Manager Marketing

John E. Barris

Address: ** ***** **** **., *********, MA 01748 Phone: 508-***-**** Email: adb370@r.postjobfree.com Linkedin: https://www.linkedin.com/in/johnbarris/

Performance Summary

Innovative and Creative Program Management / Operations Leader in the banking, finance, and technology industries with experience in large and small corporate banking organizations. A results-oriented, problem solving, proven financial risk, operations, and strategic leader having managed multiple program implementations and framework designs. A capable mentor and manager, having a track record in multiple organizations, attracting, recruiting, and mentoring teams of up to 25 and establishing the infrastructure that has repeatedly accelerated performance and led to value growth. Widely considered a key strategic player and subject matter expert in financial frameworks, risk, operational designs, and program management, and regularly called upon by stakeholders to provide thought leadership in the creation, development, and implementation of mission-critical initiatives. Comfortable in high pressure environments, working with Board members, banking and finance regulators, facilitating senior discussion, and great interpersonal skills.

Areas of Expertise

Program & Project Mgmt.

Big Data/Analytics/BI

Financial Transformation

Change Management

Building Teams

Quantitative Analysis

GAAP & SEC Req.

Cost Control

Profitability & Optimization

Staff Leadership

Risk Tolerance & Mitigation

Mentoring and Training

Operational Risk

Strategic Planning

Working with Regulators

Regulatory Compliance

Experience & Achievement Details

Delphi Management Consulting (Previously Exequor, Group, Financial Services Practice) Boston, MA 2016 – present

A Financial Services and Risk Management consulting company.

Managing Director Financial Services / Principal

Provide strategic advisory services related to Treasury, Risk Management, IT, and Operations for Banking and Financial Services such as establishing risk management, operational procedures, and compliance & controls best practices.

Compliance / Regulatory / Risk Management & Mitigation / Program Management: Lack of a sound Risk Management framework led to a Federal Regulatory Matter Requiring Attention for a major client. Recruited by the CRO to lead the program resolution. Identified issues, developed a plan, hired and trained internal/external team members, established artifacts and proper procedural controls, implemented sound MRM framework and repositioned governance. The efforts established an effective ERM process, resolved the MRA, and improved the FRB relationship.

Building Teams / Operational Risk / Mentoring and Training / Risk Tolerance & Mitigation: Led the program and development of revamp of all internal Policies and policy governance, Program and project leadership for implementation of 16-11 banking program, including training and mentoring of Board members and 1st/2nd lines. Identification of GRC key risk indicators and establishment of internal senior management reporting, DFAST/CECL program leadership, stress testing design, operation risk and control identification procedures, and assisting with audit assessments.

Deloitte Advisory, Boston, MA 2016 – 2016

A $37B professional service company with 244,000 employees.

Senior Manager/ Specialists Leader

$2M Revenue Goal and 20 direct employees. Responsible for Capital/CCAR/DFAST, providing strategic and execution leadership for large external banking clients.

Staff Leadership / Mentoring and Training/ Quantitative Analysis: Challenged to manage and educate 20 junior analysts to produce Model Validations. Developed the framework and plan, selected teams for testing and analytical duties. Edited and drafted the Model Validation documents for credit and operational risk models. Because of this effort, Model Validations were delivered on-time with high standards for quality. This diligence won high praise from the client and gained their respect for quality, which led to additional Model Validations.

Santander US, Boston, MA 2013 – 2015

A $90B (assets) consumer and commercial banking organization with 10,000 employees.

Senior Vice President/Director of Capital Planning

$20M CAPEX and 30 employees with 5 direct. Responsible for capital planning process implementation.

Program Leadership / Working with Regulators: Tasked by the Board with building and leading a Capital Planning team and developing a sustained process to deliver a Comprehensive Capital Analysis and Review, while mitigating FRB MRAs. Over 18 months, created a plan, engaged/hired a team (~100 people enterprise-wide), built reporting processes and created a platform for capital computations. Built a risk weighted assets process, developed enterprise risk capital policies, and a process for enterprise wide risk assessments. Met with regulators weekly to ensure efforts were meeting FRB expectations. These efforts educated the Board on capital planning and the regulators approved the direction.

Strategic Planning / Project Leadership: Commissioned by the Treasurer to develop procedures for creating internal scenarios for use in the CCAR capital process. Within 60 days, developed the plan, worked with business lines, Risk Identification groups and CRO to alter their risk ID process to be consistent with best practices and standards, and briefed and trained the BOD on the Risk ID/Scenario development. This process was successfully implemented, and the BOD made this an annual process as it successfully met all FRB expectations.

Big Data / Capital Planning / Risk Tolerance and Mitigation: The company had misaligned capital planning and regulatory reporting across multiple areas due to data lags and inconsistencies. Developed a capital planning reporting framework and monitoring program that encompassed risk, regulatory, BOD, and executive management needs. Instilled proper data reconciliations, and CCAR processes. This provided the structure that ensured all capital planning and regulatory issues were prevented and met FRB and banking best practices.

