Management Security

Paul Moreira

Executive Director - Global Banking Technology, Wealth Management

New York, NY

acd9m3@r.postjobfree.com - 917-***-****

WORK EXPERIENCE

Executive Director - Global Banking Technology, Wealth Management

Morgan Stanley - New York, NY - May 2013 to March 2014

Senior executive, accountable for the oversight, delivery and monitoring of technology to both the Morgan

Stanley Bank, N.A. and the Morgan Stanley Private Bank, National Association within a regulatory-

compliant and risk-managed framework ($58MM Budget). Additionally responsible for affiliate and vendor

risk management supporting global banking technology. Products include but are not limited to Trust, Bank

Deposits, Money Movement, Mortgages, Lending, FX and Global Currency. Responsibilities span across both

retail and institutional banking (RTB & CTB).

• Oversight of the delivery of all technology services and relationship management between Morgan Stanley

& affiliates to the US Banks, including all required and relevant reporting to the business.

• Directly responsible for the alignment of regulatory requirements and the delivery of technology.

• Established a framework for all service level agreements (SLA's) used between the organization's, disparate

legal entities, maintaining alignment with Dodd Frank (Volcker), FFIEC requirements and OCC guidance.

• Created specific SLA's for the organization's Portfolio Loan Accounts (PLA), Regulation W (Reg W) and bank

deposits (BDP) platforms.

• Created the model for all inter-affiliate delivery management reporting and associated KPI's.

• Responsible for business management and technology financial/cost allocations reporting between inter-

affiliate suppliers and customers.

• Initiated a supplier risk management program to oversee 3rd party vendors that provide technology platforms

for lending, portfolio loan accounts and trust products.

• Lead the completion of FDICIA assessments and certifications for the US Private Bank, MSPBNA.

• Oversight of all issues and risks including regulatory, program and project level reporting.

Consultant - Global Head, Information Security (Interim)

Ipsos - New York, NY - December 2012 to May 2013

Executive consultant engaged to lead as the head of Information Security for a multi-national, 17,000-person

organization. Responsible for all aspects of information security for the global organization.

• Direct management the information security team and its day-to-day operations.

• Liaison with the CIO/Executive Management team and providing timely info-sec reports and KPIs.

• Created a minimum information security standard based on ISO 27001 management controls.

• Revised all information security policies, standards and procedures to align with the transformation to a

service delivery technology model, subsequent to the acquisition of Synovate.

• Led the vendor selection process for the provisioning of technology services in the areas of information

security, privacy and compliance.

• Created the framework for the organization's self risk assessment, risk register and information security

assessment.

• Introduced SAINT as the organization's vulnerability management platform.

• Developed a new access control/entitlements framework and oversight program.

• Established a data classification and privacy framework the organization's primary market research

application, scalable to other platforms.

• Oversight of all customer information security audits.

GM Asset Management

Promark Global Advisors - New York, NY - July 2006 to October 2011

New York, NY

Chief Technology Officer and Information Security Officer 7/2006 - 10/2011

Board appointed role, with responsibility for the executive management of business technologies. Hired

to reposition corporate technology so that it is regarded both internally and externally as a competitive

differentiator. Actively engaged in ensuring that the technology and processes supporting key decision makers

enable them to make timely business decisions and manage risk. Active member of the Trust Advisory

Committee. Managed a $60MM budget including the direct management and oversight of multiple performing

suppliers.

• Directed the technology support for all business units and products inclusive of but not limited to Equity, Fixed

Income, Futures, FX, Absolute Return Strategies (Hedge Fund/Fund of Funds), Real Estate and Alternative

Investments, Investment Operations, Corporate Finance and Corporate Administration.

• Managed the revision of the company's information security program, which is the firm's governing policy

ensuring corporate, SEC and OCC regulatory compliance. Created the information security and compliance

strategy. Partnered with Risk Management and Compliance in most information security matters.

• Respond to 20+ internal and external (SEC, OCC, FFIEC, SOX) annual regulatory audit/exam requests.

Achieved a 100% reduction in audit control deficiencies from 2006 to 2011 resulting in a reduced number of

vulnerabilities and significant deficiency exposures within the GM global environment.

