PowerPoint Timesaver v4

- 2 -

CONTACT

[email protected]

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

DESIGNED AND DEVELOPED AND BY

- 3 -

Author’s Message

The purpose of this slide deck is to help you create insightful presentations.

This timesaver has a large number of preformatted slides (40+) that can be 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!

The slides in this deck have evolved over the years based on work at

various organizations.

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

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

- 4 -

II IIII V VIIV VII

A set of basic slides that should meet simple needs

A set of Executive Summary templates that will help summarize the message

Provides an overview of this deck

A set of slides that can help run a project more smoothly

A set of proven frameworks and methodologies

A set of slides that can be leveraged to depict an idea

A set of miscellaneous slides

Basic Slides Executive Summary Templates

Getting Started

Project Management Templates

Frameworks and Methodologies

Models and Objects

Miscellaneous

P. 11 P. 22P. 4 P. 55 P. 70P. 27 P. 105

- 5 -

I

Cheat Sheet

Slide Structure

7 Deck Rules

Getting Started

IIBasic Slides

IIIExecutive Summary Templates

IVModels and Objects

VProject Management Templates

VIFrameworks and Methodologies

VIIMiscellaneous

- 6 -

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

Cheat Sheet

Initiated

Complete

Closing

In Progress

Not Started

Amber: At Risk

Red: Off Track

G

A

R

Green: On Track

Phase III: Build

Phase II: Design

Phase I: Analysis

Details on Slide X

1

Title of Box

Main bullet – 11 font

Main Bullet – 9 Font

- Sub-bullet (lighter share)

• Sub-sub-bullet

Pro bullet

Con bullet

Title of Box

Misc Objects

Basic Chevrons

Gantt

43,78,114

90, 80, 80

120,142,165

149,136,130

224,224,224

127, 127, 127

Harvey Balls

Callouts CalloutsCallouts

RAG Status

2013F M AJ

Go-Live

Parallel Test Complete

- 7 -

Pin this Timesaver for easy and quick access.

Pin Timesaver

After opening this deck, pin it for quick access.

- 8 -

A typical slide has 6 distinct components.

Slide Structure

The Headline is a short title describing the slide1

The Lead is a brief, sharp statement summarizing the slide2

The Body is the core part of the slide (also known as the Storybox)3

The Company Logo is displayed for branding purposes4

Page number in the middle of the slide5

The Department or Project Name is displayed for branding purposes6

- 9 -

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

Slide Structure – Bleeding

Content should not bleed into the border of the slide (as indicated by the red line and blue border)

- 10 -

Follow 7 rules to make compelling presentations.

7 Deck Rules

4

Understand the Canvas

Keep itSimple

Make it Sing

Tell a Story

Leverage a Library

Solve a Problem

Focus on Composition

7 DECK RULES

I

V

II

IIIVI

VII

IV

Follow them all to

successfully convey your

message.

There are 7 Rules behind the

art and science of creating a

great presentations.

- 11 -

Click to see more:

decklaration.com

http://www.decklaration.com/

- 12 -

IGetting Started

IIBasic Slides





VIIMiscellaneous

Bullets

Table

Models

List

Timeline

- 13 -

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

Sample Slide 1: Organized Sections Bullets

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

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)

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

Go Forward Approach

Current State

- 14 -

Overall project is green and on track.

Sample Slide 2: Table

# Phase Status Progress Trend Status

I Planning Green

Vision workshop completed

Determine critical path Operating Model items

Develop high-level roadmap

Develop detailed 2013 plan

2Scoping & Analysis

Green

Selected MVPs for functional delivery to Operations

Drafted Conceptual To-Be process flows for MVP

Performed analysis to validate products supported by SystemX for the NY Market

Translated the existing BRD into Process Flows

Drafted “Requirements Catalog” of existing requirements

3 Build Green Build activities are underway

4Operational Readiness

(Not started) Documentation of procedures and controls to start

5 Defects Amber 185 defects remain open

- 104 are under review, 52 are in the process of being fixed and 29 are ready for retesting

Key CompleteNot Started Initiated ClosingIn Progress

- 15 -

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.

Sample Slide 3: Chevrons

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

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

Phase III: Roadmap

Phase II: Future Architecture

Phase I: Strategy Development

Approach

I II III

- 16 -

A model for strategy development …

Sample Slide 4: Model v1

Strategy DevelopmentCurrent State Assessment

Risk Appetite

Business Constraints

Regulatory Drivers

Leading Practices

Technology Trends

Economic Environment and Forecast

Geographical Considerations

Competitive Position

Scenario Analysis

Industry Direction

Financial Modeling and Planning

Strategy Formulation

Mission, Values and Vision

Strategic Objectives

Performance Measures and Targets

Regulatory Drivers

Customer Analysis

Market Analysis

Organizational Analysis

Process

People

Technology

Line of Business

Securities Services

Treasury Services

Asset Management

Commercial Banking

Investment Banking

Private Banking

OUTPUTSINPUTS

- 17 -

Regionally defined processes with increased automation

Functional/Product aligned organization

Fragmented focus on customer experience

Defined / Proactive

Globally defined and integrated processes

Business and customer aligned organization

Technology strategy is developed in conjunction with the business strategy

Engaged focus on customer experience

Service / Advocate

Locally defined processes

Indigenously grown organization and technology

Initial / Ad hoc

“Utility mindset” – Leverage 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 offering

Focus on customer experience is embedded in BAU

Agile business model with a decreased time-to-market

Value / Leader

Effe

ctiv

enes

s

FutureTodayPast

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

Sample Slide 5: Model v2

- 18 -

Components of a Business Case

Risks and Derailers

Vendor

Evaluation

(optional)

Strategy and Current State Assessment

Executive

Summary

Implementation Plan

Change

Drivers

1 42 3

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

Sample Slide 6: Call Out

Cost and Benefits

The financials show the overall investment, break-even point and

Return on Investment (ROI).

