Charles Pierce is an experienced senior program manager, project manager, risk management professional, and executive seeking a new position. He has over 30 years of experience in program management, project management, risk management, IT governance, application development, and technology leadership. He has worked in executive roles at major financial institutions like Morgan Stanley, TD Ameritrade, ChaseMellon Financial Group, and The Bank of New York. He has a proven track record of successfully delivering large and complex projects on time and under budget.

1. Charles Pierce
Senior Program Manager, Project
Manager, Risk Management Professional
and Executive
Experienced, innovative and dynamic professional with diversified
experience, including program management, portfolio management,
project management, risk management, IT governance, application
development and technology leadership
Charles Pierce
Copyright 2010 Charles Pierce

2. Seeking…
An innovative individual with expertise and a
successful background in Executive Management,
Risk Management, Program Management, Project
Management and Development, seeking a position
where this experience can be utilized to benefit an
organization.
Charles Pierce
Copyright 2010 Charles Pierce

3. Attributes
Consistent track record of success both as an
employee and as a consultant
Clients (internal or external) are “raving fans” because I
am customer focused
Former managers are also my boosters because I
strive for excellence in all my endeavors
Delivers value and achieves measurable results that
benefit the business or organization
Charles Pierce
Copyright 2010 Charles Pierce

4. Attributes
Broad and diverse knowledge of business, technology
and risk management
Manager of teams of all kinds including technology
teams, business teams and cross functional teams
Manager of team of all sizes ranging from two to more
than 150 (direct and matrix)
Charles Pierce
Copyright 2010 Charles Pierce

5. Selected Accomplishments
Charles Pierce
Copyright 2010 Charles Pierce

6. Selected Accomplishments
Charles Pierce
Copyright 2010 Charles Pierce

7. My Background
I currently work or have worked at
Charles Pierce
Copyright 2010 Charles Pierce

8. Morgan Stanley
Vice President
Senior Program Manager February 2006 – current
Senior Risk Manager New York, NY
Executive Management
Manage and report on large business programs, PMO functions
Develop and manage program budgets
Provide thought leadership on technology risk issues
Develop technology risk and performance KRIs, metrics and
reporting dashboards
Charles Pierce
Copyright 2010 Charles Pierce

9. Morgan Stanley
Selected results:
Successfully completed application risk reduction program 3+
months ahead of schedule with positive financial and risk
returns.
Delivered projects within the risk and business programs on
time or ahead of schedule with 99+ % completion of projects
across all programs in 2009 and 100% percent completion in
2010.
Eliminated two year backlog of projects in Compliance
program.
Successfully managed large scale projects of a high risk nature,
completed them ahead of schedule, accurately and with the
sensitivity needed to avoid unnecessary damages to the firm
or clients.
Charles Pierce
Copyright 2010 Charles Pierce

10. TD Ameritrade
Enterprise Project Manager August 2004 – February 2006
Portfolio Manager Jersey City, NJ
Successfully managed portfolio to develop applications for
customer web trading, AML (and OFAC related), deposit
capture, new accounts, cash management and stock loan
Engaged all levels of the organization, including senior
executives (CIO and other C-level), operations, cross
functional teams of business lines and technologists in
delivering solutions
Charles Pierce
Copyright 2010 Charles Pierce

11. TD Ameritrade
Selected results:
Regulatory projects related to AML, Patriot Act (KYC, CIP)
were delivered ahead or on schedule; on or below budget.
Delivered the firm’s premier project 10% under budget and
several months ahead of schedule, routinely exceeding
sponsor’s expectations.
Charles Pierce
Copyright 2010 Charles Pierce

12. Consulting
Consultant, Executive and April 2001 – August 2004
Management Consultant New York, NY
C-level & executive advisement and varied solutions were
delivered for clients including PMO setup, process
improvement, resource management projects
Created “raving fans” by routinely exceeding expectations
Clients included Lenmar, Finlay Enterprises, Deloitte
Charles Pierce
Copyright 2010 Charles Pierce

13. Consulting
Selected results:
Saved client over $750,000 in immediate data center and
personnel related costs and reduced client’s ongoing
operating costs.
Implemented training plan that reduced help desk calls by
two thirds.
Designed, developed and implemented successful rollout
plans for nationwide and international rollouts to assist
client in gaining market advantage.
Charles Pierce
Copyright 2010 Charles Pierce

14. ChaseMellon
Assistant Vice President
Project Manager November 1997 – April 2001
Development Manager Ridgefield Park, NJ
ChaseMellon Executive Management
Developer
Financial Group
Successfully managed projects and development of
applications for corporate actions, transfer services, trading
and client services
Large scale development and implementation
Charles Pierce
Copyright 2010 Charles Pierce

