- # -CONTACT

salahk@gmail.com

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- # -- # -Authors MessageThe 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, cant 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 TimesaverA 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- # -IIIIIIVVIIVVIIA set of basic slides that should meet simple needsA set of Executive Summary templates that will help summarize the messageProvides an overview of this deckA set of slides that can help run a project more smoothlyA set of proven frameworks and methodologiesA set of slides that can be leveraged to depict an ideaA set of miscellaneous slidesBasic SlidesExecutive Summary TemplatesGetting StartedProject Management TemplatesFrameworks and MethodologiesModels and ObjectsMiscellaneousP. 11P. 22P. 4P. 55P. 70P. 27P. 105

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ICheat SheetSlide Structure7 Deck RulesGetting StartedIIBasic SlidesIIIExecutive Summary TemplatesIVModels and ObjectsVProject Management TemplatesVIFrameworks and MethodologiesVIIMiscellaneous- # -- # -This is the go-to slide to quickly copy/paste a majority of the elements that are needed to create a presentation.Cheat SheetInitiatedCompleteClosingIn ProgressNot StartedAmber: At RiskRed: Off Track GARGreen: On TrackPhase III: BuildPhase II: DesignPhase I: AnalysisDetails on Slide X1Title of BoxMain bullet 11 fontMain Bullet 9 FontSub-bullet (lighter share)Sub-sub-bulletPro bulletCon bulletTitle of BoxMisc ObjectsBasic ChevronsGantt43,78,11490, 80, 80120,142,165149,136,130224,224,224127, 127, 127Harvey BallsCalloutsCalloutsCalloutsRAG Status2013FMAJGo-LiveParallel Test Complete- # -Pin this Timesaver for easy and quick access.Pin Timesaver

After opening this deck, pin it for quick access.- # -A typical slide has 6 distinct components.Slide Structure

The Headline is a short title describing the slide1The Lead is a brief, sharp statement summarizing the slide2The Body is the core part of the slide (also known as the Storybox)3The Company Logo is displayed for branding purposes4Page number in the middle of the slide5The Department or Project Name is displayed for branding purposes6- # -Content should be restricted into these components: Headline, Lead and Body.Slide Structure BleedingContent should not bleed into the border of the slide (as indicated by the red line and blue border)

- # -Follow 7 rules to make compelling presentations. 7 Deck Rules 4Understand the CanvasKeep itSimpleMake it SingTell a StoryLeverage a Library Solve a ProblemFocus on Composition7 Deck RulesIVIIIIIVIVIIIVFollow them all to successfully convey your message.There are 7 Rules behind the art and science of creating a great presentations. - # -

Click to see more: decklaration.com- # -- # -IGetting StartedIIBasic SlidesIIIExecutive Summary TemplatesIVModels and ObjectsVProject Management TemplatesVIFrameworks and MethodologiesVIIMiscellaneousBulletsTableModelsList Timeline

- # -- # -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 BulletsEnhancing or adding functionality is increasingly complex and requires significant effort and costIncreasingly 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 demandsThe Billing lifecycle has become fragmented which increases internal control risksHigh 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 LOBsHolistic 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 acquisitionsThe core platform has had no strategic structural changeThe organization is currently structured in functional silosKey IssuesGo Forward ApproachCurrent State- # -Overall project is green and on track.Sample Slide 2: Table#Phase StatusProgressTrendStatusIPlanningGreenVision workshop completedDetermine critical path Operating Model itemsDevelop high-level roadmap Develop detailed 2013 plan2Scoping & AnalysisGreenSelected MVPs for functional delivery to OperationsDrafted Conceptual To-Be process flows for MVPPerformed analysis to validate products supported by SystemX for the NY MarketTranslated the existing BRD into Process FlowsDrafted Requirements Catalog of existing requirements3BuildGreenBuild activities are underway4Operational Readiness(Not started)Documentation of procedures and controls to start5DefectsAmber185 defects remain open104 are under review, 52 are in the process of being fixed and 29 are ready for retestingKeyCompleteNot StartedInitiatedClosingIn Progress- # -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: ChevronsDetermine future state based on strategic objectives, change drivers and leading practicesPerform Gap AnalysisDevelop business case and roadmap based on project priorities, impact, cost and resource requirementsDevelop methodology for prioritization and critical path of the identified projects, and define resources and cost implications with executive inputsImplement various program

