DESIGNED AND DEVELOPED AND BY

SALAHUDDIN KHAWAJA

ABOUT THE AUTHOR

Salah has 15 years of experience, primarily in the Financial Services Industry.

Before joining JP Morgan he spent 11 years at Deloitte & Touche helping Fortune
500 clients with various types of Strategic Initiatives,.

He is currently is based in Hong Kong with responsibility for delivering the next
generation platform for Securities Processing.

Areas of Expertise: Strategy Development, Business Transformation, System

Integration, Program & Project Management, Mobile Strategy, Data Analytics,
Executive Presentations

Sample Clients: Bank of America, Citi, MasterCard

CONTACT
salahk@gmail.com

-1-
Author’s Message

This deck will save you time, ensure a consistent look-feel and help you produce
a more polished and powerful product.

The purpose of this slide deck is to help you create insightful presentations.
The slides in this deck have evolved
over the years based on work at
This timesaver has a large number of preformatted slides (40+) that can be
various organizations.
easily leveraged. It also has frameworks and methodologies (35+) that you
can utilize when faced with a challenging problem.

Why re-invent the wheel? Just come here. Leverage.

Or, can’t think of the right way to depict a thought? Brain-cramp? Peruse the
content. This will get the creative juices going.

Happy decking!

Acknowledgement
 The author wishes to acknowledge the inspiration taken from the Landis Template, created by Ken Landis
(Deloitte), in developing the Timesaver
 A big thank you to clients and colleagues who have helped me grow over the years: Tim Westendorf, David
Hodgson, Sumit Malhotra, Jordane Elmassian and Sundeep Nehra

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I P. 4
II P. 11
III P. 22
IV P. 27
V P. 55
VI P. 70
VII P. 105

Getting Basic Slides Executive Models and Project Frameworks Miscellaneous

Started Summary Objects Management and
Templates Templates Methodologies

Provides an A set of basic A set of Executive A set of slides A set of slides A set of proven A set of
overview of this slides that should Summary that can be that can help run frameworks and miscellaneous
deck meet simple templates that will leveraged to a project more methodologies slides
needs help summarize depict an idea smoothly
the message

-3-
I II III IV V VI VII
Getting Basic Slides Executive Models and Project Frameworks Miscellaneous
Started Summary Objects Management and
Templates Templates Methodologies

 Cheat Sheet
 Slide Structure
 7 Deck Rules

-4-
Cheat Sheet

This is the go-to slide to quickly copy/paste a majority of the elements that are needed to create a
presentation.

Title of Box Basic Chevrons Title of Box

 Main bullet – 11 font
 Main Bullet – 9 Font
 Sub-bullet (lighter share) Phase I: Phase II: Phase III:
• Sub-sub-bullet Analysis Design Build

 Pro bullet
 Con bullet Details on Slide X

Callouts Callouts Callouts

43,78,114 120,142,165 224,224,224

90, 80, 80 149,136,130 127, 127, 127

Misc Objects RAG Status Harvey Balls Gantt

Not Started 2013
G Green: On Track J F M A
1 Initiated
Parallel Test Complete
A Amber: At Risk In Progress
Go-Live
Closing
R Red: Off Track
Complete

-5-
Pin Timesaver

Pin this Timesaver for easy and quick access.

After opening this deck, pin it for

quick access.

-6-
Slide Structure

A typical slide has 6 distinct components.

The Headline is a short title The Lead is a brief, sharp

1 2
describing the slide statement summarizing the slide

The Body is the core part of the

3
slide (also known as the Storybox)

The Company Logo is displayed Page number in the middle of the The Department or Project Name
4 5 6
for branding purposes slide is displayed for branding purposes

-7-
Slide Structure – Bleeding

Content should be restricted into these components: Headline, Lead and Body.

Content should not bleed into the border of the slide

(as indicated by the red line and blue border)

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7 Deck Rules

Follow 7 rules to make compelling presentations.

Understand
the Canvas
I
Make it Keep it
Sing Simple
VII II

There are 7 Rules behind the Follow them all to

art and science of creating a 7 DECK4 RULES successfully convey your
great presentations. message.
Leverage VI III Tell a
a Library Story

V IV

Focus on Solve a
Composition Problem

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 Click to see more:
decklaration.com

- 10 -
I II III IV V VI VII
Getting Basic Slides Executive Models and Project Frameworks Miscellaneous
Started Summary Objects Management and
Templates Templates Methodologies

 Bullets
 Table
 Models
 List
 Timeline

- 11 -
Sample Slide 1: Organized Sections Bullets

Over the years SystemX has evolved and it is increasingly complex to add functionality. Programs have been
launched to strategically change the core platform.

Current State
 Billing has evolved over the last 30 years
 Processes and systems have been cobbled together as a result of mergers and acquisitions

 The core platform has had no strategic structural change

 The organization is currently structured in functional silos

Key Issues
 Enhancing or adding functionality is increasingly complex and requires significant effort and cost
 Increasingly difficult to keep pace with the changing business landscape and providing value added services
 It is expected that current and new business strategic initiatives will make increasing demands

 The Billing lifecycle has become fragmented which increases internal control risks
 High risk of not being able to meet certain complex requirements

Go Forward Approach
 Launched multiple programs to move towards:
 A single integrated global Platform (from a process and technology perspective)
 The adoption of a “Utility Mindset”
 Leverage Like Functions, Centers of Excellence, Across LOBs
 Holistic business process management (alignment with client, end-to-end control framework etc)

- 12 -
Sample Slide 2: Table

Overall project is green and on track.

# Phase Status Progress Trend Status

 Vision workshop completed

 Determine critical path Operating Model items
I Planning Green
 Develop high-level roadmap
 Develop detailed 2013 plan

 Selected MVPs for functional delivery to Operations

 Drafted Conceptual To-Be process flows for MVP
Scoping &
2 Green  Performed analysis to validate products supported by SystemX for the NY Market
Analysis
 Translated the existing BRD into Process Flows
 Drafted “Requirements Catalog” of existing requirements

3 Build Green  Build activities are underway

Operational  Documentation of procedures and controls to start

4 (Not started)
Readiness

 185 defects remain open

5 Defects Amber  104 are under review, 52 are in the process of being
fixed and 29 are ready for retesting

Key Not Started Initiated In Progress Closing Complete

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Sample Slide 3: Chevrons

Approach to Change – Understanding the future of the Banking Sector and a bank can get there will involve
launching a Strategic Initiative that will have 3 phases.

Approach

Phase I: Phase II: Phase III:

I II III
Strategy Development Future Architecture Roadmap

 Assess internal and external factors
(Risk Appetite, Regulations,
Technology trends etc)
 Identify change drivers
 Perform a current state assessment
across People, Process and
Technology
 Define the strategic objectives
 Determine future state based on
strategic objectives, change drivers
and leading practices
 Perform Gap Analysis
 Develop business case and
roadmap based on project priorities,
impact, cost and resource
requirements
 Develop methodology for
prioritization and critical path of the
identified projects, and define
resources and cost implications with
executive inputs
 Implement various program

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Sample Slide 4: Model v1

A model for strategy development …

Current State Assessment Strategy Development

Organizational Analysis Scenario Analysis

Economic Environment
and Forecast Mission, Values and
People Vision
Risk Appetite Competitive Position
Process
Business Constraints Strategic Objectives
Technology
Regulatory Drivers
Industry Direction
Performance Measures
Leading Practices and Targets
Financial Modeling and
Customer Analysis
Technology Trends Planning
Geographical Regulatory Drivers
Considerations Market Analysis Strategy Formulation
INPUTS OUTPUTS

Line of Asset Commercial Investment Private Securities Treasury

Business Management Banking Banking Banking Services Services

- 15 -
Sample Slide 5: Model v2

Maturity Model – A maturity model can be used to help develop the Future State Architecture and perform the
Gap Analysis.

