Program Manager Project
Resume:
Carl R. Roth
Claremont, NC www.linkedin.com/in/carlroth ad8rl1@r.postjobfree.com
Executive/Strategic IT Leader Portfolio/Program/Project Manager
Risk Management Business/Process Consultant Financial Systems/Controls
Results-driven IT executive and project/program manager with extensive experience in leading and managing the strategic direction and development of technology services and teams across diverse sectors, including small companies and mission-critical 24x7 global environments. Expert advisor in CPQ, security, disaster recovery/business continuity (DR/BC), and B2B/B2C management initiatives. Proven track record in leading large, international ITIL-based project portfolios, ensuring alignment with business objectives, risk management, and value optimization. Successfully managed operations, e-commerce platforms, high-availability systems, mission critical infrastructures, and integrated call centers utilizing Salesforce CRM. Demonstrated expertise in IT governance, developing COBIT-based ITGC risk/control frameworks, and implementing CI, ICFR, SOX, SDLC, and Lean/Kaizen methodologies within the medical, financial services, management consulting, and manufacturing industries.
PROFESSIONAL EXPERIENCE
Truist Financial Corporation (TFC) – Charlotte, NC March 2024 – May 2024
Program Manager, CT&O – SOX (Contract - Cognizant)
Program Manager/Consultant for Agile (Scrum) and Waterfall project teams remediating audit findings (tracked and managed in Archer), RCSA, Governance, and UIP (Update In Place) projects for continuous improvement of Corporate Technology & Operations. Full remediation projects required to identify and close findings, security risks, and audits.
PM for remediation projects in response to regulatory requirements (OCC & FRB)
Full SDLC leadership from Story/Requirements Gathering, Sprint (planning, daily stand up, review, retro) to UAT/Test design and post go live verification
Graystone Eye (Private) – Hickory, NC May 2023 – Feb 2024
Director of IT, Corporate
Head of all IT functions for healthcare concern focused on all ocular services, iLasik surgery and Aesthetics.
Upgraded Cisco on-premises VoIP system
Large scale project to migrate perpetual license model of Microsoft Office to cloud-based MSO365 and establish Azure based Active Directory (now called Entra ID P1), allowing for on-premise AD services with cloud backup and integration to O365
Refit the Infrastructure and HelpDesk team, hiring and training new personnel
Established new Agile/CI processes for ticket and project management, increasing efficiency and reducing the “reopen” rate for issues. Integrated Tableau for real-time dashboard
Update and manage the operating effectiveness of Oracle Financial Services along with ophthalmological industry vertical applications
Enabled several B2B connections with suppliers to improve inventory levels, lowering waste and expense
Built improved DR and BCM procedures with offsite hosting to AWS and Azure platforms
Security audit lead for onsite HIPAA review. Focus on Cyber attacks and PII/EHR/EMR
Introduced value-based process to demonstrate the “par value” of time and productivity impacts for a range of options, emphasizing the risk of decision delay
Bank of America (BAC) – Charlotte, NC Sept 2022 – Apr 2023
Senior Technology Delivery Project Manager – BA CMC (Contract – Artech)
Development Project Manager for applications development teams across functions in BA CMC. Monitor and escalate within the Agile projects cadence to ensure program iterations are launched in a timely and supported fashion, focus on BCM. Specific focus on the integration of Salesforce CRM to Oracle Financials, and product management tools and processes. Assumed control of IT General Risk & Control Governance projects for remediation and reporting with Tableau. Identified deficiencies and remediation plans for Credit Risk, Capital Markets, Corporate and Investment Banking applications. Supported budget funding and capacity management for team using PCM, Nexus and PPRT tools. Commercial Banking product development and support. Leader of the PM team for Merchant Services and its connections to Global Banking and other departments.
PM for remediation projects in response to regulatory requirements (OCC & FRB) with emphasis on Credit Risk products (credit monitoring tools), and new product launches
Program Management of all remediation projects for application testing, UAT, and post go live validation
Management Consultant for Digital Products and associated Risk Management controls
Established data cube for analysis and reporting on all aspects of tracking large scale projects for innovation and remediation
Designed data architecture for aggregation from various sources and ensured chain of custody to pass audit reviews and compliance of security
LEE Industries, LLC (Private) - Conover, NC June 2021 – July 2022
Director of IT, Corporate
Head of all technology functions for an established furniture manufacturer in the heart of Conover, NC, for infrastructure, applications, change management, call center, and process improvement. Working as the lead PM on the Executive Steering Committee (Strategic Planning) for a major overhaul of our ERP systems to bring LEE and two sister companies up to date and compatible with each other. Implemented Netsuite to begin migration off of iSeries-7 ERP. Replaced entire infrastructure to satisfy a technology debt of being under served, while hiring all new staff to manage.
