in Delaware, Chicago, and New York) in all aspects of MCA assessments and reporting

Revitalized the control assessment model to convert 40% of manual testing controls to metric based controls

Bank of America, New York, N.Y.

Middle Office Controls

Director September 2001 – March 2006

Global Middle Office – Strategy and Change Management

Developed the Middle Office control model for non-trading and sales organizations (Origination, Structuring, Prime Brokerage and Asset Management)

Developed the Middle Office control assessment for the Global Structured Products organization, to determine where Middle Office control weaknesses were present

Global Corporate & Investment Banking (GCIB) – Quality and Productivity Business Consulting

Assisted the GCIB Trading Technologies group in establishing the project for development of a strategic trading platform for fixed income instrument processing

Documented product and system flows for the Global Credit Product functions (High Yield and High Grade Bonds) and the GCIB-wide analysis of the Bloomberg trading environment to understand trading and sales desk dependencies

Worked with GCIB Business Continuity Group in the establishment of the GCIB Business Continuity Steering Committee developing a scorecard approach to addressing Business Continuity issues vs. regulatory requirements

Technology and Operations – Project Management Group

Served as the New York project team leader for trading and sales projects for GCIB. In this capacity the following initiatives were completed:

Implementation of the EMG Mexican Peso Derivatives trading desk, Global FX Interest Rate Desk, and MBS Options Trading

Conversion of credit derivatives trades (CDS) from spreadsheets to derivative trading system to comply with Fed mandate

Implementation of the Global Commodities Power Trading Desk in New York

Capital Markets Company (CAPCO) New York, N.Y.

Managing Principal

Technical Lead – Nasdaq Japan August 1999 – September 2001

Served as lead technical consultant on the Nasdaq-Japan project. Assisted the Nasdaq organization with the technical requirements and vendor analysis for the development of a standalone exchange system for Japanese OTC equity trading

Worked in Japan with Nasdaq business and technology partners to market Nasdaq style trading with domestic and international broker/dealers

Worked with Osaka Stock Exchange on providing back office processing capabilities for Nasdaq-Japan order flow

UBS Stamford, CT

Global FX and Capital Markets

Director August 1997 – August 1999

Principal – Trade Control

Managed a team of five in the operational controls for customer and in-house futures and options trading

Managed the single currency margining requirements

Sr. Project Manager

Managed a team of 6 for the fixed Income department supporting UBS New York Operations

Managed the integration of the fixed income integration between Swiss Bank Corporation and UBS

Managed the STP integration of the bank’s government trading systems with its back office processing system.

Societe Generale New York, N.Y.

Global Investment Banking

Vice President July 1993 – July 1997

Worked with the information technology group in the installation of the NY branch transaction database, which centralized all regulatory reporting and general ledger reconciliations to a single repository. Responsible for managing all capital market product feeds and reconciling with core processing systems

Managed a team of 12 in the Treasury Control organization, for the Capital Markets trading groups. In this capacity my group was in charge of calculating market and credit risk exposures, reporting risk limit breaks to the head of trading and the corporate risk management organization

Misys New York, N.Y.

ACT Financial

Senior Business Analyst July 1992 – July 1993

Served as Client Account Manager for the following firms; Societe Generale, Bank of New York, National Bank of Australia and Hydro Quebec. Provided advice on the setup and installation of back office derivative processing and fixed income processing systems

JP Morgan Chase (formally Chemical Bank)

Derivative Operations

Assistant Vice President June 1987 – June 1992

Worked as the Senior Business analyst in the Global Foreign Exchange and Derivatives Technology group, acting as liaison with front and back office users on system requirements and specifications. Implemented the interest rate swaps and future/options systems in the bank’s Singapore Office

Worked as the lead accounting control manager for the banck MBS proprietary trading operations, responsible for daily reconciliation of pl and positions

Arthur Andersen

Division 2 – Banking and Brokerage

Senior Auditor June 1984 – June 1987

oSenior Auditor in the firm’s Financial Services Division working on international banking clients and CMO pricing

RELEVANT SKILLS

Completed Green belt and Black belt training in Six Sigma, Proficient in all MS Office applications (Excel, Work, Powerpoint, Project, Collaberate).

EDUCATION

Binghamton University, BS Accounting May 1984

Certifications

CPA, CISA

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