Value / Leader

 “Utility mindset” – Leverage

Like Functions, Centers of
Excellence, Across LOBs
Service / Advocate  Process optimized across
the enterprise and globe to
Effectiveness

support business innovation

 Globally defined and
integrated processes  Technology is a value
Defined / Proactive enabler and becomes a
 Business and customer
aligned organization core part of the client
 Regionally defined
offering
processes with increased
 Technology strategy is
Initial / Ad hoc automation
developed in conjunction  Focus on customer
 Functional/Product aligned with the business strategy experience is embedded in
 Locally defined processes BAU
organization
 Indigenously grown  Engaged focus on customer
 Fragmented focus on  Agile business model with a
organization and experience
customer experience decreased time-to-market
technology

Past Today Future

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Sample Slide 6: Call Out

Developing a business case can show management the business imperative and value of adopting a
particular approach.

Components of a Business Case

1 2 3 4 5 6 7

Executive Strategy and Change Vendor Cost and Risks and Implementation
Summary Current State Drivers Evaluation Benefits Derailers Plan
Assessment (optional)

One of the critical components of the business

case is the Total Cost of Ownership Model

The financials show the overall

investment, break-even point and
Return on Investment (ROI).

- 17 -
Sample Slide 7: Methodology

The assessment methodology can evaluate coverage across 7 Risk Management Domains and 9 Risk
Categories

Policies, Compliance /
Strategy Governance Standards & Strategic Financial Stability
Legal
Procedures
Confidentiality
Risk Management Processes Contractual Reputation
of Information

Communication, Transaction / Integrity of

Tools and Metrics and Business Continuity
Training & Operational Data
Technology Reporting
Awareness

Standard domains in an Enterprise Risk Over 15 processes expected to cover these

Program Risk 9 risks categories
Management Program
Domains Categories

Analysis was completed to determine Assessment Observations & Thematic areas of opportunities to get to
improvement opportunities Approach Recommendations the next level were identified

Interviews Governance and Reporting

Control Objectives Assessment Risk Appetite

Risk Processes and Scenarios Supplier Classification

Governance Model and RACI Analysis Supplier Risk Management Processes

Audit Analysis Other Supplier Risk Management Enhancements

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Sample Slide 8: List

Changes in technology will play a critical role in ensuring the organization maintains and extends its
leadership position over the next few years.

Disruptors Enablers

Disruptors are technologies that can create Enablers are technologies in which investments have
sustainable positive disruption in IT capabilities, been made, but which warrant another look. Enablers
business operations and sometimes even business may be more evolutionary than revolutionary.
models.

1 Social Business 1 Data Analytics (aka Big Data)

2 Gamification 2 Geospatial Visualization

3 Enterprise Mobility Unleashed 3 Digital Identities

4 User Empowerment 4 Measured Innovation

5 Hyper-hybrid Cloud 5 Outside-in Architecture

- 19 -
Sample Slide 9: General Timeline

XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX

2003 2004 2005 2006 2007 2008 2009 2010 2011

XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX

XXXXX XXXXX XXXXX XXXXX XXXXX

- 20 -
Sample Slide 10: Gantt Program Timeline

The best way to plan out a project is to look at the various activities visually. The best tool to do that is a
simple Gantt Chart. A Gantt Chart is a visual representation of the various project activities.

2013 2014 2015 2016

J F M A M J J A S O N D Q1 Q2 Q3 Q4 Q1/2 Q3/4 Q1-4

Wave 1
Develop Business Case

Develop Business Architecture Requirements

Design Technical Architecture

Development / Build

System Integration Testing Complete

User Acceptance Testing Complete

Parallel Test Complete

Go-Live

Post Implementation Review

Wave 1 Complete

Wave 2

Wave 3

Wave 4

Wave 5

Today
- 21 -
I II III IV V VI VII
Getting Basic Slides Executive Models and Project Frameworks Miscellaneous
Started Summary Objects Management and
Templates Templates Methodologies

 Summary
Templates

- 22 -
Executive Summary – Option 1 – Basic

Over the years SystemX has evolved and it is increasingly complex to add functionality. Program have been
launched to strategically change the core platform.

Current State
 Clearing has evolved over the last 30 years
 Processes and systems have been cobbled together as a result of mergers and acquisitions

 The core platform has had no strategic structural change

 The organization is currently structured in functional silos

Key Issues
 Enhancing or adding functionality is increasingly complex and requires significant effort and cost
 Increasingly difficult to keep pace with the changing business landscape and providing value added services
 It is expected that current and new business strategic initiatives will make increasing demands

 The Clearing lifecycle has become fragmented which increases internal control risks
 High risk of not being able to meet certain complex requirements

Go Forward Approach
 Launched multiple programs to move towards:
 A single integrated global Platform (from a process and technology perspective)
 The adoption of a “Utility Mindset”
 Leverage Like Functions, Centers of Excellence, Across LOBs
 Holistic business process management (alignment with client, end-to-end control framework etc)

- 23 -
Executive Summary – Option 2 – Situation-Complication-Resolution
To support the future growth of our business, lower the cost of running the Clearing process, and more
efficiently manage our business and financial risks the we recommends the implementation of the Strategic
Enhancement Program (StEP).

Situation

 Since September 2007, we have completed the ProgramX Planning & Analysis (P&A) phase, updated the Total Cost
of Ownership (TCO) model, gathered internal & external customer views, and complied a list of key infrastructure
projects

 Based on the P&A results the new proposed platform meets our needs and could be implemented within an 18-24
month period

Complication

 Internal meetings with customer and commerce development teams confirmed that current and new strategic
initiatives, and evolving business needs will continue to put increasing demands on the legacy system

 Enhance customer experience, reduce time-to-market, improve controls and reduce costs

Resolution

 To support the future growth of our business, lower the cost of running Clearing, and more efficiently manage our
business and financial risks the program team recommends the implementation of the Strategic Enhancement
Program (StEP)

- 24 -
Executive Summary – Option 3 – Business Case View
To support the future growth of our business, lower the cost of running the Clearing process, and more
efficiently manage our business and financial risks the we recommends the implementation of the Strategic
Enhancement Program (StEP).

Program Status
 Since Sep 2007, we have completed the ProgramX Planning & Analysis (P&A) phase, updated the Total Cost of
Ownership (TCO) model, gathered internal/external customer views, and complied a list of key infrastructure projects
 Based on the P&A results the proposed new solution meets our needs and could be implemented within an 18-24
month period

Business Imperative
 Internal meetings with customer and commerce development teams confirmed that current and new strategic
initiatives, and evolving business needs will continue to put increasing demands on the legacy system
 Enhance customer experience, reduce time-to-market, improve controls and reduce costs

Financial Summary
 Implementing and operating the new system is essentially cost neutral over a 10 year period
 The 10 year tax effected NPV cost for implementing and operating new system is $XX.X M compared to operating
the legacy system is $XX.X M

Recommendation
 To support the future growth of our business, lower the cost of running Clearing, and more efficiently manage our
business and financial risks the program team recommends the implementation of the Strategic Enhancement
Program (StEP)
- 25 -
Executive Summary – Option 4 – Analysis Summary

The cross functional team has determined that the UAT can be executed in the timeframe
with the resources allocated

Background
 Key Question: is the ProgramX program adequately resourced across key groups to support the UAT phase
 Key Groups: Operations, QA, Development, Finance

Analysis
 A cross functional team performed the following analysis:
 Detailed out the UAT Test Plan (activities, timeline and roles and responsibilities)
 Determine headcount and their % allocation to UAT activities for each group
 Performed test case/scenario analysis in the context of UAT activities, timeline and resource availability
 Developed assessment framework to analyze feasibility of successfully executing the UAT phase
 Analyzed results to come up with a set of conclusions