One of the critical components of the business case is the Total Cost of Ownership Model

5 6 7

- 19 -

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

Sample Slide 7: Methodology

Observations & Recommendations

Assessment Approach

Risk Categories

Program Domains

Strategic Compliance /

Legal Financial Stability

Contractual Reputation Confidentiality of Information

Transaction / Operational

Integrity of Data

Business Continuity

Thematic areas of opportunities to get to the next level were identified

Over 15 processes expected to cover these 9 risks categories

Governance and Reporting

Risk Appetite

Supplier Classification

Supplier Risk Management Processes

Other Supplier Risk Management Enhancements

Control Objectives Assessment

Risk Processes and Scenarios

Governance Model and RACI Analysis

Audit Analysis

Interviews

Risk Management Processes

Strategy GovernancePolicies,

Standards & Procedures

Metrics and Reporting

Tools and Technology

Communication, Training & Awareness

Analysis was completed to determine improvement opportunities

Standard domains in an Enterprise Risk Management Program

- 20 -

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

Sample Slide 8: List

Disruptors

Disruptors are technologies that can create sustainable positive disruption in IT capabilities,

business operations and sometimes even business models.

Enablers

Enablers are technologies in which investments have been made, but which warrant another look. Enablers

may be more evolutionary than revolutionary.

Data Analytics (aka Big Data)

Geospatial Visualization

Digital Identities

Measured Innovation

Outside-in Architecture

Social Business

Gamification

Enterprise Mobility Unleashed

User Empowerment

Hyper-hybrid Cloud 5

4

2

3

1

5

4

2

3

1

- 21 -

Sample Slide 9: General Timeline

2006 20112004 20102007 2009200820052003

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX XXXXXXXXXXXXXXXXXXXX

XXXXX XXXXXXXXXXXXXXX XXXXX

XXXXXXXXXX XXXXX XXXXXXXXXX

XXXXX

XXXXX

XXXXX

XXXXX

- 22 -

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.

Sample Slide 10: Gantt Program Timeline

Wave 1

Develop Business Case

Develop Business Architecture Requirements

Development / Build

Design Technical Architecture

User Acceptance Testing Complete

Go-Live

System Integration Testing Complete


Post Implementation Review

Wave 3

Wave 4

Wave 5

Wave 2

2013 2014 2015 2016Q2 Q3 Q4Q1J J AM O DNSF M AJ Q1-4Q1/2 Q3/4

Today

Wave 1 Complete

- 23 -

IGetting Started

IIBasic Slides





VIIMiscellaneous

Summary Templates

- 24 -

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

Executive Summary – Option 1 – Basic

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

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)

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

Go Forward Approach

Current State

- 25 -

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).

Executive Summary – Option 2 – Situation-Complication-Resolution

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

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)

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

Resolution

Situation

- 26 -

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).

Executive Summary – Option 3 – Business Case View

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

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

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

Financial Summary

Program Status

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)

Recommendation

- 27 -

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

Executive Summary – Option 4 – Analysis Summary

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

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)

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

Analysis

Conclusion To-Date

Background

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)

Next Steps

- 28 -

IGetting Started

IIBasic Slides





VIIMiscellaneous

Lists

Chevrons

Pyramids

Circles

Org Chart

Cubes

Architecture

- 29 -

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.

List – Option 1 – Simple

1 Design for Growth

3 Design to Balance Flexibility and Integration

5 Design for Collaboration

Design for Efficiency and Centralized Strategic Guidance2

4 Design for Robust Governance

6 Design for Clear Accountability

7 Design with Market and Customer Focus

- 30 -

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

List – Option 1 – Two Columns

Disruptors

Disruptors are technologies that can create sustainable positive disruption in IT capabilities,

business operations and sometimes even business models.

Enablers

Enablers are technologies in which investments have been made, but which warrant another look. Enablers

may be more evolutionary than revolutionary.

Data Analytics (aka Big Data)

Geospatial Visualization

Digital Identities

Measured Innovation

Outside-in Architecture

Social Business

Gamification

Enterprise Mobility Unleashed

User Empowerment

Hyper-hybrid Cloud 5

4

2

3

1

5

4

2

3

1

- 31 -

The mobile revolution is underway – enterprises need to capitalize.

List – Option 3 – Depicting Numbers

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

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

PC Shipment US PC Shipments is falling by 5%

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

Smartphones # of Smartphones worldwide

Mobile Apps # of Apps downloaded per year

96.3 M

75%

-5%

4 x

1 Billion

200+ Billion

- 32 -

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

Chevrons – Option 1 – Timeline / Roadmap

Identified projects and initiatives to address the recommendations and realize strategic benefits


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 landscape and composition, risk categorization methodology, and risk management processes to evaluate efficacy of the current state and identified gaps. Proposed recommendations based on gaps and improvement areas identified, and validated with key stakeholders

Roadmap Development†RecommendationsCurrent State AssessmentVision and Strategic Objectives

Definitions

Approach

- 33 -

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

Chevrons – Option 2 – Process

Event Management

Risk Evaluation

Controls Assessment

Sign Contract Risk Identification

Pre-contract (Due Diligence)

Risk Response

KRI Monitoring

Close Out

- 34 -

Chevrons – Option 3 – Circular

Text

Text

Text

Text

Text

Text

TextText

Text

Text

Text

Text

Text

Text

Text

- 35 -

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

Chevrons – Option 4 – Methodology

2. Contract1. Pre-contract (Due Diligence)

3. Post- Contract(Execution)

1.9 Contingency Planning

1.3 Reputation/Ref Check

1.4 Financial Stability

1.5 Use of Sub-contractors

1.7 Information Security

1.8 Sanction Screening

1.1 Supplier Selection

1.6 Compliance practices

1.2 Supplier Classification

3.6 Periodic Contract Review

3.9 COB Assessment

3.4 Capacity Management

3.5 Compliance Management

3.3 Performance Management

Interim reporting

Debt collection and

remittance

Close account

Start collection

action

Demand letter and phone

calls

Legal action (if

necessary)

