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Richard C.

Primary: 954-232-8663, Alternate 561-626-0702, 236 Sedona Way, Palm Beach Garden
s, FL 33418-1714
Vice President/CIO * Country Manager * Executive Director * Transforma
tion Agent
Championed continuous improvements leading to consistent profits
Developed Channel marketing with 100% availability and optimized Search Engine m
etrics nearly 500%
Achieved 30% annual reduction in IT development costs while maintaining 100% Upt

Highly accomplished, innovative, and process-driven Vice President/CIO with 15+

years' experience leading the creation of products and acquisitions in Financial
Services, Banking, Brokerage, Mutual Funds, Insurance and Annuity's that increa
se profitability, expand customer base, and drive revenue growth.
Deep-rooted strengths in implementing strategies that energize business growth,
launch startups, facilitate acquisitions, and enable turnaround efforts. Spearhe
aded multinational product launches integrating eCommerce and website developmen
t resulting in multimillion-dollar revenue growth. Demonstrated track record in
global business ventures, consolidations, and corporate restructuring.
* Strategic Planning & Process Improvement
* Global Business Partnership Development
* Offshoring & Staff Optimization
* Mergers, Acquisitions, & Spin-offs
* Staff & Policy Development
* P&L Accountability and Cost Containment
* Multi-site Operations Management
* Mentoring & Manager Development
* Customer Experience & Segmentation
* Project Management & Planning
* Leading Product Management organization with consistent focus driving profitab
ility and opportunity analysis; managing the current product portfolio; spearhea
ding future technology innovations; and directing technology support and systems
* Spearheading marketing initiatives, enriching brand identity with "go to marke
t" strategies, leading product development (Concept-to-Consumer), integrating eM
arketing and growing sustainable revenues.
* Proficient in service "Branding", packaging, promotions, in-country advertisin
g, multi-channel sales, Franchise and Distributor Licensing, Customer Segmentati
on, Customer Experience, CRM, and multi-channel billing.
* Specialist in directing complex Operations and Development in Financial Servic
es supporting $6.8B in revenues with hands-on exposure integrating diverse techn
ologies and vendors for Banking, Brokerage, Mutual Funds, Hedge Funds, and Advis
ory Services managing over $250B in assets building brand awareness and enabling
growth in well-entrenched and mature markets.
* Expertise implementing New Account Opening, Product Cross-Selling, Client "Bes
t Practices", Annuity Programs, Order Management and Trading Systems for: Progra
m Trading, Margin/Cash Trading, Options/Futures, Index Arbitrage, Analytics, Mar
ket Data & Liquidity, and Pricing.
* Adept at implementing Audit Controls and Compliance for SEC, FINRA, NASD, NYSE
, Blue Sky, ISO, Sarbanes Oxley, Basel II, FDIC, FASB/GAAP, including: AML, OFAC
, Patriot Act, Know Your Client (KYC), SAS70, 40Act, MSRB, TRACE, OATS, and ERIS
* Technology leadership in SDLC, ITIL and Agile Methodologies, Project Managemen
t & Project Portfolio, Six Sigma Practices, Architecture, Database & Data Wareho
use (Oracle, IBM, Sybase), SaaS, WebSphere MQ, Web Optimization, QA & Testing, C
hange Management & BCP, VoIP & TCP/IP, Frameworks, SWIFT, DTC, EFT, EDI, and Dat
a Encryption Standards.