Conclusion To-Date
 Overall, the team has determined that the UAT can be executed in the timeframe with the resources allocated
 We have reached a common understanding that testing at the scenario level facilitates successful completion within 8 weeks
 21 UAT testers compares favorable to 22 System Testers
 The 8 week UAT test window has no contingency built-in (however, there is a 4 week overall program contingency)

Next Steps
 As per original plan, the UAT resource plan will be updated based on the following:
 Finalization of the UAT Game Plan which will detail out the planned activities
 Agreement on the acceptance and exit criteria
 Impact of other ancillary activities (data migration, mentoring, training etc.)
 Finalization of test cases/scenarios (currently test cases for 3 of 14 areas have been developed)
- 26 -
I II III IV V VI VII
Getting Basic Slides Executive Models and Project Frameworks Miscellaneous
Started Summary Objects Management and
Templates Templates Methodologies

 Lists
 Chevrons
 Pyramids
 Circles
 Org Chart
 Cubes
 Architecture

- 27 -
List – Option 1 – Simple

The ProgramX system has been operating in a near-full volume production mode for 3 months. The following
metrics illustrate some of the progress that has been achieved across various areas of the program.

1 Design for Growth

2 Design for Efficiency and Centralized Strategic Guidance

3 Design to Balance Flexibility and Integration

4 Design for Robust Governance

5 Design for Collaboration

6 Design for Clear Accountability

7 Design with Market and Customer Focus

- 28 -
List – Option 1 – Two Columns

Changes in technology will play a critical role in ensuring the organization maintains and extends its
leadership position over the next few years.

Disruptors Enablers

Disruptors are technologies that can create Enablers are technologies in which investments have
sustainable positive disruption in IT capabilities, been made, but which warrant another look. Enablers
business operations and sometimes even business may be more evolutionary than revolutionary.
models.

1 Social Business 1 Data Analytics (aka Big Data)

2 Gamification 2 Geospatial Visualization

3 Enterprise Mobility Unleashed 3 Digital Identities

4 User Empowerment 4 Measured Innovation

5 Hyper-hybrid Cloud 5 Outside-in Architecture

- 29 -
List – Option 3 – Depicting Numbers

The mobile revolution is underway – enterprises need to capitalize.

Smartphones 1 Billion # of Smartphones worldwide

Mobile Apps 200+ Billion # of Apps downloaded per year

Tablets 96.3 M # of Tablets in the enterprise by 2016 (up from 13.6)

Mobility 75% Ratio of all workers that have some level of mobility associated with their job

PC Shipment -5% US PC Shipments is falling by 5%

App Development 4x Mobile app development projects will outnumber PC projects by 4 to 1

- 30 -
Chevrons – Option 1 – Timeline / Roadmap

The future roadmap is a culmination of the ERM enhancement assessment and the actionable initiatives from
the current state assessment and gap analysis.

Approach

Vision and Strategic Objectives

Current State Assessment Recommendations Roadmap Development†
Definitions

Defined ERM program
objectives and
enhancements to evolve
the ERM Program to the
next level based on key
internal and regulatory
drivers
Analyzed the current Identified projects and Develop methodology for
landscape and initiatives to address the prioritization and critical
composition, risk recommendations and path of the identified
categorization realize strategic benefits projects, and define
methodology, and risk resources and cost
management processes to implications with
evaluate efficacy of the executive inputs
current state and identified
gaps. Proposed
recommendations based
on gaps and improvement
areas identified, and
validated with key
stakeholders

- 31 -
Chevrons – Option 2 – Process

Supplier Risk Management is broken up into 3 parts: pre-contract, post-contract and close out. It has 9
components.

Event KRI
Management Monitoring

Pre-contract Risk
Sign Contract Risk Close Out
(Due Diligence) Identification Response

Controls Risk
Assessment Evaluation

- 32 -
Chevrons – Option 3 – Circular

Text Text
Text

Text
Text
Text
Text
Text Text

Text Text

Text Text
Text Text

- 33 -
Chevrons – Option 4 – Methodology
The core assessment will occur at the management process level. The management processes can be
broken up into three life-cycle phases, each with a distinct set of control objectives. This extended
framework will be used to conduct 3rd party agency in-country assessments

1. Pre-contract 3. Post- Contract

2. Contract
(Due Diligence) (Execution)

1.1 Supplier Selection 2.1 Standard Template 3.1 Customer Complaint Management

1.2 Supplier Classification 2.2 Contracting Process 3.2 BSRM Survey

1.3 Reputation/Ref Check 2.3 Performance / Reward 3.3 Performance Management

1.4 Financial Stability 2.4 NDA 3.4 Capacity Management

1.5 Use of Sub-contractors 2.5 Local Legal/Regulations 3.5 Compliance Management

1.6 Compliance practices 2.6 Policies 3.6 Periodic Contract Review

1.7 Information Security 2.7 Right to Audit 3.7 Bankruptcy Monitoring

1.8 Sanction Screening 3.8 Key News Event Monitoring

1.9 Contingency Planning 3.9 COB Assessment

3.10 Contingency Plan Monitoring

3rd Party Collection Start Demand letter

Collection Placed collection and phone
Agency Selected
action calls

Close Collection process Interim

account reporting

Debt Legal
collection and action (if
remittance necessary)

- 34 -
Pyramid – Option 1 – Three Levels

What we are delivering

Program View

Business
Delivery

How we are organized to

deliver
Operational
Delivery

How tech will delivery

Technical
Delivery

- 35 -
Pyramid – Option 2 – 4 Levels

Business
Strategy

Portfolio
Management

Program
Management

Project
Management

- 36 -
Pyramid – Option 3 – Multi-dimensional

MISSION

Leading
Bank

VALUES
Performance

Trust Commitment

VISION

Client Service

- 37 -
Venn Diagrams

Text Text Text

Text Text

Text Text Text Text

- 38 -
Circle – Option 1 – Basic

Shareholders Board

Management Customers

MISSION
VALUES
VISIONS

Employees Society

Regulators Partners

- 39 -
Circle – Option 2 – Callouts

Key to getting the certification is getting a deep understanding of the 9 Knowledge Areas and their
corresponding sub-process (a total of 42).

 Develop Project Charter  Collect Requirements

 Develop Project Management Plan  Define Scope
2
 Direct and Manage Project Execution 1  Create WBS
 Monitor and Control Project Work  Verify Scope
 Perform Integrated Change Control  Control Scope
Integration Scope
 Close Project or Phase
Management Management
4  Estimate Cost
 Define Activities 3  Determine Budget
 Sequence Activities  Control Costs
Time
 Estimate Activity Resources Cost Management
Management
 Estimate Activity Durations
 Develop Human Resource Plan
 Develop Schedule
 Acquire Project Team
 Control Schedule
 Develop Project Team
Quality Human Resource 6  Manage Project Team
Management Management
 Plan Quality
 Perform Quality Assurance  Plan Risk Management
5
 Perform Quality Control  Identify Risks
Communications  Perform Qualitative Risk
Risk Management Analysis
Management 8
 Perform Quantitative Risk
 Identify Stakeholders
Analysis
 Plan Communication
7  Plan Risk Response
 Distribute Information
Procurement  Monitor and Control Risks
 Manage Stakeholder Management
Expectations
 Report Performance
9  Plan Procurements
 Conduct Procurements
 Administer Procurements
 Close Procurements
- 40 -
Circle – Option 3 – Orbit

X X

X X X

X X

- 41 -
Circle – Option 4 – Cross-hair

Company Division

Customer

Invoices

Detailed Reports

Product/
Region
Service

- 42 -
Circle – Option 5 – Flow (4 steps)

Heading
[Summary text]

Heading Heading
Focus
[Summary text] [Summary text]

Heading
[Summary text]