Collection process

3.10 Contingency Plan Monitoring

3.8 Key News Event Monitoring

3.7 Bankruptcy Monitoring

3.2 BSRM Survey

3.1 Customer Complaint Management

2.4 NDA

2.2 Contracting Process

3rd Party Collection Agency Selected

2.5 Local Legal/Regulations

2.7 Right to Audit

2.1 Standard Template

2.6 Policies

2.3 Performance / Reward

Collection Placed

- 36 -

Pyramid – Option 1 – Three Levels

How we are organized to deliver

What we are deliveringProgram View

How tech will delivery

Operational Delivery

Business

Delivery

Technical Delivery

- 37 -

Pyramid – Option 2 – 4 Levels

Portfolio

Management

Business

Strategy

Project

Management

Program

Management

- 38 -

Trust Commitment

Leading Bank

Performance

Client Service

MISSION

VALUES

VISION

Leading Bank

Pyramid – Option 3 – Multi-dimensional

- 39 -

Venn Diagrams

Text

Text Text

Text

Text Text

Text

Text Text

- 40 -

MISSION

VALUES

VISIONS

Shareholders Board

CustomersManagement

SocietyEmployees

PartnersRegulators

Circle – Option 1 – Basic

- 41 -

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

Circle – Option 2 – Callouts

Time Management

Quality Management

Integration Management

Scope Management

Communications Management

Risk Management

Cost Management

Human Resource Management

Procurement Management

Collect Requirements Define Scope Create WBS Verify Scope Control Scope

Define Activities Sequence Activities Estimate Activity Resources Estimate Activity Durations Develop Schedule Control Schedule

Develop Project Charter Develop Project Management Plan Direct and Manage Project Execution Monitor and Control Project Work Perform Integrated Change Control Close Project or Phase

Estimate Cost Determine Budget Control Costs

Plan Quality Perform Quality Assurance Perform Quality Control

Develop Human Resource Plan Acquire Project Team Develop Project Team Manage Project Team

Identify Stakeholders Plan Communication Distribute Information Manage Stakeholder

Expectations Report Performance

Plan Risk Management Identify Risks Perform Qualitative Risk

Analysis Perform Quantitative Risk

Analysis Plan Risk Response Monitor and Control Risks

Plan Procurements Conduct Procurements Administer Procurements Close Procurements

3

5

2

4

1

6

8

7

9

- 42 -

Circle – Option 3 – Orbit

X X

XX

X X X

- 43 -

Circle – Option 4 – Cross-hair

Invoices

Detailed Reports

Company Division

RegionProduct/Service

Customer

- 44 -

Circle – Option 5 – Flow (4 steps)

FocusHeading

[Summary text]

Heading

[Summary text]

Heading

[Summary text]

Heading

[Summary text]

- 45 -

Circle – Option 5 – Flow (5 steps)

Focus

Heading

[Summary text]

Heading

[Summary text]

Heading

[Summary text]

Heading

[Summary text]

Heading

[Summary text]

- 46 -

Honeycomb

RiskManagement

Major Lines of Business

Audit & Risk Review

ComplianceControl

Operations & Technology

Finance

2

4

6

5

3

1

Risk Management

- 47 -

Organizational Chart

Pillar_name_here Pillar_name_here Pillar_name_here

Name_here

Title_here

Name_here

Responsibility1

Responsibility1

Name_here

Title_here

Name_here

Responsibility1

Responsibility2

Name_here

Responsibility1

Responsibility2

Name_here

Responsibility1

Responsibility2

Name_here

Responsibility1

Responsibility2

Name_here

Responsibility1

Responsibility2

Name_here

Responsibility1

Responsibility2

Name_here

Responsibility1

Responsibility2

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

Name

Role

- 48 -

Cube – Option 1 – Basic

Business Requirements

Technical Requirements

Operational Requirements

Regulatory Requirements

Op

erat

ion

Pla

nn

ing

En

gin

eeri

ng

Inte

gra

tio

n

- 49 -

Virtualized Operating Platforms

Simplified App & DB Infrastructure

Operational Support and Control

Securities

Cash

Svc1

App2

Svc2

App1

Svc 3

Capacity Management & Workstream Coordination

Cube – Option 2 – Multi-layered

- 50 -

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.

Cube – Option 3 – Callout

Two change requests for filters are underway to ensure the proper filtering Filters

Matching Rules

Rates

Tiers

Customer setup

Changes are identified during review of daily and weekly bill runs

Changes are made in PROD once weekly and DR twice weekly

Tiers are being deep dived to ensure they are working properly

Key items within customer setup method must be maintained

An increase in incidents have occurred over the last 3 weeks; delays in schedules limit the

review time of business analysts

Defects continue to be worked through, (impact: untimely billing, duplicate or missed

files and rates/tiers issues)

System Stability

Def

ects

- 51 -

Architecture – Option 1 – Layered

4 Technology infrastructure is fragmented, inconsistent and costly to maintain4 Systems are batch cycle oriented, disallowing real-time processing4 Data is inconsistent and redundant, complicating production of enterprise wide risk and performance information

SWIFTSWIFT

GatewayFAX

Relayingother products

Corporate Tax

Other

Management and Corporate Reporting

Tender P&L (T+3)