15. ChaseMellon
Selected results:
Implemented corporate actions system that enabled
internal customer to realize over $10,000,000 in income
ChaseMellon for the company.
Financial Group
Helped company achieve 30 point increase to a 90+ rating
in the Group V customer satisfaction survey.
Successfully redesigned process for Client Services and
deployed enterprise wide event preparation checklists
reducing conversion planning time by 50%.
Charles Pierce
Copyright 2010 Charles Pierce

16. The Bank of New York
Assistant Vice President
Project Manager May 1987 – November 1997
Development Manager New York, NY
Executive Management
Developer
Successfully managed portfolio of projects to develop banking,
trading, mutual funds ,securities processing and settlements
applications
Built teams, designed and implemented real-time desktop and
mainframe systems
Developed and managed budgets for technology
Technology, Settlements and Reconciliation cross functional
teams were led for successful deliveries.
Charles Pierce
Copyright 2010 Charles Pierce

17. The Bank of New York
Selected results:
Developed Fed Funds wire capture and automated account
processing system, saving over $250,000 per year in personnel
and processing costs.
Redesigned portfolio reporting system and eliminated 100%
of processing errors.
Reduced 3-year project development and maintenance
backlog by 75% by cross training staff and revising methods
and standards.
Led team of junior programmers to successfully complete
over 800 enhancement and maintenance tasks – more than 4
times the completion rate of any other and larger groups in
the Technology division.
Charles Pierce
Copyright 2010 Charles Pierce

18. My Certifications
My current certifications
Charles Pierce
Copyright 2010 Charles Pierce

19. My Certifications
PMP CGEIT
Project Management Certified in the Governance of
Professional – PMI Enterprise IT – ISACA
Charles Pierce
Copyright 2010 Charles Pierce

20. My Certifications
ITIL CPI / SIX SIGMA
IT Service Management Six Sigma (ChaseMellon facilitated
education with green and black belt
projects)
Charles Pierce
Copyright 2010 Charles Pierce

21. Future Certifications?
Certifications being pursued or considering
Charles Pierce
Copyright 2010 Charles Pierce

22. Future Certifications?
CISA PGmP
Certified Information Systems Program Management Professional –
Auditor – ISACA PMI
CRISC CBCP
Certified in Risk and Information Certified Business Continuity Planner –
Systems Control – ISACA DRI International
CISSP CIPP
Certified Information Systems The Certified Information Privacy
Security Professional – (ISC)² Professional – International Association
of Privacy Professionals (IAPP)
Charles Pierce
Copyright 2010 Charles Pierce

23. Education
Where I went to school
Charles Pierce
Copyright 2010 Charles Pierce

24. Education
Long Island University
Bachelors of Science in Mathematics
Honors Program
Brooklyn, NY
Charles Pierce
Copyright 2010 Charles Pierce

25. Other Education
College of Insurance Boardroom
Actuarial Studies (non degree) – I-team productivity –maximizing
briefly, I wanted to be an actuary team productivity and effectiveness
NRI Other
PC Architecture (non degree) – Other formal studies in risk
learned to build and modify PCs management; business
management, securities processing,
operations and various other
technology and business subjects
Charles Pierce
Copyright 2010 Charles Pierce

26. Contact Me
Charles Pierce
Email: charles@charlesepierce.com
cpierceexec@yahoo.com
Phone: 914-299-8874
Fax: 888-730-1834
url: www.charlesepierce.com
LinkedIn: www.linkedin.com/in/charlespierce
Charles Pierce
Copyright 2010 Charles Pierce

27. Credits
Images from: Other attributions:
The Bank of New York PMI (PMP Certificate)
Deloitte ISACA (CGEIT Certificate)
Finlay Enterprises ISEB (ITIL Certificate)
Lenmar Consulting ChaseMellon (CPI Certification)
Long Island University
Morgan Stanley Raving fans – Ken Blanchard, Sheldon
Morgan Stanley Smith Barney Bowles
Charles Pierce
Copyright 2010 Charles Pierce

28. Thank You
Charles Pierce
Copyright 2010 Charles Pierce

29. A Little More
A few more details
Charles Pierce
Copyright 2010 Charles Pierce

30. More Expertise
Leadership
♦ Cross functional team ♦ Executive reporting ♦ Team building
Leadership ♦ Relationship building ♦ Management and
♦ Leadership of global ♦ Strategic Planning and executive consulting
teams Leadership ♦ Budget and related
♦ People management and ♦ Manager of large and financial planning
development small to medium sized ♦ Quality Management
♦ Recruiting, training, goal teams ♦ Customer Satisfaction
setting, performance ♦ Management of large to ♦ Negotiation, persuasion
management small projects and communication
♦ Mentoring ♦ Project and program ♦ Problem solving
♦ Technology governance management thought ♦ Industry forums
♦ Decision making leadership participant
Business
♦ Compliance ♦ Technology ♦ Derivatives
♦ Legal ♦ Anti-Money Laundering ♦ Product Business Lines
♦ Operational Risk (AML); OFAC ♦ Trading, Banking and
♦ Operations ♦ Capital Markets Wealth Management
Charles Pierce
Copyright 2010 Charles Pierce