Assess internal and external factors (Risk Appetite, Regulations, Technology trends etc)Identify change driversPerform a current state assessment across People, Process and TechnologyDefine the strategic objectivesPhase III: RoadmapPhase II: Future Architecture Phase I: Strategy DevelopmentApproachIIIIII- # -A model for strategy development Sample Slide 4: Model v1Strategy DevelopmentCurrent State AssessmentRisk Appetite Business Constraints Regulatory DriversLeading PracticesTechnology Trends Economic Environment and ForecastGeographical Considerations Competitive PositionScenario AnalysisIndustry DirectionFinancial Modeling and PlanningStrategy FormulationMission, Values and VisionStrategic ObjectivesPerformance Measures and TargetsRegulatory DriversCustomer AnalysisMarket AnalysisOrganizational Analysis

ProcessPeopleTechnologyLine of BusinessSecurities ServicesTreasury ServicesAsset ManagementCommercial BankingInvestment BankingPrivate BankingOUTPUTSINPUTS- # -Regionally defined processes with increased automationFunctional/Product aligned organizationFragmented focus on customer experienceDefined / Proactive Globally defined and integrated processesBusiness and customer aligned organizationTechnology strategy is developed in conjunction with the business strategyEngaged focus on customer experienceService / AdvocateLocally defined processesIndigenously grown organization and technologyInitial / Ad hoc Utility mindset Leverage Like Functions, Centers of Excellence, Across LOBsProcess optimized across the enterprise and globe to support business innovationTechnology is a value enabler and becomes a core part of the client offeringFocus on customer experience is embedded in BAUAgile business model with a decreased time-to-marketValue / LeaderEffectivenessFutureTodayPastMaturity Model A maturity model can be used to help develop the Future State Architecture and perform the Gap Analysis.Sample Slide 5: Model v2- # -

Components of a Business CaseRisks and DerailersVendor Evaluation (optional)Strategy and Current State AssessmentExecutive Summary Implementation Plan Change Drivers1423Developing a business case can show management the business imperative and value of adopting a particular approach. Sample Slide 6: Call OutCost and BenefitsThe 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 Model567- # -The assessment methodology can evaluate coverage across 7 Risk Management Domains and 9 Risk CategoriesSample Slide 7: MethodologyObservations & RecommendationsAssessment ApproachRisk CategoriesProgram DomainsStrategic Compliance / Legal Financial Stability ContractualReputation Confidentiality of InformationTransaction / Operational Integrity of DataBusiness Continuity Thematic areas of opportunities to get to the next level were identifiedOver 15 processes expected to cover these 9 risks categoriesGovernance and Reporting Risk Appetite Supplier ClassificationSupplier Risk Management ProcessesOther Supplier Risk Management EnhancementsControl Objectives AssessmentRisk Processes and ScenariosGovernance Model and RACI AnalysisAudit AnalysisInterviewsRisk Management ProcessesStrategyGovernancePolicies, Standards & ProceduresMetrics and ReportingTools and TechnologyCommunication, Training & AwarenessAnalysis was completed to determine improvement opportunitiesStandard domains in an Enterprise Risk Management Program- # -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: ListDisruptorsDisruptors are technologies that can create sustainable positive disruption in IT capabilities, business operations and sometimes even business models.EnablersEnablers 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 VisualizationDigital IdentitiesMeasured InnovationOutside-in ArchitectureSocial BusinessGamificationEnterprise Mobility UnleashedUser EmpowermentHyper-hybrid Cloud5423154231- # -Sample Slide 9: General Timeline200620112004201020072009200820052003XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX- # -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 TimelineWave 1Develop Business CaseDevelop Business Architecture RequirementsDevelopment / Build Design Technical ArchitectureUser Acceptance Testing CompleteGo-LiveSystem Integration Testing CompleteParallel Test CompletePost Implementation ReviewWave 3Wave 4Wave 5Wave 22013201420152016Q2Q3Q4Q1JJAMODNSFMAJQ1-4Q1/2Q3/4TodayWave 1 Complete- # -IGetting StartedIIBasic SlidesIIIExecutive Summary TemplatesIVModels and ObjectsVProject Management TemplatesVIFrameworks and MethodologiesVIIMiscellaneousSummary Templates

