Brian M.

About Brian M.

Senior Business and Technology Risk Advisor with more than twenty-five years of consulting experience along with four years of corporate experience in the Broker Dealer industry. I have managed regulated functions while successfully remediating program deficiencies with a proven track record of clean internal and external audit reports. I most recently had operational leadership responsibility for the Enterprise Business Continuity and Records Management programs. I currently hold my Series 7, Series 24 and Series 99 FINRA registrations. More importantly, I have built and maintained high performing teams with my most recent team survey results indicating a Manager Favorability Rating of 91%. I have embraced the guidance from a mentor who prided himself on \"Hiring and Inspiring\" top talent. While focusing primarily technology risk and resilience in the Financial Services industry, I have conducted extensive program and large project management engagements in addition to ERP implementations (Lawson and PeopleSoft), regulatory compliance, business process re-engineering and information security related engagements. In addition to financial services, I have experience in retail/consumer products, high tech, health care, manufacturing and bio-pharmaceutical industries.Specialties: Financial Services, Technology Risk Management, Regulatory Compliance, Third-Party Service Providers, Policy Management and Compliance, Operational Resilience, Program Management, Data Classification, Records Management

Experience

1. Consulting Director

   NTT DATA

   Sep 2024 — Present · Charlotte, NC, US

   Providing Risk and Compliance consulting services to clients in Financial Services.

Education

• Quinnipiac University

  Bachelor of Science, Computer Science/Accounting

  1991 — 1995

• Yale School of Management

  Certificate, Strategic Leadership

  2007 — 2007

Skills

• Business Transformation
• Professional Services
• Auditing
• Information Security
• Internal Controls
• Banking
• Risk Management
• Enterprise Risk Management
• Project Portfolio Management
• Process Improvement
• Strategy
• Financial Services
• Financial Risk
• Program Management
• Information Technology
• IT Audit
• Business Analysis
• Business Process
• Business Process Re-Engineering
• Change Management
• Accounting
• Vendor Management
• Management
• Disaster Recovery
• Management Consulting
• IT Strategy
• Sdlc
• Consulting
• Pmo
• Leadership
• Enterprise Software
• Risk Assessment
• Sarbanes-Oxley Act
• Business Continuity
• Governance
• Business Process Improvement
• Mergers & Acquisitions
• Internal Audit
• Insurance
• Project Management