VICE PRESIDENT/CIO - E. Oliver Capital Group 2008-Present
Focus on Private Equity specializing in Acquisition, Consolidation and Operation
of strategic Assets across 20 countries supporting $120Million revenue stream.
Defined and managed all aspects of Product Development, Country Management, P&L
, and Leadership of Sales & Marketing, Engineering and IT Operations.
Leading Product Management organization exceeding 250+ staff with responsibility
for driving profitability and opportunity analysis; managing current product po
rtfolio; spearheading future technology innovations; and directing technology su
pport and systems integration.
Performance Milestones:
* Crafted strategic plan, implemented multiple business markets, and developed "
paths-to-market" for ownership investments and completed commercial startups in
Aruba, Curacao, Turks & Caicos, and Cayman Islands. Achieved new market penetra
tion of 28% in first year and revenue growth of 65%.
* Spearheaded the Pan-Caribbean product launch of mobile wireless broadband voic
e and data products, Web Hosting and ISP Services generating $40+Million in new
annual revenue, achieving positive P&L by combining multiple lines-of-business a
nd grew EBIT 24%, expanded network utilization by 300% and increased customer re
venue by 62%.
* Consolidated all Shared Services saving 30% in Software Development, Web Desig
n, Infrastructure, Mobile and Cable Voice & Internet, VoIP, Network Deployment,
and Field Engineering.
EXECUTIVE DIRECTOR - Morgan Stanley 2004-2008
I was recruited to lead the Front & Back Office Technology Development and Opera
tions exceeding 200+ staff supporting: Brokerage, Banking, Mutual Funds and Hedg
e Fund lines of business. Managed Development and Infrastructure for major onlin
e businesses and achieved 25% reduction in IT spend initiating partnerships with
India and Philippine Offshore companies creating offshore/onshore models for so
ftware development and support.
Performance Milestones:
* Banking - Drove 22% monthly growth in loan applications generating $12+Million
in quarterly revenue for HELOC, Primary and Secondary Mortgages, ARMs, IRAs, an
d Annuities. Integrated software for Account Opening, Checking and Money Market
Accounts, Imaging, ACH Processing, Loan Servicing, Billing & Payments, Credit R
isk, Compliance, AML, KYC, and Client Reporting.
* Mutual Funds & Hedge Funds - Delivered web dashboards supporting Analytics, Ba
ck Testing, Portfolio Beta Scoring and Theory Modeling, Market Data, Pricing and
NAV calculation.
* Lead development of sophisticated Market Analysis, Arbitrage, Alpha/Beta Analy
sis, Program Trading, Portfolio Balancing, Compliance and Risk Management.
* Spearheaded Compliance initiatives addressing regulatory mandates on $140Milli
on of client transactions, reducing net exposure by 85% through recovery and tur
n-around of assets.
* Brokerage - Expertise implementing Order Management Systems for: Program Tradi
ng, Margin/Cash Trading, Options/Futures, Index Arbitrage, Analytics, Market Dat
a & Liquidity, and Pricing.
* Transformed Software Development and Operations for ultra high volume, high fr
equency, 7x24 environments supporting 10+Million daily transactions, improved pe
rformance from 95% to 99.9%. Managed strategic programs and Product Architects
supporting 900+ Branches, 8,000+ Representatives, and 3.5 million clients.
* Placed into service Market Data & Liquidity services including Sourcing Strate
gy, Real-time execution to all major exchanges & ECNs, Order Type & Routing for
Best Execution, Transaction Cost Analysis, Algorithmic Trading, Derivatives Pric
ing Sensitivity Analysis, and Time Value of Money worksheets.
SENIOR DIRECTOR - Investors Bank & Trust 2002-2004
Senior Director and Account Executive for Trust and Custodian Services to intern
ational clients responsible for integration of major accounts and delivering 7x2
4 secure access to financial transactions.
Performance Milestones:
* Directed Client Outsourcing and Integration of $500Billion in assets into Trad
e Operations, Transfer Agency, Trust Services, Custodian Services, Multicurrency
Fund Accounting, Private Client and Fiduciary Services.
* Implemented new product programs increasing average transaction size and custo
mer utilization growing revenues by 12% year-over-year.
* Guided Data Warehouse and Business Intelligence teams to complete delivery of
Oracle's fault-tolerant ERP solutions in support of 7/24 services.
* Corrected 14+ months of missing deadlines and unacceptable customer service, e
stablished and staffed the Project Management Office and directed customer help
desk to ensure successful integration of services, reducing complaints by 24%, i
mproving overall customer satisfaction by 35%, and sustaining over 99.9% uptime
VICE PRESIDENT - American Century Investments 2000-2002
Directed the implemented of new services in Portfolio Modeling, Analytics, Order
Management, Trading, Pricing, Market Data, Portfolio Accounting, NAV calculatio
n, and Client Reporting.
Performance Milestones:
* Reduced cycle time for upgrades and maintenance 25%, lowered cost of operation
s 30% and redirected resources to new product development by eliminating redunda
nt processes, consolidating shared services, and instituting performance based K
PI's, budget controls and hiring practices across teams in Kansas City, New York
, San Jose and Singapore.
* Played a key role in introducing a new line of business focused on institution
al investors with individual buy-in of $5Million and total capitalization of $25
0Million. Established policy & standards, instituted Chinese Wall between Mutua
l Fund, Hedge Fund and Institutional operations, and integrated a new compliance
VICE PRESIDENT - Financial Services Management Consulting 1997-2000
* Business Development Executive contributing 25% of office revenue and exceedin
g target sales by 150% while growing professional staff by 40%.
* Directed professional services in developing business solutions for Securities
Trading, OMS, Analytics, Market Data, Portfolio Accounting, Compliance, eMarket
ing, ATM's, Client Accounts, Demand Deposit Accounts, CRM, ERP, MRP, Supply Chai
n, Client Records, Billing, Data Warehouse, and Business Intelligence Systems.
* Negotiated $200+Million in vendor contracts and services for evaluation and in
tegration of Commercial-Off-The-Shelf (COTS) packages with large-scale providers
(Microsoft, Oracle-DBMS/Siebel/PeopleSoft, Sybase, SAP, Business Objects, Micro
Strategy, IBM, HP, SUN, CISCO, ATT, and Sprint).
Prior Experience
Senior Manager - Ernst & Young
* Practice Director for Risk and Compliance Management, Benchmarking, and Offsho
re Integration Services. Designed and implemented coherent and comprehensive so
lutions for risk controls including risk avoidance and risk transfer.
* Expertise in the design and implementation of high-availability, high-volume s
olutions for Financial Services, Securities Trading and Inventory Management, in
cluding: Order Management, Trading, Compliance, Reporting, Portfolio Accounting
and Risk Management.
Bachelor Degree in Planning & Management, University of Cincinnati, CGPA 3.6, Cu
m Laude, Top 5%
Professional development training: Leadership Curriculum for Senior Managers, In
formation Systems Management, Business Dynamics, Management Skills, Advanced Inf
ormation Management, The Psychology of Selling-Brian Tracy, Covey Leadership Cen
ter, Leadership Challenge, Process Engineering
Lean Methods and Six Sigma Practices Specialist
Project Management (PMBOK) Expertise
Recipient of 6 Management Achievement Awards
Recipient of 5 Stock Option Grants