- 43 -
Circle – Option 5 – Flow (5 steps)

Heading
[Summary text]

Heading Heading
[Summary text] [Summary text]

Focus

Heading Heading
[Summary text] [Summary text]

- 44 -
Honeycomb

Major Lines
of Business
2 3

Risk Audit &

Management Risk Review

Risk
Management
4 5

Compliance Operations &

Control Technology
6

Finance

- 45 -
Organizational Chart

Name_here
Title_here

Name_here
Title_here

Name_here
Responsibility1
Responsibility1

Name_here Name_here Name_here Name_here Name_here Name_here Name_here

Responsibility1 Responsibility1 Responsibility1 Responsibility1 Responsibility1 Responsibility1 Responsibility1
Responsibility2 Responsibility2 Responsibility2 Responsibility2 Responsibility2 Responsibility2 Responsibility2

Name Name Name Name Name Name Name

Role Role Role Role Role Role Role

Name Name Name Name Name Name

Role Role Role Role Role Role

Name Name
Role Role

Pillar_name_here Pillar_name_here Pillar_name_here

- 46 -
Cube – Option 1 – Basic

Operation
Integration
Business Requirements

Engineering
Planning
Technical Requirements

Operational Requirements

Regulatory Requirements

- 47 -
Cube – Option 2 – Multi-layered

Svc2 Svc 3

App2

Svc1 App1

Cash
Operational
Support and Securities
Control

Capacity Management & Workstream Coordination

Simplified App & DB Infrastructure

Virtualized Operating Platforms

- 48 -
Cube – Option 3 – Callout

In order to reconcile each feeder, the teams are working across a number of challenging areas. Each must
be properly aligned in order for the new system to reconcile to legacy system.

An increase in incidents have occurred over Defects continue to be worked through,

the last 3 weeks; delays in schedules limit the (impact: untimely billing, duplicate or missed
review time of business analysts files and rates/tiers issues)

Tiers are being deep dived to ensure they are

working properly
Tiers

Changes are identified during review of daily Rates

Defects
and weekly bill runs
Changes are made in PROD once weekly and
DR twice weekly Matching Rules

Key items within customer setup method must

be maintained
Customer setup

Two change requests for filters are underway

to ensure the proper filtering Filters

- 49 -
Architecture – Option 1 – Layered

Broker/Dealer Processing Environment

Manual
interventions &
Relaying SWIFT redundant
SWIFT FAX
other products Gateway
processes built
to overcome
technology and
Product operational
Specific Front Office Back Office shortcomings
Processes & Bank Adjustments
Architectures T+2
T+3
Corporate
Foreign Exchange Reconciliations T+1
Foreign Exchange
Derivatives Bank Adjustments
Consolidations

Foreign Exchange Reconciliations

T+3
T+2
Bank Adjustments Money Market T+1

Money Market Reconciliations Corporate

T+3
Credit
Numerous
Bank Adjustments T+2
Equity T+1 reconciliations
Equity
Reconciliations are required to
Business logic T+3
Bank Adjustments T+2 ensure data
imbedded into Derivatives Derivatives T+1
Reconciliations Corporate integrity
product specific
T+3 Risk
systems Fixed Income
Bank Adjustments
T+1
T+2
Fixed Income
Reconciliations
Firm-wide
operational
information is
Product-Based Reference and Reference Data Books and Records
hard to
Operational Data
assemble
Redundant
Indicatives Corporate quickly and
reference data FX MM EQ Deriv FI
and Accounting GL accurately
sources stored
in product silos

Front Office Reporting Management and Corporate Reporting

Trader Excel Tender P&L Risk and Public & Corporate Other
Positions Based (T+3) Compliance Regulatory Tax

 Technology infrastructure is fragmented, inconsistent and costly to maintain

 Systems are batch cycle oriented, disallowing real-time processing
 Data is inconsistent and redundant, complicating production of enterprise wide risk and performance information

- 50 -
Architecture – Option 2 – Pillars
Application Integration
Services
 These services are the “glue” that
hold all other services together.
 They provide seamless integration
and communication capabilities to
ensure reliable transaction
processing
Content Based Routing
Service
Message Transformation
Service
Protocol Transformation
Service
Queuing Service
Transport Services
Application Support
Services
 These services form the core
business engine
 They are represented as running
throughout the infrastructure
providing successful transaction
management capabilities at all
times
Data Consolidation Service
Data Enrichment Service
Data Transformation
Service
Data Validation Service
Exception Reporting
Rules Management
Transaction Monitoring
- 51 -
System Management
Services
 These services are represented as
the core of the infrastructure.
 They interoperate with all of the
other services and provides
system-wide management to
enable coordination of resources,
processes and technology
Application Management
Capacity Management
Database Management
Disaster Recovery Service
Event Management
Network Management
Output Management
Reporting
Workload Management
Security
Services
 These services are represented as
the core of the infrastructure.
 They interoperate with all of the
other services and provides
system-wide management to
enable coordination of resources,
processes and technology
Access Control Service
Authentication Service
Authorization Service
Encryption Service
Roles & Profiles
Single Sign on
Architecture – Option 3 – Tunnels

The architecture is illustrated as the “pipe” between processing nodes as represented in the functional model.
It is the sole conduit of transactional data across applications both internally and externally.

PORTAL FRONT OFFICE BACK OFFICE

Derivatives Derivatives
Corporate

Equity Equity

Derivative
Fixed Income Fixed Income

Equity
Foreign Exchange Foreign Exchange

Foreign Exchange Derivatives Foreign Exchange Derivatives

Corporate Corporate Corporate
FI
Money Market Money Market Consolidation Risk Credit

FX
Security Services
Application Integration Services
Adapters

Adapters
FX Deriv
Application Support Services

MM System Management Services

Product-Based Reference and Reference Data Books and Records

Operational Data

Indicatives Corporate
FX MM EQ Deriv FI
and Accounting GL

Front Office Reporting Management and Corporate Reporting

Trader Excel Tender P&L Risk and Public & Corporate Other
Positions Based (T+3) Compliance Regulatory Tax

- 52 -
Architecture – Option 4 – Multi-component

Future
Components

Message Transport

Message Transformation, Enrichment,

Routing & Error Handling

Legacy Adapters
Optional
Message Repository

Optional Optional

Core Components

Services
Core Components

Core Components
Business Analysis &
Project Management

Core Components
Technical Solution Delivery
Technical Infrastructure Services

Optional Optional

Optional
Services
Services

Real-time for Capital

Markets - SWIFT Offering

- 53 -
Architecture – Option 5 – Multi-component and Layers

INVESTMENT ADVISORY CLIENT SERVICE

Web Access
Advisor Workstation
Call Center
Advisor Workstation Web Access
CRM Fees and Invoicing
Call Center
Advisor Workstation Web Access
Client Reporting
Market CRM Fees and Invoicing
- Customer
Account Maintenance Client DataCall Center
Advisor Workstation Client Reporting
Web Access
- Products CRM Fees and Invoicing
CompanyX
CompanyX
Account Maintenance Call Center
Advisor Web Access
Client Reporting
- Delivery CRM Workstation CompanyX Fees and
Private Invoicing
Bank
- Geographies CompanyX Private
Account Bank
Opening Call Center
Client Reporting
International PrivateCRM
Bank InternationalFees andBank
Private Invoicing
Client Reporting
Personal Wealth Management Personal Wealth Management

Institutional (IIG / IFG) Institutional (IIG / IFG)

PRODUCT SUPPORT ORDER PROCESSING ACCOUNTING / CUSTODY

Clearing / Custody
Order Entry Settlement
Analytics
Confirms
Order Routing “Brokerage” Accounting
Trust Accounting (SEI)
Research Brokerage Statements
Order Execution
Compliance
Common Platform Common Platform Common Platform

MARKET DATA

Securities
Reference Data

Common Platform

- 54 -
I II III IV V VI VII
Getting Basic Slides Executive Models and Project Frameworks Miscellaneous
Started Summary Objects Management and
Templates Templates Methodologies

 Status Report
 Gantt Chart

- 55 -
Status Report – Option 1

Overall project is green and on track.