• Business interface and relationship management for all regulatory agendas. Direct responsibility for managing

the relationship with the FED, SEC, OCC, FSA and internal auditors.

• Developed the organization's annual technology risk assessment and strategy for all remediation activities.

• Responsible for the creation of the information security program including data classification and data privacy

guidelines for the management of all corporate information.

• Created and presented the annual risk and security awareness presentation, required by the board of

directors.

• Performed an initial review and gap analysis of proposed limitations mandated by the Dodd-Frank act.

• Created a centralized Data Warehouse platform and 'Gold Copy' data repository to improve cross

asset management analysis and reporting. Established best in class business intelligence, client reporting,

performance attribution, risk management, and portfolio analysis capabilities; $12MM initiative.

• Led the equity trading system migration from Eze Castle to Charles River to deliver alignment with changing

business requirements and improving compliance.

• Managed the migration of Bloomberg POMS to Bloomberg AIM for Fixed Income trade order management.

• Outsourced and migrated the Back Office and Investment Accounting functions to a new vendor from an in-

sourced model. Co-lead and partnered the joint IT and Investment Operations initiative.

• Responsible for the relationship management of executive/front office, middle office, back office, investment

operations and corporate administrative departments and the alignment of technology within their groups.

• Executive oversight and relationship management for all third party vendors, providers and partners.

• Board appointed as the company's Chief Information Security Officer (CSO/CISO).

• Lead the merge of a stand-alone technology organization to integrate with the parent company's ITIL based

services and delivery model. Responsible for all IT operations and support (O&S).

• Created the enterprise architecture and IT governance strategy to effectively align the strategic business

direction and to execute consolidation efforts. Introduced and integrated COBIT as IT's governance model.

• Developed a new business continuity resumption site providing resources for 75% of corporate staff with full

functionality of day-to-day business operations.

• Migrated a shared and outsourced SAP platform from an existing performing supplier to new internally hosted

instance of ECC and BW; $15MM initiative.

• Oversight of all application development efforts using .NET and J2EE as primary platforms.

• Initiated server virtualization efforts that resulted in a 60% TCO reduction for the useful life of the assets.

Consultant - Global Technology Infrastructure, CTO Group

JP MORGAN CHASE - New York, NY - May 2005 to July 2006

Engaged to lead the strategic and operational process governing business merger acquisition programs and

initiatives. Responsible for the oversight and management of the strategic data center migration between

JPMC and Bank One legacy organizations. Duties also include management of 90+ resources that spanned

multiple lines of business including Trading, Investment Banking, Credit Card, Asset Management, Private

Wealth Management, Commercial Banking, and Retail Banking.

• Architected the strategic plan to retire 38 production facilities (a decrease of 1.2MM sq. ft. of raised floor

space) and the addition of four Tier 4 Data Centers resulting in a 35% efficiency gain in platform consolidation

and technology upgrades.

• Managed the monthly reporting process of the project portfolio (both delivery and financials).

• Assigned to the team leading a $1 billion reduction effort of technology TCO expenses over three years.

• Ownership of executive communications (Up, down, cross-committee, portfolio and program).

Consultant - Office of the CIO

AMERICAN INTERNATIONAL GROUP (AIG) - New York, NY - November 2003 to April 2005

Engaged to align IT strategy and the client relationship between AIG Global Finance, AIG Domestic Brokerage

Group and AIG Technologies. Executive management of all projects and 64 resources.

• Management of a $144 million project portfolio comprised of 80+ concurrent projects.

• Executive management of all application, infrastructure, mainframe, disaster recovery, networking, security,

operations, distributed computing and application monitoring initiatives.

• Executive direction of the client services team including PMO, engagement management, and service delivery

management activities.

• Responsible for coordinating with AIG's global CIO, divisional CIO's and CTOs to define overall technical

strategies and to establish and align synergies between the individual lines of business.

• Management of the relationships between the business and various technology groups.

• Negotiation of contracts and service level agreements for all projects and responsible for all business

development.

• Created proofs of concept, business cases and functional requirements for emerging technologies to be used

by the organization.

Vice President and Director of Technology

SOTHEBY'S - New York, NY - June 1999 to August 2003

Key member of the senior management team responsible for the leadership and management of all matters

related to information technology. Responsible for operations management, development of technology

strategy and business process reengineering for all IT functions including applications management,

infrastructure, data governance, communications, Internet and web-based initiatives, change control, quality

assurance, and security. Management of 100+ resources.

