Joseph Pata PMP, CSM

***** ********* **

Pineville, NC 28134

adbqvv@r.postjobfree.com Cell 704-***-****

OBJECTIVE: To utilize my 25 plus years of experience in Investment and banking products Application and Business support – Stakeholder experiences, PM/PMO, Business, Technology, Risk, Compliance, Regulatory and Operations experience. The ability to execute and meet program/project deliverables, deadlines and budgets in managing multiple stakeholder roadmaps, Use cases and deliverables. Scrum Master Certified and SAFE 4 – Product Owner Product Manager certified.

KEY STRENGTHS AND SKILLSETS:

Six Sigma Expertise – Black Belt/Green Belt Certified, CSM Scrum master, SAFE 4 (POPM)

Data Management – Static and Dynamic Data

Consulting for Capital Markets Operations, Securities, Investment Services, Technology, Regulatory & Compliance, Transition/Mergers

Program / Project Management – Broker/Bank Apps

Executive Stakeholder Management

Service Delivery Manager – Multiple products

Info Tech Delivery Manager – multiple products

Managing Project Managers – Front/Back office

Managing Development Teams

Risk/Compliance Mgt and Controls (Risk tech)

Budgeting / Financial Management

Trading Floor Business Requirements and Analysis

User Acceptance Testing – Trading & Banking

Customer Experience / Customer Insights

Vendor and Contract Management – Trading Apps

Financial interfaces – Front/Middle/Back Office

Insights for Voice of Customer, Voice of Employee

Synchrony Financial – Customer Experience – Strategic Initiatives Manager – Enterprise Ops - Dec 2017 – Nov 2019 Led effort to provide Governance PMO for Customer Experience projects and initiatives (portfolio of 37 projects – for IT/Ops - Customer Care - Complaints, Payments, Fraud, Voice of Customer, Voice of Employee). Created Customer Care PMO process – and coordinated all operating rhythms for consolidated monthly status reporting and coordination of SLT Mgt review and executive leadership review.

Transformation project - Qualtrics implementation and strategy for Customer Experience Tool - for Enterprise Operations at Synchrony – POC, MVP 2018, Features and Functionality roadmap 2019 - consolidation of survey Omni channel survey tools. Led Proof of Concept and then production implementation of Qualtrics Survey tool implemented across ECE, EVV and Enterprise Ops. Project manager of all stakeholder’s - prioritization of requirements, strategy planning, Coordination of User testing & Consolidation of Survey planning. Vendor Management liaison coordination. Interfacing Digital (Eservice-Ess app/Mservice-Mss App) internal SYF applications, Ingestion applications for IVA/Moxie, Social media – Khoros/Spredfast application (Streams) interfaces and Ratings / review application interface. Transformation and prioriization of the VOC survey applications (cell phone survey) via Producing and delivering on multiple integrated roadmaps thru Nov 2019.

MIS Data Insights and Reporting Strategy and roadmap – Product Owner for all efforts of Data Insights project. Conversion of Technology Data warehouse effort to a Strategic Data Roadmap for Source systems and transformation of data (VOC/VOE/Complaints/Payments/Fraud) to a Data Lake for Insights and SAS/BI reporting. Coordination of scrum team for agile process using JIRA tool for prioritization of backlog items, identification of sprint user stories and coordination of all stakeholder prioritized requirements for dash-boarding. Product owner in technology and business to coordinate all Use Cases, EPICS, user Stories, roadmap efforts. Coordination of KPI and Insights for visual reporting via business widgets. Coordinated off sites for 6 stakeholders to design and develop required KPI / dashboards with prioritization rankings. Led multiple agile teams (Data Load, transformation, Journey and data reporting) for the POC for Data Lake reporting for SYF. Participated as PO for agile ceremonies thru Nov 2019.

Managed VAIL Project deliverable – replacing manual verbatim coding with an automated system solution to code reason and sentiment for customer insights. Planned to create reason codes for all customer experiences. Replaced and enhanced process of 4 manual coders with automated process and technology solution.

Regulatory FDIC 370 Project – Supported workstream for data files and reporting for FDIC Insurance calculations utilizing a 3rd part vendor for reporting (Axiom). Coordination of cleansing of account data files and maintenance of accounts to have the properly coded data in order to perform the correct calculations.

Letter upgrades – Updating in Synchrony voice, defined process and initiated marketing work to move from paper to digital – top 50 of 1000 letters. Impact of 2.5 million per year savings.