John E. Barris • Page 2

State Street Bank, Boston, MA 2011 – 2013

A $3T (assets) investment management company with 35,000 employees.

Vice President/Director of ICAAP Reporting

$3.5M CAPEX and 8 employees with 6 direct. Responsible for the delivery of the CCAR financials and authoring the company’s Capital Plan.

Regulatory Compliance / GAAP & SEC Req: Recruited by the Head of Capital Panning to create a CCAR process and to win approval for all capital actions. Identified and recruited internal and external teams, authored the Capital Plan, and built related processes. Recommended all capital actions to the Board and any necessary debt instruments needed. Worked in conjunction with CFO for FRB submission and SEC compliance. In 90 days, received a “pass without objections” from the FRB and several MRA’s were lifted, enabling the company to maximize dividend payments to shareholders. This capital plan was recognized by regulators as one of the best seen to date.

Profitability & Optimization / Strategic Planning: Recruited and called upon by the Head of Capital Planning to build pricing and profitability framework for Economic and regulatory capital, and to deliver an accurate compensation strategy. Developed a framework, built a plan and worked in tandem with leadership to map the profitability framework: produced the financial modeling, determined capital allocations, quantified fixed and variable costs, and developed an intranet platform to deliver a pricing calculator. Additionally, worked with both 1st and 2nd lines to train and develop operating procedures. Within a year, business lines were focused on product pricing, and profitability, while ensuring regulatory adherence.

Citizens Bank, Providence, RI 2007 – 2010

Financial services firms in the United States ($150B Assets, $4B revenue, and 10,000 employees), offering retail and commercial banking products and services to individuals, small businesses, middle-market companies, large corporations and institutions.

SVP/Director, Quantitative Analysis/Methodologies

Responsible for 25 employees, consultants and project staffs, leading development and implementation of Economic Capital, Basel 2 AIRB Risk Weighted Assets calculations for Regulatory Capital, methodologies and processes for stress testing.

Regulatory Compliance / Program Leader / Change Management: After release of new regulatory standards, given a $5M budget and charged by the CFO & Director of Capital to provide leadership and serve as SME, to build and implement a repeatable process for Basel 2 Risk Weight Asset Calculation across all retail and commercial loan products, for Economic Capital calculation, and stress testing. Recruited team members, hired vendors, managed delivery, budget, proposals, testing, reporting, built models, and worked with regulators. Led development of RM process, data feeds, reconciliations, regulatory knowledge, and product depth. Achieved deliverables within 2 years, in time to meet regulatory change.

Profitability & Optimization / Cost Control / Big Data/Analytics/BI: Called upon to build of a framework and process to better understand products costs for correct pricing and maximum growth and profitability. Worked with big data and reconciliations, developed economic capital, risk, and deposit allocation models, delivered pricing/profitability with user input, and built out the process within 18 months on a $3M budget. This increased BOD understanding of risk-based pricing for profitability and efficient use of capital. This led to a promotion to Sr. Vice President because of this success.

Regulatory Compliance / Financial Transformation: Recruited by the Treasurer and given 90 days to implement a process to estimate fair value of financial instruments for assets and liabilities. Over 60 days, led the team to create and implement a repeatable process, testing and methodology. This instituted the ability to produce FAS-107 results for the financial 10k statement. This process was declared best practice by Sr. Leadership.

Wellington Management/Starpoint Solutions, Boston, MA 2005 – 2007

Senior Consultant

Responsible for business analysis for the quantitative platform and participated in the migration to the new C# platform.

Big Data/Analytics/BI: Conducted business analysis for the quantitative platform used by the International Equities team. Consulted and assisted in the migration of the international equities quantitative system to the new C# platform. Directly contributed to the quantitative system migration design, development, testing, and implementation, as well as requirements and reporting documentation. Achieved deliverables within the allotted timeframe for internal changeover.

Earlier Career

Included positions as Consultant to the Deputy Minister of Order Greece, Financial Consultant at Putnam Securities, VP/Portfolio Manager at Fleet Investment Advisors, Marketing Manager at CP Clare Corporation, and Marketing Analyst at AVX Corporation.

Additional Skills

Advanced MS Office skills, Visio, MS Project, Salesforce, familiarity with Tier 1 ERP systems, VBA, R, C#, SAS, SAS MRM, GRC systems, Agile and Waterfall methodologies, Oracle and Market QA, GAAP and SEC reporting

Education

University of South Carolina - Columbia, SC

Master of Business Administration (MBA), Major: Finance

Cornell University – Ithaca, NY

Bachelor of Science (BS), Major: Electrical Engineering, Minor: Mechanical Engineering

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