• Created and managed the corporate IT budget yearly which ranged from $20 to $40 million.

• Worked proactively with division executives to assess business requirements for appropriate technical

solutions.

• Changed the posture of the IT function within the Real Estate company from an operational necessity to

a strategic element by creating an independent department designed to support the specific business while

successfully leveraging resources from the parent company.

• Implemented a world-class data center and secured a global data communications network servic ing over

100 international sites. All internally-hosted servers resided in a state of the art facility.

• Generated infrastructure initiatives that resulted in $1 million yearly savings in telecommunication costs.

• Directed all emerging technology research for potential use within the enterprise.

• Led the vendor selection and execution for optimization of the company's e-commerce website.

Manager

KPMG LLP - New York, NY - May 1998 to June 1999

Team leader and manager of engagement groups responsible for client initiatives. Major clients included global

financial services firms with initiatives spanning across several business verticals.

• Evaluated the impact of the existing and proposed application portfolio and architecture including the

feasibility of rollout/migration and projected cost savings.

• Facilitated the evaluation of new technology requirements with senior executives.

• Managed monthly Steering Committee and Architecture boards.

Manager and Senior Technology Engineer

LOCKHEED MARTIN - Mahwah, NJ - August 1995 to May 1998

Managed first and second level helpdesk analysts.

• Led the management oversight for a 20,000+ node Cisco, Local and Wide Area Network.

• Coordinated technical teams across multiple departments and geographical locations to develop scalable,

highly available and secure system architectures.

Partner

MOREIRA & SEITZ CONSULTING - Westfield, NJ - March 1992 to June 1995

Partner responsible for co-founding and managing the business.

EDUCATION

RUTGERS UNIVERSITY

1988 to 1991

ADDITIONAL INFORMATION

AREAS OF EXPERTISE

Financial Management and Regulatory Management of technology including budgeting, forecasting, auditing,

evaluation of results to plan, implementation of cost reduction programs for information technology budgets.

Strong banking, and asset management experience within multiple regulated (Fed, OCC, SEC, Basel III, NIST,

Dodd Frank, Volcker etc.) investment areas including Deposits, Lending, Mortgages, Trust, Money Movement,

Equity, Derivatives, Fixed Income, FX, Swaps, Swaptions, Interest Rate Derivatives, Futures, Commodities,

Absolute Return Strategies (Hedge Fund/Fund of Funds), Real Estate and Alternative Investments.

Operations Management including acquisition integration, business process reengineering, business

continuity planning, talent evaluation, team building and retention, motivation of employees, management of

external consultants, and performance goal setting. Experienced with all aspects of investment operations.

Program Management and Project Management including experience in overseeing and directly managing

enterprise-wide, global projects and programs exceeding budgets of 140MM. Proficient with multiple

methodologies including but not limited to: agile, interactive, incremental, iterative and phased CMM, CMMI,

Six Sigma, PMI and PMP.

Technical Management including the management of application development, infrastructure, information

security, IT risk and compliance, IT governance, network engineering, telecommunications and vendor

management. Strong proficiency and career experience with multiple technology platforms, methodologies and

models including but not limited to ITIL, ITSM, COBIT, Microsoft Windows/Wintel, Unix, Linux, Open Source,

Microsoft .NET, C+, J2EE, SaaS and IaaS.

Application Management of trading (Trade Order Management and Execution Order Management) and

financial systems including but not limited to Loan IQ, Metavante Insight, Fidessa, Charles River, Yieldbook,

Portia, Intex, Derivative Solutions, Swapswire, Eze Castle, Charles River, Advent Geneva, Simcorp, Blackrock

Aladin, AES, Barclay's Real Tick and POINT, FX Connect, HF Optimizer, Holt, Bloomberg POMS, Bloomberg

AIM, Bloomberg Terminal, Markit OTC, Tradeweb, Reuters, Factset, Barra, Morningstar Encorr, Insignis,

Genesis, Zephyr Style Advisor, Watts Express, JP Morgan Cash Transfer, SAP, Wachovia Connect, MatLab,

Globeop, RediPlus and FIX Protocol.

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