Risk and Compliance

Public & Regulatory

Books and Records

CorporateGL

Manual interventions &

redundant processes built

to overcome technology and

operational shortcomings

Firm-wide operational

information is hard to

assemble quickly and accurately

Numerous reconciliations are required to

ensure data integrity

Broker/Dealer Processing Environment

Front Office

Foreign Exchange

Money Market

Equity

Derivatives

Foreign Exchange

Equity

Fixed Income

Foreign Exchange Derivatives

Fixed Income

Bank Adjustments

Reconciliations

Bank Adjustments

Reconciliations

Bank Adjustments

Reconciliations

Bank Adjustments

Reconciliations

Bank Adjustments

Reconciliations

Bank Adjustments

Reconciliations

Money Market

Derivatives

Corporate Credit

T+3T+2

T+1

T+3T+2

T+1

T+3T+2

T+1

T+3T+2

T+1

T+3T+2

T+1

Corporate Risk

Corporate Consolidations

Back Office

FX MM EQ Deriv FI

Reference Data

Indicatives and Accounting

Product-Based Reference andOperational Data

Front Office Reporting

Trader Positions

Excel Based

Business logic imbedded into

product specific systems

Redundant reference data sources stored in product silos

Product Specific

Processes & Architectures

- 52 -

These services form the core business engine

They are represented as running throughout the infrastructure providing successful transaction management capabilities at all times

Application Integration Services

Application Support Services

System Management Services

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

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

These services are the “glue” that hold all other services together.

They provide seamless integration and communication capabilities to ensure reliable transaction processing

Disaster Recovery Service

Capacity Management

Application Management

Database Management

Reporting

Architecture – Option 2 – Pillars

Queuing Service

Message Transformation Service

Content Based Routing Service

Protocol Transformation Service

Transport Services

Workload Management

Event Management

Encryption Service

Authentication Service

Access Control Service

Authorization Service

Single Sign on

Roles & Profiles

Data Validation Service

Data Enrichment Service

Data Consolidation Service

Data Transformation Service

Rules Management

Transaction Monitoring

Exception Reporting

Network Management

Output Management

- 53 -

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.

Architecture – Option 3 – Tunnels

Derivatives

BACK OFFICE

Fixed Income

Equity

Derivatives


Foreign Exchange

Money Market

FRONT OFFICE

Corporate

Consolidation

Corporate

Credit

Corporate

Risk

Equity

Fixed Income


Foreign Exchange

Money Market

Equity

FI

FX

FX Deriv

PORTAL

Corporate

MM

Security Services

Application Integration Services

Ad

apte

rs

Application Support Services

System Management Services Ad

apte

rs

Derivative

Books and Records

CorporateGL

FX MM EQ Deriv FI

Reference Data

Indicatives and Accounting

Product-Based Reference andOperational Data

Corporate Tax

Other

Management and Corporate Reporting

Tender P&L (T+3)

Risk and Compliance

Public & Regulatory

Front Office Reporting

Trader Positions

Excel Based

- 54 -

Architecture – Option 4 – Multi-component

Real-time for Capital Markets - SWIFT Offering

Se

rvic

es

Core Components

Optional

Optional

Future Components

Optional

OptionalOptional

Optional

Core Components

Core Components

Core Components

Message Transport

Message Transformation, Enrichment, Routing & Error Handling

Legacy Adapters

Message Repository

Serv

ice

s

Serv

ice

s

Bu

siness A

nalysis &

Pro

ject Man

agem

ent

Techn

ical So

lutio

n D

elivery

Techn

ical Infrastru

cture S

ervices

- 55 -

Architecture – Option 5 – Multi-component and Layers

Market- Customer- Products- Delivery- Geographies

Common Platform

Securities Reference Data

MARKET DATA

Analytics

Common Platform

Research

Advisor Workstation

Institutional (IIG / IFG)

CRM

Advisor Workstation

Personal Wealth Management

CRM

Advisor Workstation

International Private Bank

CRM

Account Opening

INVESTMENT ADVISORY

CompanyX Private Bank

CRM

Account Maintenance

Advisor Workstation

Order Entry

Common Platform

Order Routing

Order Execution

Web Access

Institutional (IIG / IFG)

Call Center

Client Reporting

Fees and Invoicing

Web Access

Personal Wealth Management

Call Center

Client Reporting

Fees and Invoicing

Web Access

International Private Bank

Call Center

Client Reporting

Fees and Invoicing

Web Access

CompanyX Private Bank

Call Center

Client Reporting

Fees and Invoicing

Clearing / Custody

Common Platform

Settlement

Trust Accounting (SEI)

Confirms“Brokerage” Accounting

Compliance

ACCOUNTING / CUSTODY

Brokerage Statements

CLIENT SERVICE

ORDER PROCESSINGPRODUCT SUPPORT

CompanyX

CRM

Account Maintenance

Advisor Workstation Web Access

CompanyX

Call Center

Client Reporting

Client Data

Fees and Invoicing

- 56 -

IGetting Started

IIBasic Slides





VIIMiscellaneous

Status Report

Gantt Chart

- 57 -

Overall project is green and on track.

Status Report – Option 1

# Phase Status Progress Trend Status

I Planning Green

Vision workshop completed

Determine critical path Operating Model items

Develop high-level roadmap

Develop detailed 2013 plan

2Scoping & Analysis

Green

Selected MVPs for functional delivery to Operations

Drafted Conceptual To-Be process flows for MVP

Performed analysis to validate products supported by SystemX for the NY Market

Translated the existing BRD into Process Flows

Drafted “Requirements Catalog” of existing requirements

3 Build Green Build activities are underway

4Operational Readiness

(Not started) Documentation of procedures and controls to start

5 Defects Amber 185 defects remain open

- 104 are under review, 52 are in the process of being fixed and 29 are ready for retesting

Key CompleteNot Started Initiated ClosingIn Progress

- 58 -

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

Status Report – Option 2

Phase Status Progress Achievements Current Focus / Next Steps

Phase IV: UAT

Amber

82% UAT Test Cases completed (75% passed) 58 defects remain open (18 are critical)

- Total 122 defects have been opened till-date Due to high number of defects UAT Sign off delayed to

Oct 15 (from Sep 28)

Complete UAT by October15th

Phase V: Parallel Plan

Green

Parallel Plan framework developed; details are being documented

Risk have been identified (environment, reference data etc) and action plans are being developed

Complete Parallel Plan by October 5th Finalize action plans to address risks Parallel run to start Oct 16th

Phase VI:Go Live

Green Go-Live and Migration plan being developed Plan developed to communicate to external stakeholders

during the week of Oct 15

Complete Go-Live and Migration plan by Oct 12th

Status Rating G

2013

A O DNSJ JMF M AJ JMF M AJ

2012

Go Live Nov 5

Parallel Test CompleteN

Build

System Integration Testing

UAT

UAT Completed A

KEYGreenAmber GA

Not StartedOn Hold Complete NC

RedR

H

Parallel Testing

Phase 2 Go Live (TBD)

N

- 59 -

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.