Citibank – PMO Consultant RMS Solutions – Tampa Fl – 3 months – Oct 2017 – Dec 2017 – Analyzed Funding, Collateral mgt Global and regulatory workstream for reporting of broker dealer project. Analyzed PMO deliverables for Phase 1 effort.

Next Gen – Dec 2015 to Oct 2017 – Program Director - Charlotte NC - Coordination of training and operations for a training facility focused on kid’s health. Sales, Management of facility, coordination of all resources and reporting. Coordination of development of franchise operations process with a third-party vendor, worked thru legal requirements, trademark documentation, registration in various states, systems conversion, design and ensure franchisee owners can operate in an efficient and streamlined manner. Developed the onboarding process, sales process and systems on salesforce, worked thru the discovery and in-house training as well as on site delivery of training. Target percentage of ownership for all franchise sales. Program management – Microsoft Project/Excel.

Bank of America – Oct 2013 thru Oct 2015 – Tech Investment Portfolio & Service Delivery Manager- Charlotte NC

Coordinated technical resources for multiple lines of business within Risk in the Balance Sheet Technology group – Corporate Treasury, Loans, Deposits, Data Management and various other Enterprise Wide Initiatives – 7 M Portfolio for the Corporate Treasury Data mart application. CTDM – Corporate Treasury Data Mart Application had interfaces from 80 plus Loans and mortgage systems within Bank of America. Supporting trading desk for Balance sheet and liquidity management projects. Blended Agile and SDLC as Bank Converted to Agile in Risk Technology.

Program Manager / Service Delivery – SDLC project management/DMAIC and DAIC methodologies. Handled all resource, training, project management, Finances, Coordination of all technical project work including day to day business as usual and initiatives with the Line of business including Enterprise Capital Mgt. Clarity/Microsoft

Technology Manager – Strategic planning and coordination of 25 technical resources, Business analysts and Developers, to support Initiatives as well as BAU daily support. Several concurrent initiatives, Including FSR – Financial Services Roadmap – Project portfolio was varied - GL Interface modifications/ adding dimensions to the GL account schema – for all BofA bank/broker dealer products, Bacardi (Credit Card data) interface and application upgrades for loans and Credit Card data, Supporting and Streamlining (80 various) Loan origination systems, mortgage Service providers, Streamlining Deposits processing and all data, Financial System Roadmap, Portfolio consolidations and strategic model for target Risk Data Aggregation across bank systems. Bank wide initiative to streamline data processing in support of Data Management Policies. Supported planning to sunset all products off of the application CTDM to execute the shutdown of legacy system – CTDM corporate treasury data mart – Consolidation of all interfaces multiple front to back end interfaces and applications. Clarity, PCM, Microsoft Products & Server, Mercury Quality Center.

Apex Systems at Bank of America – Feb 2012 thru Oct 2013 – Corporate Treasury – Balance Sheet Management - Business PMO – Charlotte NC - Coordinated the Line of Business projects for Balance Sheet Portfolio (6-7 M). Support of trading desk for Balance sheet and Corporate Treasury desk. The 2 major accomplishments for this role included the Conversion of Oracle to Netezza Database and the implementation of the Tableau report tool for the trading line of business. This was the LOB trading application project team. Worked hand and hand with front office business stakeholders

New Bold Advisors – Consulting – Aurora Bank – Dec 2011 thru Feb 2012 – PMO Consultant

Divestiture of Aurora Bank – PMO Team - Denver Colorado - Executed and Supported transition efforts in analyzing various bids for sale of the Aurora Bank firm. Role consisted of supporting analysis of Mortgage Company specifically for the Treasury Operations & funding and liquidity business sale of Aurora Bank business and assets wind down. Managed consolidated project plans, Workgroup status reporting, transition approaches and key leader updates. Microsoft project. Pulled together executive stakeholder documentation to reflect - In flight/carryover 2011, in queue projects for 2012.

Bank Of America Securities - Securities / Investments Operations - Vice President, Bank of America - Dec 2000 thru Nov 2011 – Charlotte NC - Securities America Projects – All trading floor to back office project support – DMAIC – SDLC project methodology.

Team / Process Manager for a group of 10 PM’s coordinating a portfolio of Securities America projects.

