Scrum Master Project Management

Peter S. Fortunato

**** **** ****** ********, ** 11228 917-***-****

********@*****.*** https://www.linkedin.com/in/peter-fortunato-67b226100/

Compliance Officer / Certified Operations Professional

Developing Framework, Processes & Procedures for Generation of Efficient Management Information Reporting

Financial Services specialist with extensive expertise in developing, educating, implementing, and documenting the framework, processes, and systems for the generation of efficient management information reporting by cross functional stakeholders. with the ultimate goal of enabling and optimizing self–service reporting which drives critical senior management decision making. Adept at advising, facilitating, and influencing decisions to safeguard against Operational and Reputational Risk. Certified Scrum Master with project/product Issues Management experience utilizing agile methodology/mindset and Gantt Charts. Background in written supervisory procedures (WSP), standard operating procedures (SOP), business requirements documents (BRD), service level agreements (SLA), creation and presentation of decks, user guides, Know Your Client (KYC), anti-money laundering(AML), Gifts & Entertainment requests, and business continuity plans. Client-driven and deadline-oriented with solid root cause analysis, UAT testing/reconciliation, and quantitative skills accompanied by exceptional work ethic. Collaborate with cross functions teams and vendors to deliver best practice Capital Markets Regulatory Reporting for clients and controls management under Basel 239 rules. Interact with internal and external auditors to define and follow risk and Control Room compliance guidelines (SEC Rule 206(4)-7). Strong knowledge of Insurance Suitability and Best Practices (Reg187), Generally Accepted Accounting Principles (GAAP), Global Investment Performance Standards (GIPS), 1940 Acts, Dodd Frank Act, Sarbanes-Oxley (SOX) Customer Protection Rule (15c3-3), Volker Rules, Suspicious Activity Reports (SARs), Patriot Act, material non-public information, Personal Identifiable Information (PII), Sanctions, Bank Secrecy Act, Code of Ethics.

Professional Experience

PRUDENTIAL FINANCIAL, Newark, NJ

Compliance Manager – Data Analytics and Insights, US Retail Advice and Solutions 12/2019 to 1/2025) ( global restructure)

Managed the evolution and employment of Tableau dashboards for Compliance Testing Program by applying Agile methodology/mindset, risk-based thinking, and Tableau visualization tools to train and foster a self-serve data governance driven culture. Partner with cross function business units to facilitate, assess, develop, and enhance Issues Management monitoring, testing, trending, and evaluation against regulatory requirements, processes, policies and procedures by ensuring adequate controls in place.

Created a flexible, comprehensive reporting process for Cross Functional Compliance teams on topics which are considered high-risk and installing a foundation of trust through data. Socialize new products and dashboards through the creation of User Guides and WebEx/Skype/Microsoft Teams training sessions to drive transformation and risk awareness throughout Prudential.

Led the effort to create a library of workbooks and dashboards utilized in monthly Issues Management reporting/monitoring of Third Party Vendor Transactions for Life Insurance and Annuities products/replacements/Reg187, National Financial Services (NFS) accounts/positions, Code of Ethics & Conflicts of Interest, Complaints, HR data training/development by interviewing SME's, documenting feedback, performing UAT testing/reconciliation and implementing automated processes and training thus cutting reporting time by 70% from manual procedures as well as overtime costs estimated at $120,000 annually. Dashboards utilized in annual Compliance Risk Management Plan (CRMP) and Risk and Control Self-Assessment (RCSA) testing.

Served as Product Owner for an Agile Team responsible for developing data governance analytics and Tableau dashboard tools for Compliance testing, monitoring, and reporting of Control Room functions including Late U4 Filings, Insider Trading, MNPI, PII, Conflicts of Interest, Restricted List and Watch List.

Participated in annual Compliance Risk Management Program (CRMP) and Risk and Control Self-Assessment (RCSA) for G&E and mandatory employee training by testing, identifying issues, making recommendations for remediation, and reporting the results enabling smart risk oversight and business growth.

BARCLAYS, New York, NY

Vice President/ Manager, Global Compliance Management Reporting 5/2016 to 11/2018 (released due to global restructure)

Maintained relationships between Functions Compliance, Product Compliance, and GCMR reporting team. Conducted oral presentation of monthly MI utilizing self-designed PowerPoint decks, containing Key Control Indicators (KCI's) and Key Risk Indicators (KRI's) with global methodology, to Board-level global audience for identification, challenge, risk/red flag awareness, connect-the-dots analysis, conflict of interest and strategic advice, thus implementing Compliance as a Risk Management function. Utilized Agile methodology to record, maintain, assess, and track individual and team BAU and project tasks. Examine operation of Risk and Control Self-Assessment ("RCSA") processes and employee system entitlement reviews.