Gantt Chart

Wave 1


Develop Business Architecture Requirements

Development / Build

Design Technical Architecture

User Acceptance Testing Complete

Go-Live

System Integration Testing Complete



Wave 3

Wave 4

Wave 5

Wave 2


Today

Wave 1 Complete

- 60 -

Objects – Harvey Balls and Status

Green: On track (0-1

week delay)

Amber: Slight delay

(1-3 weeks delay)

Complete

Significant Progress

Red: Major delay

(3+ weeks delay)

KEY Even

Progress

Negative

GreenStatus Amber GR A No UpdateOn Hold Complete PH C

Positive

Red

Trend

Not Started

Identified

UnderwayG

R

A

Complete

Closing

Not Started

Initiated

In Progress

Key

CompleteNot Started Initiated ClosingIn Progress

CompleteNot Started Initiated ClosingIn Progress

- 61 -

Timeline / Roadmap – Plain

2006 20112004 20102007 2009200820052003

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX XXXXXXXXXXXXXXXXXXXX

XXXXX XXXXXXXXXXXXXXX XXXXX

XXXXXXXXXX XXXXX XXXXXXXXXX

XXXXX

XXXXX

XXXXX

XXXXX

- 62 -

Dashboard – Overall Project Summary

Status Trend# Key Areas Initiative Status

GStrategic Initiatives

1

GCategory 44 Subcategory Project Name Project Name GG

GCategory 33

Subcategory Project Name G

Subcategory Project Name Project Name Project Name Project NameG GG H

Subcategory Project Name

Project Name

Project Name

Project Name

Project Name

Project Name

Project Name

Project NameA

G

G

G

AG

A

G

Subcategory Project Name Project Name Project NameProject NameGG G

GTactical Initiatives

2

Subcategory Project Name Project Name Project NameA AA

Subcategory Project Name FATCA Project Name


Project Name

SubcategoryProject Name Project Name

Project Name R

G

Project Name Project Name

G

G

Project NameG G Project Name G

SubcategoryProject Name

Project Name Project Name

Project Name

Project Name

Project Name

Project Name

Project NameA

G

P

G

GG

G


G

CG

Project Name Project Name GGG G

G

KEYEvenTrend Negative

GreenStatus

Amber GR A

No UpdateOn Hold Complete PH C

Positive

Red

Project Name Project Name Project NameG G H

- 63 -

Risk Template

Severity# Risk / Issue Current Status / Mitigation StrategyOwner Type

2 MediumRisk

3 Medium

5 Medium

1 HighIssue

4 Medium

- 64 -

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

Project Dashboarding

Off-Track TemplateRisk / Issue

Additional Comments Overall Status Gantt / Roadmap

Slide 69Slide 67

Slide 64 Slide 65

Post Implementation

Slide 66

Slide 68

RAG Status

Achievements Current Focus / Next Steps

Tech Lead:Manager: Initiative Lead:

Scope

Current Status SummaryInitiative Background

Completion Date:

Objective

Benefits/ROI

Priority:

Financials

Risk

Dependency

- 65 -

2013 2014 2015 2016

Q2 Q3 Q4Q1J J AM O DNSF M AJ Q1-4Q1/2 Q3/4

Roadmap – Gantt

RAG Status


KEYGreenAmber GR A

Not StartedOn Hold Complete NH C

Red

- 66 -

Risks / Issues

1

3

Severity# Risk / Issue Mitigation Strategy and Current StatusOpen DateTarget Date

Owner Likelihood

2

4

6

5

RAG Status


TypeClose Date

Change

- 67 -

Additional Comments

RAG Status


- 68 -

RAG Status


Planned Objectives Gap / DeltaAchieved Objectives


- 69 -

RAG Status


Off-track Summary Get Well PlanRoot Cause

Off Track

- 70 -

- 71 -

IGetting Started

IIBasic Slides





VIIMiscellaneous

Business Transformation

Strategy

Maturity Models

Roadmap

Program Management

- 72 -

Status:

Core + Cross

Process

Function

Slides

presented in

this section are

in no particular order …

- 73 -

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

Business Transformation Approach


Phase I: Strategy Assessment I

Phase II: Business Case and Roadmap

Phase III: Vendor Selection

Phase IV: Program

Implementation

II

III

IV

- 74 -

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

Business Transformation Approach – Details

Document high-level requirements; issue RFI and RFP

Conduct Deep Dive Assessments

Conduct reference calls & customer visits

Performed independent research

Performed due diligence


Sign agreements with vendors (MSA, SOW etc)

Implement various program and project initiatives.

Define overall vision and 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

Develop business case and roadmap based on project priorities, impact, cost and resource requirements

Phase IV: Program Implementation

Phase III: Vendor Selection

Phase II: Business Case & Roadmap

Phase I: Strategy Assessment

Approach

I II III IV

- 75 -

Mobile applications should be developed using amethodology tailored for mobile devices

Strategy: Plan to Change

Develop various mobile products

Develop/modify services

Integrate mobile with existing channels

System Testing

End to end testing

Launch various mobile products

- Mobile web- Mobile app- Blog- Social Media

Defined mobility goals (revenue, efficiency, customer experience etc)

Define business case and prioritize the roadmap

Budget approval

Current state assessment of Mobility infrastructure

Develop mobile use cases- Process

requirements- User interface- Data requirements

Develop overall solution architecture

Develop wireframes Prototype critical features

Develop launch approach

DeployDevelopDesignDefine

Approach

- 76 -

Program Office Vision

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

Program Vision and Strategic Principles

Manage and execute all change initiatives to help maintain a

leadership position in Trade Processing.


