VINCENT D.

CARUSO
Brooklyn, New York 11222 www.linkedin.com/in/vincentdcaruso vc925925@verizon.net Cell: (718) 288-3956

SUMMARY
SENIOR INFORMATION RISK AND COMPLIANCE MANAGER ready to leverage 13+ years of experience in introducing and
assessing controls and compliance related guidance to technology and business management, in-business risk officers and staff; interfacing with audit/regulators; driver of organizational change; keen understanding of the inter-relationships of risks. GLOBAL PROGRAM AND PROJECT MANAGER able to use 20+ years of experience to build and direct diverse teams in fast-paced environments; create, lead and pro-actively drive governance; foster collaboration, consensus builder; integrate and facilitate multiple perspectives and action plans to achieve sustainable success; understand and articulate the big picture. MANAGER OF BUSINESS ANALYSIS brings 20+ years of in-depth understanding of business functional needs and systems relationships of key, complex systems. Pro-active steering committee member and working group leader with a strong record of constituent representation and builder of virtual teams. SEASONED PROFESSIONAL COMMUNICATOR AND BROADCASTER with 20+ years in Satellite, National and NYC radio and voiceover markets; dynamic/effective presenter who observes, listens and is comfortable in front of large and small audiences.

EXPERIENCE CITI; New York, NY

SENIOR VICE PRESIDENT, Institutional Clients Group: IT Control: Risk Analytics

2000 Present 2011 Present

Risk Reporting and Risk Analytics Manager of 8 direct reports in a global organization of Control risk managers that manage and monitor compliance to information risk and control domains. Manage the governance of key senior management reports, 75+ Key Risk Indicators, the business requirements solicitation and automation requests within a challenging data environment. Lead the governance and process design of risk information aggregation across multiple risk domains. Lead the development of a Business Intelligence reporting platform for global ICG IT Control Division; successfully created and delivered a proof of concept using a Microsoft BI technology stack Manage the monthly and quarterly collection and on-time production of two key senior management reports; maintain the governance and virtual network of contributing managers and subject matter experts; manage the continued evolution, formatting and automation of these reports; oversee the streamlining of intuitive, thematic trending of risk and compliance data into risk and compliance information Vocal and pro-active founding steering committee member of various division and firm-wide initiatives focused on innovative and efficient data and reporting consolidation Proposed and led focus teams to address negative employee survey results and made proposals which were accepted: overhaul of division website; internal training university for managers and staff; division newsletter

SENIOR VICE PRESIDENT, Institutional Clients Group: Global Information Security

2010 2011

Information Security Program Manager responsible for establishing a firm-wide Secure-SDLC program. Identified and maintained an efficient and timely virtual network of key stakeholders within Lines of Business, IT and Information Security officers for requirements and feedback solicitation Primary sector driver of firm-wide goal of establishing requirements for an Information Security Review Process within software development lifecycles and process to assess compliance Proposed and conducted a deep dive compliance analysis of the existing information security review process done for development projects of high risk internet-facing applications; presented key findings to be used in on-going negotiations and strategy planning with project management oversight group and with Technology and corporate Information Security divisions Nominated to lead a SWAT team of Information Security Officers to perform multiple two-week quick-dive IS compliance reviews of franchise critical projects; presented findings and process improvement recommendations

SENIOR VICE PRESIDENT, INSTITUTIONAL CLIENTS GROUP: COMPLIANCE

2007 2010

ICG Sector Champion: Risk and Control Assessment Compliance Manager that was nominated to create a virtual global user group of 40+ senior in-business compliance officers and subject matter experts to drive risk and control assessment consolidation; created effective communications and governance structure, and business requirements solicitation protocol.