Daily functions include support of multiple projects across various Business and Operations lines: Trading products - Fixed Income Rates, Repo/Treasury/Collateral, Equities, Corporate Treasury and Loans business. This entails global trading interface support for the Americas, Europe - EMEA and Asia Pacific - across multiple legal entities. Executed projects using Project Tools including - DMAIC Six Sigma, BofA Transition (Assessment & Execution) Methodology and DMAIC Lite - SDLC (developed cliff note version of DMAIC Methodology for Execution phases) Microsoft & Clarity. Fixed income settlement and payment systems and interfaces. Supported follow the sun processing around the globe for trading and sales support. All business supporting aspects including disaster recovery.

Managed Fixed Income Global trading floor portfolio, including application functionality, process improvement and Legacy Merrill Application merging with BofA applications and projects, for Legacy Transition Applications. Analyzed assessment of environments and targeted saves. Worked with Business, Trading floor, Middle office, Compliance, Legal and Operations in support of moving Legacy trading positions to target ML Trading floor infrastructure. Supported deployments and positions moves with a business strategy, applications & plan to ADP platform. The project saved the firm 10 Million per year for closure of legacy applications and included standardization and support of over 25 trade flows for fixed income and mortgage trading securities. Global Trading Floor & settlement Initiatives - MBF SIX Sigma Black Belt, on Brokerage Fee Expense Reduction Project, in saving firm target 5 % of 500 Million Brokerage Expense. Coached multiple green belt projects including – Fixed Income contract renegotiation vendor services, Mgt Trading Brokerage Expense Reporting, & FX Process Consolidation to realize a direct annual save to firm of 4.3 m. Leveraged lean of the new FX consolidation process thru Operations Process consolidation and application improvements. Applied Lean concepts for processing validations.

Regulatory, Compliance and Industry Initiatives – including FINRA 4210 – house verse regulatory haircuts and collateral from Fixed Income initiatives for trading applications to back end systems, Global Locked and Toxic – Identification and trade blocking of securities that are toxic or Locked across all business lines. In process of supporting OCC and Federal Survey Reporting project, to deliver TIC SLT/SHLA/SHCA Reporting per the new Industry guidelines.

Enterprise Information Data Management – Centralized Data Warehouse - Transition Projects Portfolio Management – User Acceptance testing for 112 projects for transitions.

DWH - Transition Initiatives - Lasalle (6 m) Loans data, Country Wide (16 m) Mortgage data, Merrill (20 m) Trading Securities- Assessment Team Lead analyzing transition business and effect on Enterprise Warehouse, Enterprise Reporting, Analyzed Service Provider projects, Infrastructure in support of all BofA business Lines. Coordinated for multiple departments - all Management reporting of all UAT Transition TPO & PMO deliverables (112 UAT projects) .

Global Corporate Investment Banking (GCIB) back end interfaces and trading data. Project/Integration Manager for all work-streams during the Assessment phase of transition. Coordinated resources, financials, project plans, project status and PMO functions for Enterprise Information Management organization. Strategically worked thru target platforms, best of breed applications and aligned the centralized data warehouse initiatives. Coordinated data warehouse team to meet all project deliverables for data feeds.

Marketing and Enterprise Compliance Technology (Risk Technology Management) - Clarity/Project

Project Manager responsible for a multi-generational strategic initiative (20m) (Only Compliance Tech project to have zero findings on project audit – won a CELA award at Bank Of America) in support of Loans, Investments and services utilizing the DMAIC phases/process for the Community Reinvestment and development projects. Various projects (CRA HMDA reporting & Assessment Valuations, CDS Community Development and Fair Lending Compliance) included tactical and strategic planning – Multi Generational plan.

Implemented an Application – Audit Assessment functionality for Data Quality, replaced outdated technology application – Audit finding to sunset application. Implemented a Data Quality Proof of Concept for metrics reporting on Data Quality, based on metrics for financial value of poor data, applying cost of reporting rework. Ability to do self-audit on processes.

Global Corporate Investment Banking - Data Management - Supported portfolios for front and middle office static data for interfacing trading applications – Security, Customer and account information.

Dual responsibilities within the GCIB Data Management Technology organization: Director of Project Management for Securities/Entity Programs & Projects responsible for delivery & management updates, management of the PMO team and data services within GCIB Data Mgt. Director of Technology Business Management responsible for all governing processes of the technology group, including finance/budgets, recruiting/staffing, communications, process model, vendor management, and operating BAU process and settlement environments. Coordinated programs highlights include:

Responsible for all financial management of $29 million portfolio budget. Forecast, PCM, Budgeting, Project Initiative and BAU Budgeting, (June 2005 – thru Feb 2006). Managed Multiple Project Implementations – Static Data Project Portfolio for Securities processing - Instrument (Securities) & Entity (Account) programs (25 m annual) including securities New accounts, AML data interfaces as part of new account flow, for transactional and reference data projects across Global Investment Banking.