Tier 1

Tier 2

2

1

3

Continuously improve efficiencies (initially by consolidating processes and systems)

Address existing and new regulatory requirements

Partner with key stakeholders to drive enhanced experience and new functionality

6

4

5

Enhance organizational capabilities

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

Streamline processing business and technical architecture to increase time to market

- 77 -

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

Strategy Development Framework

Strategy DevelopmentCurrent State Assessment

Risk Appetite

Business Constraints

Regulatory Drivers

Leading Practices

Technology Trends

Economic Environment and Forecast

Geographical Considerations

Competitive Position

Scenario Analysis

Industry Direction

Financial Modeling and Planning

Strategy Formulation

Mission, Values and Vision


Performance Measures and Targets

Regulatory Drivers

Customer Analysis

Market Analysis

Organizational Analysis

Process

People

Technology

Line of Business

Securities Services

Treasury Services

Asset Management

Commercial Banking

Investment Banking

Private Banking

OUTPUTSINPUTS

- 78 -

Background

Regionally defined processes with increased automation

Functional/Product aligned organization

Fragmented focus on customer experience

Defined / Proactive

Globally defined and integrated processes

Business and customer aligned organization

Technology strategy is developed in conjunction with the business strategy

Engaged focus on customer experience

Service / Advocate

Locally defined processes

Indigenously grown organization and technology

Initial / Ad hoc

“Utility mindset” – Leverage 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 offering

Focus on customer experience is embedded in BAU

Agile business model with a decreased time-to-market

Value / Leader

Effe

ctiv

enes

s

FutureTodayPast

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

Maturity Model

- 79 -

Background

Experimenters have launched different mobile initiatives and have experience with different technologies but lack a clear vision of what they want to achieve via mobile

Defined / Proactive

Practitioners are companies that have agreed on a shared mobile vision and are starting to implement it successfully.

Usually companies that understand the disruptive potential of mobile, even though they haven’t yet dedicated significant resources to it.

Service / Advocate

Novices are the least mature mobile organizations

Initial / Ad hoc

Models excel at most of the core mobile disciplines and

Models are often large firms that have committed significant resources to mobile and have top-level executives championing mobile efforts.

Value / Leader

Effe

ctiv

enes

s

FutureTodayPast

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.

Forrester’s Mobile Maturity Model

- 80 -

Components of a Business Case

Risks and Derailers

Vendor

Evaluation

(optional)

Strategy and Current State Assessment

Executive

Summary

Implementation Plan

Change

Drivers

1 42 3

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

Business Case

Cost and Benefits

The financials show the overall investment, break-even point and

Return on Investment (ROI).

One of the critical components of the business case is the Total Cost of Ownership Model

5 6 7

- 81 -

ProcessInputs

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

Process Analysis – SIPOC

Suppliers

S P CI O

Outputs Customers

Materials, resources or data required to

execute the process

A structure ser of activities that transform a set of inputs into specified outputs, providing value

to customers and stakeholders

Products or services that result from the

process

The recipients of the process outputs

Provider of inputs to the process

EndStep 2 Step 3 Step 4 …Step 1 Step XStart

Process is typically broken into 5-7 steps

- 82 -

Varying drivers have resulted in a compelling business case to strategically re-architect the processing platform.

Rationale for Platform Upgrade

Aging Systems

Customer Experience

Time-to-Market

Operational Efficiency

Regulation

Industry Leader

A more efficient process will improve the experience of internal and external stakeholders.

Maintain and extend our competitive, business and

operational leadership

A renewed focus on increasing operational efficiency

Pressure to quickly deliver functionality to support new business, products and services

Compliance with regulation is becoming complex

Deliver a solution which supports a growing global business footprint

Globalization

Highly disjointed and has become increasingly costly to maintain (30 years of accretive development)Process

Driven Setup

Move to a process driven construction that is region agnostic

- 83 -

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

Derailers – Key Implementation Risks

4

1

5

Accelerated implementation approach

Budget

Key Dependencies on multiple external initiatives

8 Organizational strategy changes

3 New regulations or changes to existing ones

2 Resources constraints

9 Shift in priorities

7 Vendor dependencies for some program

- 84 -

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

Roadmap Development Approach

Part II Project Consolidation

Part IProject Templates

Part IIIPrioritization and

Dependency Analysis

Roadmap Development Approach

Request Project owners to complete Project scoping

Consolidate project information

Perform cost/benefit analysis to determine prioritization

Identify initiative interdependencies

Develop strategic roadmap

Part IVRoadmap Development

- 85 -

Simple template to gather high-level project information.

Project Template

X

N/A

Project

Description

Customer Experience

Security and Reliability

Value Add – External

Customers

Enable Growth

Operational Efficiency

Value Add – Internal

Customers

Information Accuracy

High / Medium / LowProject Size

XProject Name

Project Impact

Project Timing

ProcessX SystemX OrganizationX

High / Medium / LowProject

Complexity

Q3 Q4Q1Q3 Q4Q1

20122011Q2Q2

- 86 -

Roadmap – Option 1 2013 2014 2015 2016

Q2 Q3 Q4Q1J J AM O DNSF M AJ Q1-4Q1/2 Q3/4


Select Vendor

Operating Model and Business Architecture

Sprint 0 Complete (Entry into Build)

Update Business Case

System Test Complete

Parallel TestComplete

Decommission Legacy System


Build Complete (In Agile Sprints)

UAT Complete

Go Live

Scoping & Analysis (Requirement Definition)