Created and managed ICG global PMO that delivered the on-time implementation of a Citi-wide risk and compliance selfassessment system, and an associated issues and corrective plan management system; Solicited and gathered Created and delivered training, presentations, communications, and reference materials; Provided 3rd level system support Pro-active senior steering committee member; created Breakfast With the Stakeholder Sessions to address concerns Pro-actively represented a post-migration user community of 8,000+ users, 40+ in-business risk managers; maintained positive working relationships between a large network of senior sector stakeholders, in-business risk managers, the client services, operations and software development groups Recorded voice-overs for on-line training and marketing materials for Global Transaction Services

VICE PRESIDENT, INSTITUTIONAL CLIENTS GROUP: GLOBAL INFORMATION SECURITY

2006 2007

Global Information Security Compliance Program Manager that led and delivered global FFIEC/MFA program for ICG; met regulatory compliance requirements for 500+ systems within an aggressive eight month timespan; proactive member of firmwide MFA Compliance steering committee. Promoted to Senior Vice President

VICE PRESIDENT, INSTITUTIONAL CLIENTS GROUP: GLOBAL FIXED INCOME TECHNOLOGY

2000 2006

Lead Technology Information Security Officer that managed 5 direct TISOs and all aspects of compliance to Information Security policy for 150+ systems/680+ staff. Conducted and managed external and on-site vendor IS reviews. Managed IS reviews for very large technology project portfolio. Led internal security incident investigations and secure desk inspections. Liaison to internal audit project risk reviews. Co-creator of IS review process for ICG Technology Division SDLC projects. Created an application compliance checklist that was selected as an ICG best practice. Repeat guest TISO in IS officer training classes. Created and delivered varied communications program for senior managers, stakeholders and staff. Software Quality Manager that reviewed the project compliance of 75+ systems to project management standards. Technology Business Continuity Officer of 15+ systems that oversaw application testing and recovery testing compliance; managed, coordinated business and technology business continuity tests, tracked issues and corrective plans to closure.

UBS-Paine Webber; Weehawken, NJ

ACTING DIVISIONAL VICE PRESIDENT, PRIVATE WEALTH MANAGEMENT/MANAGED ACCOUNTS

1999 2000

Project Manager of nine direct reports that oversaw all aspects of business requirements and delivery of system enhancements projects for managed accounts and performance reporting systems. Created system training plan and managed on-boarding of 300+ new users in 2.5 months. Designed the user interface prototype for a new web front end of a mainframe system. Proposed and created divisional employee culture survey and mission statement to cultivate an engaged corporate community. Recorded voice-overs for various portfolio reporting on-line training modules.

1986 1999 PROJECT MANAGER, DEPARTMENT OF YOUTH & COMMUNITY DEVELOPMENT; FINANCIAL INFORMATION SERVICES AGENCY

City of New York; New York, NY

Project Manager that created an EIS proof of concept for the Mayors Office and Office of Management and Budget that visualized City-wide financial data for the first time on a desktop computer. Increased usage of City-wide on-line reporting system from 40% to 98%. Created system training reference materials and reduced 1st level support calls by 75%. Created governance structure from 140+ City agencies for managing a diverse project slate. Designed animated marketing materials. Editor-in-chief of monthly agency newsletter. Member and Officer (Secretary) of external City-wide Municipal Data Processing Council. Award winner: Outstanding Achievement and Public Service Award; the Mayors Graduate Scholarship.

ADDITIONAL EXPERIENCE
ON-AIR RADIO HOST, PRODUCER, INTERVIEWER; VOICE-OVER ARTIST, NEW YORK, NY 1990 Present
Engaged and seasoned host of classical music, film/movie score and business news shows for all day parts: SiriusXM Satellite Radio, WQXR-FM, WNYC-FM, Sony Classic FM, Intouch Networks. Experienced voice-over artist: commercials, recorded books, documentaries, corporate training for Financial Services, Municipal Government, Healthcare and Hospitality.

EDUCATION
MS IN TELECOMMUNICATIONS AND COMPUTING MANAGEMENT, Polytechnic University, Brooklyn, NY BS IN COMPUTER SCIENCE, Manhattan College, Bronx, NY

Vincent D. Caruso

Page 2