Implemented effective risk aggregation and risk reporting in accordance with Basel Committee on Banking Supervision 239 (BCBS239), ensuring alignment to Capital Markets Regulatory Reporting resulting in no fines or warnings from regulators.

Crafted MI metrics reports (global and regional), including conduct, and culture indicators for external view of employees and effectiveness measures for internal view of how compliance as a unit was performing their function (SLA's).Presented these finding to Senior Management monthly.

Increased timeliness of data availability for reporting 60% while maintaining data integrity and eliminating manual uploads by partnering with data providers, users, and technology to create automated self-serve management information (MI) report dashboards, (breaches, personal account trading, data privacy, gifts and entertainment, travel and expenses, certifications, issues management, surveillance, whistleblowing and mandatory training) in Tableau.

Conducted global training sessions via WebEx or in classroom setting, empowering compliance colleagues with knowledge to best utilize Tableau dashboard tools. Created user guide to navigate and understand each dashboard. .

BARCLAYS, New York, NY

Vice President/Manager, Wealth Investment Management - Client Reporting 10/2008 to 4/2016

Provided managerial oversight of Capital Markets Accounts and Trade Lifecycle for reconciliation/security set up, performance calculation, and statements ensuring congruence with reporting.

Led staff of 20 employees, including 14 analysts in NYC and 6 in India. Coordinated timely transmission, printing, and mailing of monthly / quarterly reports with pricing and benchmark vendors.

Familiarity in working with regulators (SEC, FINRA) in responding to inquiries and examinations resulting in seamless transition from Lehman Brothers collapse to Barclays acquisition. Reviewed all investments/funds marketing materials and financials.

Performed user acceptance testing and gap analysis of firm-wide conversions from Advent AXYS to Pershing NETX360 custodial platform and InvestEdge performance systems, as per SOX compliance and Volker Rule guidelines from SEC, FINRA, PWC after Lehman bankruptcy.

Guaranteed all daily data feeds from Pershing were received into data warehouse (WAVEIT) and distributed correctly to internal systems, including pricing files, security master files, and benchmark files, by running daily test reports in Advent AXYS system.

Reviewed Regulatory documents such as SEC/EDGAR Form ADV, PF, 13F, 13H, Rule 144, 10K,10Q

Increased data integrity and performance accuracy by partnering with information technology team in designing and building auditing reports to check for stale and un-priced securities and missing 1st-coupon dates.

Reduced staff overtime 60% by authoring training manual for investment reps and sales assistants for self-learning of reports.

Performed final review and signoff on all Legal services and Third Party Vendor billings before posting to accounts/ledgers

LEHMAN BROTHERS, New York, NY 2/2004 to 9/2008

Assistant Vice President, Investment Management Division - Client Reporting

Managed team of 9 performance analysts responsible for individual and aggregate household performance for ~85K accounts using Advent AXYS System 3.8.5. Delivered highly visible daily, weekly, monthly, and quarterly performance reports for internal clients, including portfolio managers. Performed root-level cause analysis.

Administered reporting providing clients with account level performance and establishing effective quality control procedures.

Enhanced and created business requirements document, supplying information used to build technical requirements document.

Established catalog of performance reports for clients invested in various asset levels by assisting in development, creation, testing, and implementation of new business initiatives such as QPMs, TCRs, and WMR.

Additional Professional Experience

DEUTSCHE BANK, New York, NY, Senior Performance Analyst, Asset Management Division

J.P. MORGAN & COMPANY INC. New York, NY, Senior Portfolio Administrator, Investment Management Department

J & W SELIGMAN AND COMPANY INC., New York, NY, Manager, Treasurers Department Senior Accountant

Certifications and Skills building courses

FINRA Series 99-Certified Operations Professional

Scaled Agile Framework (SAFe) - Certified Scrum Master

Focused on Agile, Data Analytics and Leadership by increasing and enhancing skills through online and classroom sources of LinkedIn Learning, Alison and UDEMY. (List of courses furnished upon request).

Organizations

Financial Executives Networking Group (FENG)

Education

Bachelor of Business Administration (BBA), Accounting, Pace University, New York, NY

Technical Skills

Tableau Desktop, Tableau Server, Azure DevOps, JIRA:(Agile & Scrum/Kanban methodologies),Compliance Center, STAR Compliance, PolicyHub, Wealthscape, Open Pages, Office 365(One Drive, One Note, Microsoft Teams, Microsoft Forms), Workday, FINRA, Data Lake, Spotfire, Miro, CITAM, Synergy, ORAC, Hierarchical User Entitlement system, NETX360, InvestEdge, EDGAR, Advent AXYS, APX, Microsoft Office (Excel, Outlook, Word, PowerPoint), Bloomberg, Factset

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