Identify, select and install Cisco cloud-based VoIP system with complete end-to-end PM management
Lead the AppDev team for iSeries-7 (planned upgrade to iSeries-9 and disk expansion) support and operations, and purchase Hawkeye and SEQUEL tools. Project to replace iSeries with Oracle Netsuite designed using waterfall methods for connecting local (in-house) and consultant (outsourced) teams
Initiated and enhanced a B2C portal on our website for parts, repairs, and CPQ of furniture configurations enabling an entirely new sales channel
Established new B2B channels with suppliers for increased clarity on fabric, frame, and parts shipments
Trained IT team on Scrum methodology and cadence using Jira, expanded to operations use
Established muti-tiered file retention policy with onsite SAN and cloud-based archival storage and DR options. Concurrent backups of VMWare stack to the cloud for real-time failover recovery, key to BCM
Establish change control and HelpDesk processes with Netsuite ticket system
Composed Process and Procedure library with Continuous Improvement and Change Management methods to enable business and IT projects to share and integrate resources
Established strong PMLC controls along ITGC Governance and COBIT structures
Heavy development and use of Tableau and Monday.com for dashboards, reporting, and PM work
Wells Fargo (WFC) - Charlotte, NC Apr 2021 – June 2021
Senior Risk, Process & Business Program Management Consultant (Contract - Signature)
Consults with management and business partners on matters of significance regarding strategic approaches, the effectiveness of support function, and business performance improvement opportunities for the applicable business functions. Such consultation includes a discussion of alternatives and implications. Presents to executive management on business performance and recommends strategies to implement changes and improvements. Utilizes thorough knowledge of the LOB's (Credit Risk, Capital Markets, Corporate Real Estate/Investment Banking) or business group's functional area or products to support and drive strategic initiatives for the business. Provides work direction to lower-level staff. Identify and recommend changes to the project management processes to ensure UAT and post go live verification are documented. Leads support functions and/or operations/production oversight, for 2nd line of defense Risk Management and Compliance functions
Facilitate the completion of New or Modified product or Service Risk Assessments (Product Change Assessments, Post-Implementation Reviews, and Product Portfolio Monitoring Reviews), partnering with Business Initiative owners, and obtain approvals within policy time requirements, requests for extensions
Investigate cloud architectures within the enterprise for security lapses to protect WFC assets
Composed procedures to ensure best practices for least rights and MFA on outfacing services
The risk assessment includes an evaluation of all applicable Level 1 and Level 2 risk types. Where possible, other existing risk assessments conducted across the company are leveraged in the risk assessment (such as third-party, business continuity planning, or project management)
Consult with the relevant business groups and risk category subject matter experts, including SMEs in businesses involved in cross-business or cross-channel products
Bank of America (BAC) – Charlotte, NC Jul 2020 – Oct 2020
Project Manager/Senior Consultant for Op Risk & Controls – GBAMT, ERFT, and CTI (Contract - Randstad)
Leader in the Global Banking & Technology group responsible for Risk & Control Governance across the entire Enterprise. Focus on compliance testing, QA of results, metrics, and ICFR reporting for IT Audit and external review. Manage reporting and feedback using central BI Cognos AMS tools – ORCIT tool built for BofA. Works with a broad spectrum of executives inside the Bank technology disciplines. Assist with 2nd line of defense metric dashboards, continuous improvement as an Agile PM, and advisor for responses to any issues for regulatory, Board level, or internal executive audience. Hired and operated 100% remotely during the COVID-19 pandemic.
Kewaunee Scientific Corporation (KEQU) - Statesville, NC Mar 2008 – Mar 2020
Director of IT, Corporate (US and International)
Executive and End-to-End PM with 100+ year old scientific furniture manufacturing firm accountable for all Information Technology decisions – budgetary, strategic and tactical. Turned around corporate view of 8 member IT team into an ITSM organization using strict PM and ITIL/SAM based structures to design and deliver large scale technology based solutions to support the business. Assumed control of faltering Syteline ERP upgrade implementation (v7.4.3) then upgraded to 7.5.1 and finally to CSI. Designed and implemented complete rework of customer service model with launch of SalesForce CRM tool. Established first B2C processes for “Lead to Order” and CPQ configuration/order of product to dealer channel and retail consumers. Balance a mix of “management” and “leadership” for staff and executive peers to execute value based projects
Implemented configurator for all product lines as an estimating and ordering process for dealers and customers. Reductions in errors/omissions raised factory capacity by 15+% and lowered costs by 20+%.