# Phase Status Progress Trend Status

 Vision workshop completed

 Determine critical path Operating Model items
I Planning Green
 Develop high-level roadmap
 Develop detailed 2013 plan

 Selected MVPs for functional delivery to Operations

 Drafted Conceptual To-Be process flows for MVP
Scoping &
2 Green  Performed analysis to validate products supported by SystemX for the NY Market
Analysis
 Translated the existing BRD into Process Flows
 Drafted “Requirements Catalog” of existing requirements

3 Build Green  Build activities are underway

Operational  Documentation of procedures and controls to start

4 (Not started)
Readiness

 185 defects remain open

5 Defects Amber  104 are under review, 52 are in the process of being
fixed and 29 are ready for retesting

Key Not Started Initiated In Progress Closing Complete

- 56 -
 Status Rating G
Status Report – Option 2

Current status is Green for Go Live on Nov 5. Phase 2 scheduled for Q2 2013.

Phase Status Progress Achievements Current Focus / Next Steps

 82% UAT Test Cases completed (75% passed)  Complete UAT by October15th
 58 defects remain open (18 are critical)
Phase IV:
Amber  Total 122 defects have been opened till-date
UAT
 Due to high number of defects UAT Sign off delayed to
Oct 15 (from Sep 28)

 Parallel Plan framework developed; details are being  Complete Parallel Plan by October 5th
Phase V: documented  Finalize action plans to address risks
Green
Parallel Plan  Risk have been identified (environment, reference data  Parallel run to start Oct 16th
etc) and action plans are being developed

 Go-Live and Migration plan being developed  Complete Go-Live and Migration plan by Oct 12th
Phase VI:
Green  Plan developed to communicate to external stakeholders
Go Live during the week of Oct 15

2012 2013
J F M A M J J A S O N D J F M A M J

Build
System Integration Testing

UAT
UAT Completed A

Parallel Testing
R Red A Amber G Green
KEY N Parallel Test Complete
H On Hold C Complete N Not Started
N Phase 2 Go Live
Go Live Nov 5 (TBD)

- 57 -
Gantt Chart

The best way to plan out a project is to look at the various activities visually. The best tool to do that is a
simple Gantt Chart. A Gantt Chart is a visual representation of the various project activities.

2013 2014 2015 2016

J F M A M J J A S O N D Q1 Q2 Q3 Q4 Q1/2 Q3/4 Q1-4

Wave 1
Develop Business Case

Develop Business Architecture Requirements

Design Technical Architecture

Development / Build

System Integration Testing Complete

User Acceptance Testing Complete

Parallel Test Complete

Go-Live

Post Implementation Review

Wave 1 Complete

Wave 2

Wave 3

Wave 4

Wave 5

Today
- 58 -
Objects – Harvey Balls and Status

Green: On track (0-1 Not Started

Not Started R
week delay)

Amber: Slight delay Identified

Initiated A
(1-3 weeks delay)

Red: Major delay Underway

In Progress G
(3+ weeks delay)

Closing Significant Progress

Complete Complete

Status R Red A Amber G Green H On Hold C Complete P No Update

KEY Trend Positive Negative Even

Progress
Not Started Initiated In Progress Closing Complete

Key Not Started Initiated In Progress Closing Complete

- 59 -
Timeline / Roadmap – Plain

XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX

2003 2004 2005 2006 2007 2008 2009 2010 2011

XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX XXXXX

XXXXX XXXXX XXXXX XXXXX XXXXX

- 60 -
 R Red A Amber G Green
Status
KEY H On Hold C Complete P No Update

Dashboard – Overall Project Summary Trend Positive Negative Even

# Key Areas Status Trend Initiative Status

Subcategory Project Name G

Project Name G Project Name G Project Name G Project Name H

Subcategory Project Name G Project Name A Project Name G Project Name A

Strategic
1 G
Initiatives Project Name A Project Name G Project Name G

Subcategory Project Name G Project Name G Project Name G Project Name H

Subcategory Project Name G Project Name G Project Name G Project Name G

Subcategory Project Name G FATCA G Project Name G Project Name C

Project Name G Project Name G Project Name G Project Name G

Subcategory
Tactical Project Name G Project Name G Project Name G Project Name G
2 G
Initiatives
Subcategory Project Name A Project Name A Project Name A Project Name R

Subcategory Project Name G

Project Name G Project Name G Project Name G Project Name G

Subcategory
Project Name G Project Name A Project Name P Project Name G
3 Category 3 G

Subcategory Project Name G

4 Category 4 G Subcategory Project Name G Project Name G

- 61 -
Risk Template
# Risk / Issue Owner Type Severity Current Status / Mitigation Strategy

1 Issue High

2 Risk Medium

3 Medium

4 Medium

5 Medium

- 62 -
Project Dashboarding

Risk and Issues are communicated to management via the Dashboarding process.

Overall Status Gantt / Roadmap Additional Comments

Slide 64 Slide 65 Slide 66

Risk / Issue Post Implementation Off-Track Template

Slide 67
Slide 68 Slide 69

- 63 -
 RAG Status

Manager: Tech Lead: Initiative Lead:

Initiative Background Current Status Summary

Objective

Achievements Current Focus / Next Steps

Scope

Dependency

Benefits/ROI

Financials

Priority: Risk

Completion Date:

- 64 -
 RAG Status

Manager: Tech Lead: Initiative Lead:

Roadmap – Gantt

2013 2014 2015 2016

J F M A M J J A S O N D Q1 Q2 Q3 Q4 Q1/2 Q3/4 Q1-4

R Red A Amber G Green

KEY
H On Hold C Complete N Not Started

- 65 -
 RAG Status

Manager: Tech Lead: Initiative Lead:

Risks / Issues
Target Close
# Risk / Issue Owner Type Severity Likelihood Open Date Change Mitigation Strategy and Current Status
Date Date

- 66 -
 RAG Status

Manager: Tech Lead: Initiative Lead:

Additional Comments

- 67 -
 RAG Status

Manager: Tech Lead: Initiative Lead:

Post Implementation Review

Planned Objectives Achieved Objectives Gap / Delta

- 68 -
 RAG Status

Manager: Tech Lead: Initiative Lead:

Off Track

Off-track Summary Root Cause Get Well Plan

- 69 -
I II III IV V VI VII
Getting Basic Slides Executive Models and Project Frameworks Miscellaneous
Started Summary Objects Management and
Templates Templates Methodologies

 Business
Transformation
 Strategy
 Maturity
Models
 Roadmap
 Program
Management

- 70 -
Slides
Status:
presented in
Core + Cross
this section are
Process
in no particular order …
Function

- 71 -
Business Transformation Approach

A complex business transformation could take multi-years. Not all phase’s depicted below are necessary.

2013 2014 2015 2016

J F M A M J J A S O N D Q1 Q2 Q3 Q4 Q1/2 Q3/4 Q1-4

Phase I: Strategy Assessment I

Phase II: Business Case II

and Roadmap

Phase III: III

Vendor Selection

Phase IV:
IV
Program
Implementation

- 72 -
Business Transformation Approach – Details

High-levels steps of the 4 phases are detailed below.