- 87 -

Roadmap – Option 2

Oracle GL EMEA (Walker)

Management Reporting- TRS (GRS)- AEB (Hyperion Enterprise)- Multi-Dimensional (Product,

Customer)

Point of Departure

Point of Arrival

Pilot GL and Reporting Foundation- Oracle GL - Ledger Unit 021- AXP Consolidation Ledger

Oracle GL LA/C (Walker)

Financial Accounting Services Hub

External Reporting (FCH)- AXP (HFM)- AEB (Hyperion Enterprise)

Oracle GL J/APA (Walker)

Oracle GL AEB (FAS / non-FAS)

Charge and Credit Cards

Financial Products and Services- Financial Institutions (Worldwide)

Financial Products and Services- High Net-Worth Affluent Individuals (Outside US)

- Network Services- Merchant Acquisition- Merchant Processing

Travel Agency Services

Stored Value Products

Travel Related Services

(TRS)

American Express Bank(AEB)

LA/CWalker GL

J /APAWalker GL

EMEAWalker GL

US – CanadaWalker GL

18 Installations

FAS GL

6 Installations Non-FAS GL

Hyperion Enterprise

AEB Management Reporting and

AEB External Reporting

Operational Data Store

HFM

Consolidation and External Reporting

GRS

Management Allocations and Management Reporting

Propriety Payment

Foundational Future State Design- Develop Strategic COA- Review Corporate & BU Processes- Project Governance and Structure

Oracle GL TRS US-Canada (Walker)

- 88 -

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

Vendor Evaluation – ApproachP

has

es

Due DiligenceTotal Cost of Ownership

Independent Research

Ref. Calls & Customer Visits

Deep Dive Assessments

RFPRFI

Wei

gh

tK

ey A

ctiv

itie

s

Determine RFI approach

Draft/issue RFI

Develop RFI response evaluation criteria & assessment framework

Score RFI responses

Create vendor profiles for short-listed vendors

Determine RFP approach

Document RFP requirements

Draft/issue RFP

Develop RFP response evaluation criteria and assessment framework

Score RFP

Create vendor profiles for short-listed vendors

Develop detailed deep dive agenda & schedule

Develop dive assessment framework and scoring mechanism

Conduct deep dive analysis

Create vendor deep dive assessment based on onside reviews

Determine business & technology cost components

Refine high-level program timeline

Document High-level business and technology cost estimated

Developed TCO model

Review historical & projected financial data provided by companies or available via public filings

Model to determine the likelihood of bankruptcy

Assess overall financial strength based on financial data

Determine customers to be part of the reference calls and visits

Develop assessment framework and scoring mechanism

Conduct calls & visits

Create Ref. Call and Customer assessment deck

Identify relevant Independent Research organizations

Schedule and conduct Independent Research calls

Create Independent Research assessment decks

15 30 25 1015 5N/A

- 89 -

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

Vendor Evaluation – Guiding Principles

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

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

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 inherent product functionality and flexibility is not degraded

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

1

3

5

2

4

- 90 -

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

Program Implementation – Organization

System Implementation

Systems Integrator

Business Integrator

Solution Delivery

ProgramOffice Clearing Development

department with support from other tech departments is

responsible for performing the Systems Integrator role

The vendor will perform the application configuration, customization, module integration, data migration and documentation of the vendor software products

The organization has established a PMO staffed by Consulting resources.

The Clearing department is responsible for performing

the Business Integrator role

- 91 -

Program Implementation – System Implementation

Program Management

Scope Management

Status Reports

Risk Management

Financial Management

Communication Management

Integrated Work Plan

Release Management

Data Migration

Overarching Integration

Go-Live Plan

Knowledge Transfer

UAT Plan

Technology Integration

Vendor Management

Business Integration

Functional Requirements

Vendor Management

Communication Plan

Review and QA Review and QA

Infrastructure

Security

Create approach and detailed plans for activities such as ‘Go-Live’

planning, Data reconciliation, UAT resource planning,

Parameterization, and UAT game plan with support from various

teams.

Work jointly with QA team to develop detailed UAT and Parallel

Testing Plans.

Lead the overall Program Management stream to monitor

program effectiveness, track progress, identify program

risks/issues, enable creation of mitigation strategies, manage

change control activities and report on program status.

Technical Requirements

Work jointly with Tech to address a variety of technology implementation areas including

Infrastructure sizing, Data Migration, Environment management, Security, Performance Testing and Reporting

Data Migration

Parallel Testing Plan

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.

Interface with the new system around: RTM, Change Control, Contracts, Requirement Facilitation, Issue

Escalation/Resolution and Communication

- 92 -

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 and the 3 P’s

A group of related projects managed

in a coordinated way to obtain

benefits and control not available

from managing them individually

Program 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

Project Management

Corporate and Individual Business

unit strategies that define the

direction of the corporation

Business Strategy

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

Portfolio Management

Business Strategy

Portfolio Management

Program Management

Project Management

- 93 -

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.

Requirements Traceability Matrix (RTM)

DevelopmentUnit Test

Specifications

Coding / Debugging Unit Testing

Business Requirements User Acceptance Testing

Technical Requirements and Detailed Design

System and Integration Testing

Analysis

User Acceptance Test Specifications

Design

System/Integration Test Specifications

Reconciliation Requirements

Parallel TestingDeployment

Parallel Test Specifications

- 94 -

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

Risk Management Framework Domains

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

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 activities, risk tolerance levels and integration points between risk management

functions to ensure consistency and quality in program activities

Coordinated communication channels and programs to educate stakeholders of responsibilities at all stages of

the risk management lifecycle.

Tools and technology that drive commonalities in risk management process, and support data accuracy, availability and timeliness.

Due diligence and ongoing oversight that a company must exercise throughout the risk management lifecycle

Metrics and reports that provide a comprehensive view of enterprise risk to the relevant stakeholders across the

enterprise.