Established IT Audit/Risk Management “2nd line of defense” oversight and remediation procedures, created an internal IT Audit self-assessment program that reduced outside consultant needs, established Project and Change Management Governance policies and procedures, dashboards for project KPIs
Designed baseline RTO objectives for a strong Business Continuity Management approach, DR systems
Integrated SalesForce CRM with Cisco IP phone system to create an order tracking system for our clients, call routing for agent management, and full ticket system for all client customer service issues.
Strong oversight on budget/expense performance to turn IT into a profit center, contribute to bottom line
Enhanced security environment following the OWASP Top 10 standards and best practices from Checkpoint and Symantec. Recently completed Attack & Pen test found no successful breaches. Control passed all effective tests for both SOX and Financial 404 standards
Design, Build, and Execute multiple integration projects of core ERP system (Syteline), tax system (Avalara) and eCommerce (PayPal) with external systems – e.g. AS/400 (iSeries), MS Dynamics NAV
Launched recurring Ransomware and Cyber Security awareness training program with Checkpoint and Secureworks protection, prevention, and diagnostic tools
Engaged functional leadership to participate and contribute to an “IT Steering Committee” forum for feedback, initiatives, and business level “buy-in” of all strategic roadmaps
Jefferson Wells – now Experis (MAN) - Charlotte, NC Aug 2007 – Mar 2008
(subsidiary of Manpower, Inc)
Director, Technology Risk Management
Consulting, Sales and Delivery of projects for providing “Thought Leadership” as a trusted advisor for our clients in the areas of Technology Risk Management. A strong partner for “Pre Sales” calls the scope of services, and then project delivery after the sale. Kept aggressive monthly revenue targets and high utilization of the contractor bench. Products include – Business Continuity Management, Security Assessments (Vulnerability, Attack and Penetration, Architecture), Continuous Improvement, IT Audit and SOX, PCI-DSS Compliance, Process and Procedures, CPQ
Wachovia Bank (now WellsFargo) (WFC) - Charlotte, NC Sep 2004 – Jul 2007
VP & Manager of Sarbanes-Oxley and Audit Remediation, CIBT
Project Manager and executive liaison for all cross-functional projects that require responding to and closing audits. Immediate positive impact felt on the Bank’s issue management processes and was quickly named to lead the Corporate and Investment Banking’s Technology Sarbanes-Oxley activities. Established methods and procedures for risk-based SDLC to the business, thereby reducing repeat work and increasing “best practices.”
Established a PMO Portfolio specific to technology projects within CIBT and managed 100+ project/audit tasks across 11 distinctly different lines of business and 35+ stakeholders. This includes Fixed Income Derivatives (e.g. Calypso, Scrittura), Structured Credit Products, Residential Mortgage and Consumer, Commercial Lending, Capital Markets, Leasing, and others
Review of all vendor processes, outsourcing and controls to ensure the activities and integrity of access and data are maintained. Coordinate SAS-70 Type II reports and CIS security audits
Established cross reference model of 2nd line of defense standards, reporting and remediation project tracking across multiple disciplines and against best practices like COBIT, PCAOB & Six Sigma
EDUCATION
EAST CAROLINA UNIVERSITY
Masters, Business Administration (MBA)
Concentration Certificate in Marketing
UNIVERSITY OF NORTH CAROLINA – CHARLOTTE
Bachelor of Science - Computer Science
BUSINESS ACCREDITATIONS
ISACA Certified Information Systems Auditor (CISA)
PMI’s PMP
CEBS - Certified Employee Benefits Specialist
TECHNICAL SKILLS
Environments - Windows 11, AD 2008/16 Server, MS Azure & Amazon Web Services, IBM Power i
Process – Continuous Improvement, Agile/SCRUM PM, Kaizen, Outsource (helpdesk, network, cyber)
Standards & Solutions – Agile/Scrum and Waterfall PM skills/training, ICFR/SOX, Web Development, CISA, ITIL, ITGC, OWASP, Six Sigma (SSCP), ERP, SLOD, PKI/RSA security, PCI-DSS
Development – HTML, CSS, Java, JavaScript, ASP, .NET, Git Hub
Applications - MS Office (Outlook, Word, Excel, Access, PowerPoint, Project & Visio), Syteline ERP, MS Dynamics NAV, Oracle Netsuite, Concur (T&E), SQL, Epicor ERP, Oracle, Tableau, Salesforce CRM/nCino
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