Managed Internal Audit and preparation for OCC Audit. Coordination of Audit status to GCIB Management – Level 1 audit which reported updates to CEO Level. Prepared documentation, backtracked all projects (24) in the program (3 programs) in the portfolio. Produced and delivered the remediation plans to satisfy the OCC findings. DMAIC, Clarity and Microsoft project.

GSO Operations – Securities America Project Manager– Microsoft Project, Clarity

Global Investment Delivery Model Conversion –Accounts and Securities - Part of project team to implement Global Delivery Platform to standardize back office processing across ADP (ICI/BPS) platforms. Responsibilities included Front end Interfaces to real time feeds to ADP platform for multiple products (Bloomberg (multiple Products Fixed income & mortgage trading), Dalcomp (Muni’s), ARTS (Finance Front End Trading), New Account application (NEWS) – AML requirements– Sales/trading liaison – Team Lead for Accounts processing & Securities Master project team lead, and Downstream Reporting. Front office support to multiple trading and sales personnel.

Application Support of Fixed Income High yield/High grade Business partners – including leading various front office requirements – Non-Dollar trading business, Loantrac implementation, Consolidated Data Repository Fixed Income MIS, Trade Flow Mgr (supported over 50 trade flows by products) and Bloomberg Interfaces. Non-Dollar project included supporting multiple currencies in the BAS Fixed Income Application Trading environment, utilizing Bloomberg, Dalcomp, Sunguard Phase 3, ICI ADP, BPS ADP, CDR – Consolidated Data Repository, and disaster recovery.

First Union Securities Inc. – March 1998 thru Nov 2000 – Section 20 Program/Project Mgt – Charlotte NC

Business Development Manager/Project Manager: Managed a team of business analysts across multiple business lines (Section 20.Balance Sheet/Portfolio Ops) Including: Securities, Fixed Income, Equities, Funding, Money Funds, Portfolio assets/Liabilities. Specific responsibilities included: project planning business and user specifications, trade processing flows, UAT, vendor management, conversions and mergers. Support Sungard Phase 3 application, Sungard Bolt application. Settlement and payment operations. SDLC methodology.

Barclays Bank – BZW – Barclays Capital – Jun 1997 thru March 1998 – PMO Mgr - New York, New York

PMO Lead - supported multiple lines of business units, (Securities, Derivatives/Foreign Exchange) systems and project requirements. Responsibilities included: Managing a staff of business analysts, reviewing new products and business strategies with Director of North America Operations to support business initiatives. Global FX Centralization. Supported ICI / FIST application. Support ICI/ADP Fixed Income interfaces and settlement/payment systems.

Swiss Bank Corporation Investment Banking (GSI)– Sept 1987 thru Jun 1997 – Tech Director - New York, New York

Front to Back office Application, infrastructure and trading products, processing, interfaces real time and settlement processes. Directed technology for the LOB activities of 2 major sectors in Swiss Bank Corp. (GSI – Government Securities Inc, TCMO – Treasury Capital Markets Operations – Fixed income & Mortgage securities trading). Managed a staff of 25 people – Director of Broker Dealer technology department. Supported Primary Dealership application process from technology. Planned and moved data center from 1 WTC to 222 Broadway. Participated in strategic planning of all technology aspects of trading floor Applications for the Government Securities Broker Dealer. Supported front office ReadQ, Arts, Horizon applications all Fixed income Applications. Settlement and payment services for all products. Met all requirements of Fed Reserve for technology and application support of front to back office processing and Disaster recovery team.

Prior Experience: Bankers Trust – Private Banking – Business Analyst/Programmer - NY, NY

DigiCorp Inc – Programmer Analyst – Customer Service – NY, NY

Education: MBA - Management Information Systems – Pace University – 1994

BS - Computer Science – St. Johns University –

Six Sigma Green Belt / Black Belt Certified

PMP Certified

Scrum Master Certified

SAFe 4 Product Owner Program Manager

Community Service / Board Affiliations:

Metrolina PMI – Community Engagement Liaison

Park & Recreation Commissioner – Mecklenburg County – 2006-2014

Athletic Advisory Council – Charlotte Mecklenburg County – 2001 – 2014

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