Approach

Phase I: Phase II: Phase III: Phase IV:

I II III IV
Strategy Assessment Business Case & Roadmap Vendor Selection Program Implementation

 Define overall vision and  Develop business case
strategic objectives
 Perform a strategy &
current state assessment
across People, Process
and Technology (identify
gaps)
 Determine target state
based on strategic
objectives, change
drivers and leading
practices
 Document high-level
and roadmap based on requirements; issue RFI
project priorities, impact, and RFP
cost and resource
 Conduct Deep Dive
requirements
Assessments
 Conduct reference calls
& customer visits
 Performed independent
research
 Performed due diligence
 Develop methodology
for prioritization and
critical path of the
identified projects, and
define resources and
cost implications with
executive inputs
 Sign agreements with
vendors (MSA, SOW etc)
 Implement various
program and project
initiatives.

- 73 -
Strategy: Plan to Change
Define
 Defined mobility goals
(revenue, efficiency,
customer experience etc)
 Define business case and
prioritize the roadmap
 Budget approval
 Current state assessment
of Mobility infrastructure
Mobile applications should be developed using a
methodology tailored for mobile devices
Approach
Design Develop Deploy
 Develop mobile use cases  Develop various mobile  End to end testing
 Process products
 Launch various mobile
requirements
 Develop/modify services products
 User interface
 Mobile web
 Data requirements  Integrate mobile with
 Mobile app
existing channels
 Develop overall solution  Blog
architecture  System Testing  Social Media
 Develop wireframes
Prototype critical features
 Develop launch approach
- 74 -
Program Vision and Strategic Principles

The Program Management Office (PMO) vision and associated strategic objectives
guide all change related activities.

Program Office Vision

Manage and execute all change initiatives to help maintain a

leadership position in Trade Processing.

Strategic Objectives

1 Continuously improve efficiencies (initially by consolidating processes and systems)

Tier 1 2 Address existing and new regulatory requirements

3 Partner with key stakeholders to drive enhanced experience and new functionality

4 Ensure a structured and methodical approach is in place to manage change

Tier 2 5 Streamline processing business and technical architecture to increase time to market

6 Enhance organizational capabilities

- 75 -
Strategy Development Framework

Approach to Strategy Development – A strategy can be developed based on a current state assessment in
conjunction with a set of external/internal inputs.

Current State Assessment Strategy Development

Organizational Analysis Scenario Analysis

Economic Environment
and Forecast Mission, Values and
People Vision
Risk Appetite Competitive Position
Process
Business Constraints Strategic Objectives
Technology
Regulatory Drivers
Industry Direction
Performance Measures
Leading Practices and Targets
Financial Modeling and
Customer Analysis
Technology Trends Planning
Geographical Regulatory Drivers
Considerations Market Analysis Strategy Formulation
INPUTS OUTPUTS

Line of Asset Commercial Investment Private Securities Treasury

Business Management Banking Banking Banking Services Services

- 76 -
Maturity Model

Background
 The Finance Department has played a critical role over the years from both a revenue and business support perspective
 We have evolved globally as a result of marketplace demands, mergers and acquisitions and changes in regulations
 The existing platform has been developed in an unstructured manner, resulting in a fragmented lifecycle
 Varying drivers have resulted in a compelling business case to strategically re-architect the platform

Value / Leader

 “Utility mindset” – Leverage

Service / Advocate
 Globally defined and
integrated processes
Defined / Proactive
 Business and customer
Effectiveness
Like Functions, Centers of
Excellence, Across LOBs
 Process optimized across
the enterprise and globe to
support business innovation
 Technology is a value
enabler and becomes a

core part of the client

 Regionally defined aligned organization
offering
processes with increased  Technology strategy is
automation  Focus on customer
Initial / Ad hoc developed in conjunction
experience is embedded in
 Functional/Product aligned with the business strategy
 Locally defined processes BAU
organization  Engaged focus on customer
 Indigenously grown  Agile business model with a
 Fragmented focus on experience
organization and decreased time-to-market
customer experience
technology

Past Today Future

- 77 -
Forrester’s Mobile Maturity Model

Background
 Everyone needs a mobile strategy, but what is the right approach and what are the appropriate objectives and metrics? To help
product strategists and executives in charge of defining their company’s mobile consumer approach build winning mobile
strategies, Forrester has created a mobile maturity model.
 Developing a mature mobile consumer strategy will help firms more easily adapt to new consumer behavior and to anticipate the
disruption that mobile consumer technologies will increasingly create.

Value / Leader

Service / Advocate
 Models excel at most of the
 Practitioners are companies core mobile disciplines and
that have agreed on a  Models are often large firms
Defined / Proactive shared mobile vision and that have committed
are starting to implement it
Effectiveness

 Experimenters have
launched different mobile
Initial / Ad hoc initiatives and have
experience with different
 Novices are the least technologies but lack a
mature mobile clear vision of what they
organizations want to achieve via mobile
significant resources to
successfully. mobile and have top-level
 Usually companies that executives championing
understand the disruptive mobile efforts.
potential of mobile, even
though they haven’t yet
dedicated significant
resources to it.

Past Today Future

- 78 -
Business Case

Developing a business case can show management the business imperative and value of adopting a
particular approach.

Components of a Business Case

1 2 3 4 5 6 7

Executive Strategy and Change Vendor Cost and Risks and Implementation
Summary Current State Drivers Evaluation Benefits Derailers Plan
Assessment (optional)

One of the critical components of the business

case is the Total Cost of Ownership Model

The financials show the overall

investment, break-even point and
Return on Investment (ROI).

- 79 -
Process Analysis – SIPOC

SIPOC Framework is a Six Sigma tool used for process analysis and can be used to perform a current
statement assessment.

S I P O C

Suppliers Inputs Process Outputs Customers

Provider of inputs to Materials, resources A structure ser of Products or services The recipients of the
the process or data required to activities that transform a that result from the process outputs
execute the process set of inputs into specified process
outputs, providing value
to customers and
stakeholders

Process is typically broken into 5-7 steps

Start Step 1 Step 2 Step 3 Step 4 … Step X End

- 80 -
 Rationale for Platform Upgrade

Varying drivers have resulted in a compelling business case to strategically re-architect

the processing platform.

Move to a process driven

construction that is region agnostic
Highly disjointed and has become
increasingly costly to maintain (30
Process years of accretive development)
Deliver a solution which supports a Driven
growing global business footprint Setup
Aging
Globalization
Systems

A renewed focus on increasing

Compliance with regulation is operational efficiency
becoming complex
Operational
Regulation
Efficiency

Pressure to quickly deliver

Maintain and extend our functionality to support new
competitive, business and Industry Time-to- business, products and services
operational leadership Leader Market
Customer
Experience

A more efficient process will improve the

experience of internal and external stakeholders.

- 81 -
Derailers – Key Implementation Risks

As with any large undertaking, we foresee a series of risks that can potentially derail various programs and
projects under the PMO umbrella.

1 Accelerated implementation approach

2 Resources constraints

3 New regulations or changes to existing ones

4 Budget

5 Key Dependencies on multiple external initiatives

7 Vendor dependencies for some program

8 Organizational strategy changes

9 Shift in priorities

- 82 -
Roadmap Development Approach

A structured and methodical approach was used to develop the roadmap.

Roadmap Development Approach

Part III
Part I Part II Part IV
Prioritization and
Project Templates Project Consolidation Roadmap Development
Dependency Analysis

 Request Project owners to
complete Project scoping
 Consolidate project
information
 Perform cost/benefit  Develop strategic roadmap
analysis to determine
prioritization
 Identify initiative
interdependencies

- 83 -
Project Template

Simple template to gather high-level project information.

