My career has been focused on data and how we interface with that data. My banking and finance experience addresses different facets of data governance. As a matter of fact, I designed and set up the infrastructure for the enforcement of Sarbanes-Oxley (SOX) for PCAOB. Much of my work is regulatory, and therefore governance becomes a major aspect of my work. I created an approach that assists sales and technical resources on how to address Information governance. I met with each group biweekly to present and to answer questions. I published a biweekly newsletter Discovery Digest (Electronic Discovery, Governance, Risk and Compliance).
I developed an EDI system for the Chicago Clearinghouse which is still used today. A vast majority of my work is covered under Information Governance. I developed a Risk Assessment and Management process that has guided and prioritized how data and applications are treated in both on-premises and cloud computing. I often lead some of the largest Content and Records Management systems for both federal and public companies to ensure that data that is being used for decision-making is correct, up to date, and does not compromise any regulations, such as BASEL. Within these large systems are workflows that cover requests as well as the digital destruction of information.
After 9/11 and a blackout experienced in New York City, I was called upon to develop a system that processed millions of documents through automatic workflows while also promising high availability for Bloomberg Corporation.
As I mentioned earlier, about how we interface with data is vital. To plan to allow maximum flexibility while keeping secure and private data, use cases are needed. Defining the role and how that role interacts with data is the starting point to determine how to design access.
In my experience many projects are moved from on-premises to the cloud. This has been especially experienced by the federal government. The federal government created the Federal Risk and Authorization Management Program (FedRAMP) which provides compliance standards for security, authorization, and continuous monitoring for cloud projects and data. I have worked directly with federal agencies and vendors to ensure that the systems are compliant.
| Banking Clients | |
|---|---|
| Chicago clearinghouse | Merrill Lynch |
| PCAOB – SOX | Citibank/CitiGroup (Singapore and New York) |
| Deutsche Bank | ABN AMRO |
| Barclays | Bank of Scotland |
| Royal Bank of Scotland | Compass Bank |
| Federal Reserve Bank | Goldman Sachs |
| ING | Janus |
| John Hancock Financial | Merrill Lynch |
| Northwestern Mutual Bank | Department of the Treasury – OCC |
| AIG-PineBridge Wells Fargo | US Bank Zion Bank |