31. More Expertise
Program Management, Project Management
♦ Program Management ♦ Program, Project lifecycle ♦ PMO policy, standards,
♦ Program balancing and management templates
alignment with business, ♦ MSP, PMI Program ♦ PMO tools (HP PPM,
financial, and technology Management Standard Changepoint)
goals ♦ Program, Portfolio and ♦ Earned Value Analysis
♦ PMO / Program Project Risk ♦ Business analysis
(development, Management ♦ Change management
governance, operations, ♦ Program and PMO ♦ Resource demand
compliance) Financials management
♦ PMO, Program, ♦ Program KPIs and ♦ Project Management
Portfolio, Project Metrics ♦ Project Planning and
Reporting ♦ Delivery management Execution
♦ Technology portfolio ♦ Application and ♦ Project estimation
Management development lifecycle ♦ Project auditing
management
SDLC Methodologies
♦ PMI Methodology ♦ RUP (Rational Unified ♦ Traditional Software
♦ Agile Process) Development Lifecycle
Charles Pierce
Copyright 2010 Charles Pierce

32. More Expertise
Risk Management
♦ Risk identification, ♦ Regulatory Response ♦ Reference, Master Data
management and ♦ Business Continuity Management and
mitigation Planning Security
♦ Risk and Control Self- ♦ Disaster Recovery ♦ Data Governance and
Assessment ♦ Business Impact Analysis Management
♦ Application Security ♦ Incident response and ♦ Issue Resolution and
Management reporting Reporting
♦ Application risk ♦ Root cause analysis ♦ Risk Metrics, Scorecards,
certification ♦ Increase awareness of Key Risk Indicators
♦ Technology Performance internal controls and (KRIs)
Management policies ♦ Policy, controls,
♦ Technology Governance ♦ Risk Trend Analysis standards and procedures
♦ Continuous risk ♦ Vendor and sourcing risk ♦ Best practices
monitoring management development
♦ Audit Response ♦ SAS 70 support ♦ Mandated training
compliance
Frameworks
♦ CoBIT ♦ COSO ♦ ITIL
♦ ISO 27002 / ISO 17799
Charles Pierce
Copyright 2010 Charles Pierce

33. More Expertise
Regulatory
♦ Regulatory and legal ♦ Privacy, regulatory and ♦ Patriot Act (Customer
response, inquiries compliance frameworks: Identification Program /
♦ Review, maintenance of SOX (Sarbanes Oxley), CIP, KYC, Enhanced
regulatory documents BASEL II / III, GLBA Due Diligence)
♦ FFIEC, FINRA, FDIC, (Gramm-Leach-Bliley ♦ Governmental, Federal,
SEC, FRB, OTS, Act) and state examinations
Treasury, OCC ♦ Dodd-Frank ♦ External audits
Process Improvement
♦ Continuous Improvement ♦ Capability Maturity ♦ Six Sigma (DMAIC,
of Processes, Process Model Integration DMADV)
Redesign (CMMI)
Tools
♦ MS Word ♦ MS Access ♦ MS SharePoint
♦ MS Outlook ♦ MS PowerPoint ♦ MS Project
♦ MS Excel ♦ MS Visio ♦ Many others…
Charles Pierce
Copyright 2010 Charles Pierce

34. More Accomplishments
Increased mandatory education and training Designed and implemented re-engineered
compliance from 6% to 38% of staff in fewer processing for abandoned property which
than eight weeks was cost effective and efficient, affording the
Compliance Department more review time.
Project Manager for activities related to the This resulted in a letter of commendation
Bank of America – Nations Bank merger. This from compliance senior management.
major project was accomplished without
error, on time and on budget. Built team, planned and managed the
conversion of The Bank of New York’s global
Quintupled output and increased morale of mutual fund accounting systems. The
Transfer Services project team and enabled conversion produced maintenance and
team to react quickly and effectively to contract savings of well over $100,000
client and marketing requests. immediately and completely eliminated
recurring charges.
Designed and managed development of
asset reconciliation and on-line settlement The project was completed in 25% of the
system which resulted in a 70% reduction of scheduled time and 60% under budget. The
time required to settle with clients time savings enabled the firm to realize
other cost savings and efficiencies sooner
than planned.
Charles Pierce
Copyright 2010 Charles Pierce

35. More Career Honors
Who’s Who Media
Who’s Who In America; Systems and solutions
Who’s Who In The World; previously profiled in Project
Who’s Who In Science and Management Quarterly,
Engineering mentions Computer World, MISWeek
Commendations Other
Bank of New York, ChaseMellon Letters of thanks from team
Financial Services, Consulting members, mentees, interns and
Clients others who received my help
with opportunities
Charles Pierce
Copyright 2010 Charles Pierce

36. Thanks Again
Charles Pierce
Copyright 2010 Charles Pierce