Project Name  X Information Accuracy

Operational Efficiency
Project
 X
Description
Enable Growth N/A

Value Add – External

Project Size High / Medium / Low
Customers

Project Value Add – Internal

High / Medium / Low
Complexity Customers

Project Timing Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Customer Experience

2011 2012

Project Impact X Process X System X Organization Security and Reliability

- 84 -
Roadmap – Option 1
2013 2014 2015 2016
J F M A M J J A S O N D Q1 Q2 Q3 Q4 Q1/2 Q3/4 Q1-4

Develop Business Case

Select Vendor

Operating Model and

Business Architecture

Scoping & Analysis

(Requirement Definition)

Sprint 0 Complete
(Entry into Build)

Build Complete
(In Agile Sprints)

System Test Complete

UAT Complete

Parallel Test
Complete

Update Business Case

Go Live

Decommission
Legacy System

Post Implementation
Review
- 85 -
 Roadmap – Option 2
Point of Departure
Charge and Credit US – Canada HFM
Cards Walker GL
Consolidation and
Travel Related External Reporting
Services
(TRS)
EMEA
Stored Value Products
Walker GL

Operational Data Store

Travel Agency Services

J/APA
Walker GL
 Management Reporting
- Network Services
LA/C
GRS

Management Allocations and

 TRS (GRS)
- Merchant Acquisition Management Reporting
Walker GL
- Merchant Processing

 AEB (Hyperion Enterprise)

Propriety Payment

 Multi-Dimensional (Product,
18  Oracle GL EMEA (Walker)
Installations
FAS GL
Hyperion Enterprise
Customer)
Financial Products and AEB Management
Services American Express Reporting and
- High Net-Worth Bank AEB External Reporting
Affluent Individuals (AEB) 6 Installations
(Outside US) Non-FAS GL

Financial Products and

Services
- Financial Institutions
(Worldwide)

 Oracle GL LA/C
 Foundational Future State Design (Walker)
 Develop Strategic COA
 Review Corporate & BU Processes
 Project Governance and Structure  Financial Accounting
Services Hub
 Pilot GL and Reporting Foundation
 Oracle GL - Ledger Unit 021
 AXP Consolidation Ledger

 External Reporting (FCH) Point of Arrival

 AXP (HFM)
 AEB (Hyperion Enterprise)

 Oracle GL TRS US-

Canada (Walker)

 Oracle GL J/APA
(Walker)

 Oracle GL AEB
(FAS / non-FAS)

- 86 -
Vendor Evaluation – Approach

A full blown vendor evaluation could include up to 7 phases.

Phases

Deep Dive Ref. Calls & Independent Total Cost of

RFI RFP Due Diligence
Assessments Customer Visits Research Ownership
Weight

N/A 15 30 15 5 25 10

 Determine RFI  Determine RFP  Develop  Determine  Identify relevant  Determine  Review
approach approach detailed deep customers to Independent business & historical &
dive agenda & be part of the Research technology cost projected
 Draft/issue RFI  Document RFP schedule reference calls organizations components financial data
requirements and visits provided by
 Develop RFI  Develop dive  Schedule and  Refine high-
response  Draft/issue RFP companies or
assessment  Develop conduct level program available via
evaluation framework and assessment Independent timeline
 Develop RFP
Key Activities

criteria & public filings

response scoring framework and Research calls
assessment mechanism scoring  Document  Model to
framework evaluation  Create High-level
criteria and mechanism determine the
 Conduct deep Independent business and likelihood of
 Score RFI assessment dive analysis  Conduct calls & Research technology cost
responses framework bankruptcy
visits assessment estimated
 Create vendor decks  Assess overall
 Create vendor  Score RFP deep dive  Create Ref.  Developed
profiles for financial
 Create vendor assessment Call and TCO model strength based
short-listed based on Customer
vendors profiles for on financial
short-listed onside reviews assessment data
vendors deck

- 87 -
Vendor Evaluation – Guiding Principles

A set of principles should be defined to guide the Customer Relationship Manager (CRM) vendor evaluation
process.

Select a flexible, functionally rich, and industry proven package that can support
1 our CRM vision and objectives

2 Work with a strategic partner that is proven in the CRM space

3 Any vendor/solution selected is expected to have a 80 to 85% fit

Limited customization of the CRM product will be undertaken to ensure that

4 inherent product functionality and flexibility is not degraded

Ensure ability to take ownership of product (not source code) and support with
5 minimal reliance on vendor post implementation

- 88 -
Program Implementation – Organization

The Program System Implementation has 4 key roles: Program Office, Business Integrator, Systems
Integrator and Solution Delivery

Program
Office Clearing Development
The organization has department with support from
established a PMO staffed other tech departments is
by Consulting resources. responsible for performing the
Systems Integrator role

Business System Systems

Integrator Implementation Integrator

The vendor will perform the

The Clearing department is application configuration,
responsible for performing customization, module
the Business Integrator role integration, data migration
and documentation of the
vendor software products
Solution Delivery

- 89 -
Program Implementation – System Implementation
Program Management
Status Reports
Scope Management
Create approach and detailed plans
Financial Management
for activities such as ‘Go-Live’
Lead the overall Program Risk Management planning, Data reconciliation, UAT
Management stream to monitor
Integrated Work Plan resource planning,
program effectiveness, track
Communication Management Parameterization, and UAT game
progress, identify program
plan with support from various
risks/issues, enable creation of
Overarching Integration teams.
mitigation strategies, manage
change control activities and report UAT Plan
Work jointly with QA team to
on program status. Parallel Testing Plan
develop detailed UAT and Parallel
Knowledge Transfer Testing Plans.
Release Management
Data Migration
Business Integration Go-Live Plan Technology Integration
Functional Requirements Technical Requirements
Communication Plan Infrastructure
Data Migration Security
Review and QA Vendor Management Review and QA
Vendor Management

Assist with Functional Requirements

Management and the execution of the
Communication Plan (internal/external
customers). Manage ongoing data migration
activities. Review design documents to
determine tables/fields required for data
migration.
Work jointly with Tech to address a variety of
Interface with the new system around: technology implementation areas including
RTM, Change Control, Contracts, Infrastructure sizing, Data Migration,
Requirement Facilitation, Issue Environment management, Security,
Escalation/Resolution and Performance Testing and Reporting
Communication

- 90 -
Business Strategy and the 3 P’s
To manage change the Program Management Office (PMO) is tasked with putting in a disciplined approach
towards: Portfolio Management, Program Management and Project Management.
Business Strategy
Corporate and Individual Business
unit strategies that define the
direction of the corporation
Portfolio Management
The effective, centralized
management (including identifying,
prioritizing, authorizing and
controlling) of a collection of projects
or programs and other work that are
grouped together to meet strategic
business objectives. The projects or
programs of the portfolio may not
necessarily be interdependent or
directly related
Program Management
A group of related projects managed
in a coordinated way to obtain
benefits and control not available
Business Strategy
from managing them individually
Portfolio Management
Program Management
Project Management
Project Management A project is a unique process
consisting of a set of coordinated and
controlled activities with start and
finish dates, undertaken to achieve
an objective conforming to specific
requirements including the
constraints of time, cost and
resources
- 91 -
Requirements Traceability Matrix (RTM)

The RTM provides a framework to trace the requirements to the types of testing being performed to ensure
complete coverage. When properly implemented framework will help manage cost and quality.

Reconciliation Deployment
Parallel Testing
Requirements Parallel Test Specifications

Analysis
Business Requirements User Acceptance Testing
User Acceptance Test Specifications

Technical Requirements Design System and Integration

and Detailed Design System/Integration Test Specifications Testing

Development
Coding / Debugging Unit Testing
Unit Test
Specifications

- 92 -
Risk Management Framework Domains

A comprehensive Strategic Risk Management (SRM) Framework encompasses seven domains / core
building blocks.

Enterprise strategy that defines the SRM function role, SRM program objectives and establishes
going-forward strategic roadmap
Strategy

Governance SRM oversight structure with well defined roles and responsibilities to manage risks
pertinent to the risk management lifecycle

Policies, Standards and Procedures defining risk management methodology and

Policies, Standards activities, risk tolerance levels and integration points between risk management
and Procedures functions to ensure consistency and quality in program activities

Due diligence and ongoing oversight that a company must exercise

Risk Management Processes* throughout the risk management lifecycle

Tools and technology that drive commonalities in risk management

Tools and Technology process, and support data accuracy, availability and timeliness.