- # -- # -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 BasicEnhancing or adding functionality is increasingly complex and requires significant effort and costIncreasingly 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 demandsThe Clearing lifecycle has become fragmented which increases internal control risksHigh 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 LOBsHolistic 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 acquisitionsThe core platform has had no strategic structural changeThe organization is currently structured in functional silosKey IssuesGo Forward ApproachCurrent State- # -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-ResolutionInternal 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 costsTo 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 projectsBased on the P&A results the new proposed platform meets our needs and could be implemented within an 18-24 month periodComplicationResolutionSituation- # -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 ViewInternal 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 systemEnhance customer experience, reduce time-to-market, improve controls and reduce costsImplementing and operating the new system is essentially cost neutral over a 10 year periodThe 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 MSince 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 projectsBased on the P&A results the proposed new solution meets our needs and could be implemented within an 18-24 month periodBusiness ImperativeFinancial SummaryProgram StatusTo 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- # -The cross functional team has determined that the UAT can be executed in the timeframe with the resources allocatedExecutive Summary Option 4 Analysis SummaryA 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 groupPerformed test case/scenario analysis in the context of UAT activities, timeline and resource availabilityDeveloped assessment framework to analyze feasibility of successfully executing the UAT phaseAnalyzed results to come up with a set of conclusionsOverall, the team has determined that the UAT can be executed in the timeframe with the resources allocatedWe have reached a common understanding that testing at the scenario level facilitates successful completion within 8 weeks21 UAT testers compares favorable to 22 System TestersThe 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 phaseKey Groups: Operations, QA, Development, Finance

AnalysisConclusion To-DateBackgroundAs 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 activitiesAgreement on the acceptance and exit criteriaImpact 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- # -IGetting StartedIIBasic SlidesIIIExecutive Summary TemplatesIVModels and ObjectsVProject Management TemplatesVIFrameworks and MethodologiesVIIMiscellaneousListsChevronsPyramidsCirclesOrg Chart CubesArchitecture

- # -- # -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 1Design for Growth3Design to Balance Flexibility and Integration5Design for CollaborationDesign for Efficiency and Centralized Strategic Guidance24Design for Robust Governance6Design for Clear Accountability7Design with Market and Customer Focus- # -ListsChanges 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 ColumnsDisruptorsDisruptors are technologies that can create sustainable positive disruption in IT capabilities, business operations and sometimes even business models.EnablersEnablers 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 VisualizationDigital IdentitiesMeasured InnovationOutside-in ArchitectureSocial BusinessGamificationEnterprise Mobility UnleashedUser EmpowermentHyper-hybrid Cloud5423154231- # -The mobile revolution is underway enterprises need to capitalize.List Option 3 Depicting NumbersTablets# of Tablets in the enterprise by 2016 (up from 13.6)MobilityRatio of all workers that have some level of mobility associated with their job PC ShipmentUS PC Shipments is falling by 5% Mobile app development projects will outnumber PC projects by 4 to 1App DevelopmentSmartphones# of Smartphones worldwide Mobile Apps# of Apps downloaded per year96.3 M75%-5%4 x1 Billion200+ Billion- # -Lists, stats, statisticsThe 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 benefitsDevelop methodology for prioritization and critical path of the identified projects, and define resources and cost implications with executive inputsDefined 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 stakeholdersRoadmap DevelopmentRecommendationsCurrent State AssessmentVision and Strategic Objectives DefinitionsApproach- # -Chevron, roadmapSupplier Risk Management is broken up into 3 parts: pre-contract, post-contract and close out. It has 9 components.Chevrons Option 2 ProcessEvent ManagementRisk EvaluationControls AssessmentSign ContractRisk IdentificationPre-contract (Due Diligence)Risk ResponseKRI MonitoringClose Out- # -Chevrons Option 3 Circular TextTextTextTextTextTextTextTextTextTextTextTextTextTextText- # -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 assessmentsChevrons Option 4 Methodology2. Contract1. Pre-contract(Due Diligence)3. Post- Contract(Execution)1.9 Contingency Planning1.3 Reputation/Ref Check1.4 Financial Stability1.5 Use of Sub-contractors1.7 Information Security1.8 Sanction Screening1.1 Supplier Selection1.6 Compliance practices1.2 Supplier Classification3.6 Periodic Contract Review3.9 COB Assessment3.4 Capacity Management3.5 Compliance Management3.3 Performance ManagementInterim reportingDebt collection and remittanceClose accountStart collection actionDemand letter and phone callsLegal action (if necessary)Collection process3.10 Contingency Plan Monitoring3.8 Key News Event Monitoring3.7 Bankruptcy Monitoring3.2 BSRM Survey3.1 Customer Complaint Management2.4 NDA2.2 Contracting Process3rd Party Collection Agency Selected2.5 Local Legal/Regulations2.7 Right to Audit2.1 Standard Template2.6 Policies2.3 Performance / RewardCollection Placed- # -Pyramid Option 1 Three Levels How we are organized to deliverWhat we are deliveringProgram View How tech will deliveryOperational Delivery BusinessDelivery Technical Delivery - # -Pyramid Option 2 4 Levels Portfolio ManagementBusinessStrategyProjectManagementProgramManagement- # -TrustCommitmentLeading BankPerformance