Strategy

Governance

Risk Management Processes*


Policies, Standards and Procedures


Communication, Training and Awareness

- 95 -

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.

Continuous Improvement – Strategic Roadmap

DriversDrivers such as a emerging industry

trends, new laws and regulations, changing threat landscape and risk

events are used as input into a current state analysis.

2. Analysis of Results

3. Update Strategic Roadmap

Prioritize enhancement opportunities based on benefit.

3. Update Strategic Roadmap

1. Current State Analysis

1. SRM Program Current State Analysis

Analyze the current SRM Program, utilizing industry drivers and the changing risk

landscape to identify potential enhancements to the current state

2. Analysis of Results

Review potential enhancement opportunities with SRM governing bodies

and additional key stakeholders

SRM Governance Model Strategic SRM Reporting

Risk Appetite Classification

Risk Management Processes Tools and Technology

Training and Awareness

SRM Program Components

- 96 -

Control Domain Control Domain Maturity Summary Observations

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

Governance The organization has established governance.

Policies, Standards and

Procedures The organization Policies, Standards and Procedures satisfy regulatory expectations.

Risk Management

Processes

The organization has established risk management processes and governance activities around regulatory requirements.


Current tools and technologies appear satisfactory from the regulatory standpoint.


The organization quarterly issues reports focused on critical processes.

Communication, Training and Awareness

The organization has dedicated, trained staff in several groups / functions that manage critical processes.

Assessment indicates that current controls are lagging.

Control Domain Maturity

CSR

CS R

CS R

CS

CS

CS R

CS R

CSCurrent state

RRegulatory documented standards and guidance

Non-existent: Not understood, not formalized, need is not recognized; Ad hoc: Occasional, not consistent, not planned, disorganized; Repeatable: Intuitive, not documented, occurs only when necessary; Defined: Documented, predictable, evaluated occasionally, understood; Measured: Well managed, formal, often automated, evaluated frequently; Optimized: Continuous and effective, integrated, proactive, automated.0

Maturity Levels

R

OptimizedNon-existent Repeatable Defined MeasuredAd Hoc

- 97 -

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.

Risk Analysis Methodology

Phase 4: Implementation

Phase 1: Risk Analysis

Phase 2: Remediation Option Analysis

Phase 3: Cost Benefit Analysis

Regulation / Business Option

Asset

Remediation Options

Risk

Decision

Cost Benefit

- 98 -

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.

Risk Analysis Methodology

Threat Analysis

Vulnerability Analysis

Existing Controls Assessment

Likelihood Assessment

Risk Identification

Impact Assessment

Asset Assessment

Qualitative Impact

Financial Impact

Impact Rating

Vulnerability Identification

Vulnerability Exposure Rating

Threat Identification

Classification of Threats

Threat Likelihood

Threat Exposure Rating

- 99 -

Market VolatilityHigh

High

Low

Ma

rke

t G

row

th

Recovery scenarios

Paradise Regained

Moderate regulation

Markets stabilize

Spending recovers

Credit conditions improve

Pricing flexibility returns

Beta Markets

Markets shun risk

Growth recovers slowly

Government grip tightens

Innovation retreats

Vanilla products dominate

Alpha Markets

Markets overheat

Inflation picks up

Market turbulence increases

Risks proliferate

Product life cycles shorten

Paradise Lost

Aggressive regulation

Zero pricing flexibility

Escalating defaults

Quality customers migrate

Disruption of the card model

- 100 -

Operational Performance / Productivity

High

High

Low

Co

st

Eff

icie

nc

y

Organization Design impacts both productivity and cost in a business.

Organization Design

Organization Design is impacting productivity

Organization Design based on unsustainable Business Model

Optimal Organization Design

Organization Design is eroding margins

- 101 -

Business Portfolio 3x3

Co

mp

etit

ive

Po

siti

on

Low

Med

ium

Hig

h

Product/Market Attractiveness

Low Medium High

- 102 -

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

Emerging Market Growth Framework – Archetypes

Capability Sophistication & Scale

Participant(Establish Presence)

Adaptor(Enhance Competitiveness)

Creator(Break Constraints)

Assimilator(Leverage Innovations)

Ad

dre

ssab

le M

arke

t

- 103 -

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 Level Evaluation of Opportunities

RiskHigh

High

Low

Va

lue

Reassess

Plan Now

Do Now

Circle size represents

approximate cost

- 104 -

Enterprise Cost Management Potential Initiatives

Cost Management Tradeoffs

Pain

Cost Reduction

Opportunity

High

Medium

Low

Low Medium HighGai

n

Align, prioritize and rationalize project portfolios to increase strategic alignment and reduce overall spend

Focuses on operational efficiency and cost performance in a specific functional area – e.g. Sales Force, Finance or IT

Successful efforts address functional excellence at the BU and/or enterprise level

A cost focus is either an integral part or added on as a key objective to an already existing re-engineering effort

The pursuit of business performance improvement through rapid identification and implementation of cost management solutions, while simultaneously creating value

Successful efforts cover many functional areas in an holistic, integrated program

Cost Management Example Efforts

1

2

3

1

2

3

Level 1 - Incremental

Short-term Portfolio Rationalization

Level 2 - Transformational

Functionally Focused Cost management

Level 3 - Radical

Division/BU &Enterprise Program

- 105 -

Options

Withdraw

Many short term marketing, product and operational initiatives driven by a crisis PMO

Exiting the business at least for a while

Cutting lines, reducing risk and expenses, waiting for the storm to pass

Scramble InnovateRetrench

Stepping back and redefining business and operating models to capitalize on industry opportunities

- 106 -

IGetting Started

IIBasic Slides





VIIMiscellaneous

- 107 -

Document Revision History and Reviewers

Version Author Date Version Description Reviewers

- 108 -

World Map

- 109 -

United States Map

- 110 -

Salahuddin KhawajaDeveloped and Designed by

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

Documents

PowerPoint Timesaver v4