Metrics and reports that provide a comprehensive view of

Metrics and Reporting enterprise risk to the relevant stakeholders across the
enterprise.

Coordinated communication channels and programs to

educate stakeholders of responsibilities at all stages of
Communication, Training and Awareness
the risk management lifecycle.

- 93 -
Continuous Improvement – Strategic Roadmap
Successful evolution of Strategic Risk Management (SRM) is achieved by:
1) continuously analyzing the current state Program components 2) identifying enhancement
opportunities 3) updating the strategic roadmap.

1. SRM Program Current State

Analysis
Analyze the current SRM Program, utilizing
industry drivers and the changing risk
1. Current landscape to identify potential enhancements
State Analysis to the current state
2. Analysis
Drivers of Results 2. Analysis of Results
Drivers such as a emerging industry
Review potential enhancement
trends, new laws and regulations,
changing threat landscape and risk opportunities with SRM governing bodies and
events are used as input into a additional key stakeholders
current state analysis.

3. Update Strategic Roadmap

3. Update Strategic
Prioritize enhancement opportunities based
Roadmap
on benefit.

SRM Program Components

SRM Governance Model Strategic SRM Reporting

Risk Appetite Classification

Risk Management Processes Tools and Technology

Training and Awareness

- 94 -
Control Domain Maturity

Assessment indicates that current controls are lagging.

Control Domain Control Domain Maturity Summary Observations

Strategy CS R  The organization has adopted a risk-based approach for operational risk management following.

Governance CS R  The organization has established governance.

Policies,
Standards and R CS  The organization Policies, Standards and Procedures satisfy regulatory expectations.
Procedures

Risk
 The organization has established risk management processes and governance activities around
Management CS R
regulatory requirements.
Processes

Tools and CS  Current tools and technologies appear satisfactory from the regulatory standpoint.
Technology

Metrics and CS R  The organization quarterly issues reports focused on critical processes.
Reporting

Communication,
 The organization has dedicated, trained staff in several groups / functions that manage critical
Training and CS R
processes.
Awareness

Non-existent: Not understood, not formalized, need is not recognized;

Maturity Levels Ad hoc: Occasional, not consistent, not planned, disorganized;
Current Regulatory documented Repeatable: Intuitive, not documented, occurs only when necessary;
CS R
state standards and guidance Non-existent Ad Hoc Repeatable Defined Measured Optimized Defined: Documented, predictable, evaluated occasionally, understood;
Measured: Well managed, formal, often automated, evaluated frequently;
Optimized: Continuous and effective, integrated, proactive, automated.0
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Risk Analysis Methodology
Risk Analysis Methodology maps risks to various assets. The process determines a threat-vulnerability pair
and the existing controls that mitigate the threat. The process then identifies the likelihood of the vulnerability
being exploited, which is used do determine the impact. Then the risk is identified.

Regulation / Business Option

Phase 1: Risk Analysis Asset

Risk
Phase 2: Remediation Option
Analysis

Remediation Options

Phase 3: Cost Benefit Analysis

Cost Benefit

Phase 4: Implementation Decision

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Risk Analysis Methodology
Risk Analysis Methodology maps risks to various assets. The process determines a threat-vulnerability pair
and the existing controls that mitigate the threat. The process then identifies the likelihood of the vulnerability
being exploited, which is used do determine the impact. Then the risk is identified.

Asset Assessment

Threat Analysis

Vulnerability Analysis

 Qualitative Impact
 Financial Impact
 Impact Rating
 Threat Identification Existing Controls Assessment
 Classification of Threats
 Threat Likelihood
 Threat Exposure Rating
Likelihood Assessment

 Vulnerability Identification
 Vulnerability Exposure Impact Assessment
Rating

Risk Identification

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Recovery scenarios

High

Paradise Regained Alpha Markets

 Moderate regulation  Markets overheat
 Markets stabilize  Inflation picks up
 Spending recovers  Market turbulence increases
 Credit conditions improve  Risks proliferate
 Pricing flexibility returns  Product life cycles shorten
Market Growth

Beta Markets Paradise Lost

 Markets shun risk
 Growth recovers slowly
 Government grip tightens
 Innovation retreats
 Vanilla products dominate
 Aggressive regulation
 Zero pricing flexibility
 Escalating defaults
 Quality customers migrate
 Disruption of the card model

Low High
Market Volatility

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Organization Design

Organization Design impacts both productivity and cost in a business.

High

Organization Design is impacting

Optimal Organization Design
productivity
Cost Efficiency

Organization Design based on

Organization Design is eroding margins
unsustainable Business Model

Low High
Operational Performance /
Productivity

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Business Portfolio 3x3

High
Competitive Position

Medium
Low

Low Medium High

Product/Market Attractiveness

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Emerging Market Growth Framework – Archetypes

Four distinct ‘archetypes’ exist for a company to grow revenue in emerging markets. Increasing capability
levels are required to unlock potential across each archetype.

Assimilator
(Leverage Innovations)
Addressable Market

Creator
(Break Constraints)

Adaptor
(Enhance Competitiveness)

Participant
(Establish Presence)

Capability Sophistication & Scale

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High Level Evaluation of Opportunities

The risk-value matrix provides a visual interpretation of projects across various business units and investment
volume to represent the projects mostly likely to create valuable for an appropriate risk level.

High
Circle size
represents
approximate
cost

Do Now
Value

Plan Now

Reassess

Low High
Risk

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 Enterprise Cost Management Potential Initiatives

Cost Management Tradeoffs Cost Management Example Efforts

Level 1 -  Align, prioritize and rationalize project

Cost
Incremental portfolios to increase strategic alignment
Reduction 1
Opportunity Short-term Portfolio and reduce overall spend
Rationalization

High  Focuses on operational efficiency and cost

performance in a specific functional area –
Level 2 - e.g. Sales Force, Finance or IT
Transformational  Successful efforts address functional
2 Functionally excellence at the BU and/or enterprise level
Focused Cost
Medium  A cost focus is either an integral part or
management
3 added on as a key objective to an already
existing re-engineering effort

 The pursuit of business performance

Low 2 improvement through rapid identification
Level 3 - Radical and implementation of cost management
3 solutions, while simultaneously creating
Division/BU & value
1 Enterprise Program
 Successful efforts cover many functional
Gain

areas in an holistic, integrated program

Pain Low Medium High

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Options

Exiting the business at least Many short term marketing, product

for a while and operational initiatives driven by a
crisis PMO

Retrench Scramble Innovate

Withdraw

Cutting lines, reducing risk Stepping back and redefining

and expenses, waiting for business and operating models to
the storm to pass capitalize on industry opportunities

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I II III IV V VI VII
Getting Basic Slides Executive Models and Project Frameworks Miscellaneous
Started Summary Objects Management and
Templates Templates Methodologies

- 105 -
Document Revision History and Reviewers

Version Author Date Version Description Reviewers

- 106 -
World Map

- 107 -
United States Map

- 108 -
 Developed and Designed by

Salahuddin Khawaja

More at Decklaration.com

ABOUT THE AUTHOR

Salah has 15 years of experience, primarily in the

Financial Services Industry. Before joining JP Morgan
he spent 11 years at Deloitte & Touche helping Fortune
500 clients with various types of Strategic Initiatives.

He is currently is based in Hong Kong with

responsibility for delivering the next generation platform
for Securities Processing.

Areas of Expertise: Strategy Development, Business

Transformation, System Integration, Program & Project
Management, Mobile Strategy, Data Analytics,
Executive Presentations

Sample Clients: Bank of America, Citi, MasterCard

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