Client ServiceMissionValuesVisionLeading BankPyramid Option 3 Multi-dimensional- # -Venn DiagramsTextTextTextTextTextTextTextTextText- # -MissionValues VisionsShareholdersBoardCustomersManagementSocietyEmployeesPartnersRegulatorsCircle Option 1 Basic - # -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 ManagementQuality ManagementIntegration ManagementScope ManagementCommunications ManagementRisk ManagementCost ManagementHuman Resource ManagementProcurement ManagementCollect RequirementsDefine ScopeCreate WBSVerify ScopeControl ScopeDefine ActivitiesSequence ActivitiesEstimate Activity ResourcesEstimate Activity DurationsDevelop ScheduleControl ScheduleDevelop Project CharterDevelop Project Management PlanDirect and Manage Project ExecutionMonitor and Control Project WorkPerform Integrated Change ControlClose Project or PhaseEstimate CostDetermine Budget Control CostsPlan QualityPerform Quality AssurancePerform Quality ControlDevelop Human Resource PlanAcquire Project TeamDevelop Project TeamManage Project TeamIdentify StakeholdersPlan CommunicationDistribute InformationManage Stakeholder ExpectationsReport PerformancePlan Risk ManagementIdentify RisksPerform Qualitative Risk AnalysisPerform Quantitative Risk AnalysisPlan Risk ResponseMonitor and Control RisksPlan ProcurementsConduct ProcurementsAdminister ProcurementsClose Procurements352416879- # -Circle Option 3 OrbitXXXXXXX- # -Circle Option 4 Cross-hairInvoices Detailed ReportsCompanyDivisionRegionProduct/ServiceCustomer- # -Circle Option 5 Flow (4 steps)FocusHeading[Summary text]Heading[Summary text]Heading[Summary text]Heading[Summary text]- # -Circle Option 5 Flow (5 steps)FocusHeading[Summary text]Heading[Summary text]Heading[Summary text]Heading[Summary text]Heading[Summary text]- # -Honeycomb RiskManagementMajor Lines of BusinessAudit & Risk ReviewComplianceControlOperations & TechnologyFinance246531Risk Management- # -Organizational ChartPillar_name_herePillar_name_herePillar_name_hereName_hereTitle_hereName_hereResponsibility1Responsibility1Name_hereTitle_hereName_hereResponsibility1Responsibility2Name_hereResponsibility1Responsibility2Name_hereResponsibility1Responsibility2Name_hereResponsibility1Responsibility2Name_hereResponsibility1Responsibility2Name_hereResponsibility1Responsibility2Name_hereResponsibility1Responsibility2NameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRoleNameRole- # -Cube Option 1 BasicBusiness RequirementsTechnical RequirementsOperational RequirementsRegulatory RequirementsPeopleProcessTechnologyOperationPlanningEngineeringIntegration- # -Virtualized Operating PlatformsSimplified App & DB InfrastructureOperational Support and ControlSecuritiesCashSvc1App2Svc2App1Svc 3Capacity Management & Workstream CoordinationCube Option 2 Multi-layered- # -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 CalloutTwo change requests for filters are underway to ensure the proper filteringFiltersMatching RulesRatesTiersCustomer setupChanges are identified during review of daily and weekly bill runsChanges are made in PROD once weekly and DR twice weeklyTiers are being deep dived to ensure they are working properlyKey items within customer setup method must be maintainedAn increase in incidents have occurred over the last 3 weeks; delays in schedules limit the review time of business analystsDefects continue to be worked through, (impact: untimely billing, duplicate or missed files and rates/tiers issues)System StabilityDefects- # -Architecture Option 1 LayeredTechnology infrastructure is fragmented, inconsistent and costly to maintainSystems are batch cycle oriented, disallowing real-time processingData is inconsistent and redundant, complicating production of enterprise wide risk and performance informationSWIFTSWIFTGatewayFAXRelayingother productsCorporate TaxOtherManagement and Corporate ReportingTender P&L (T+3)

Risk and Compliance Public & RegulatoryBooks and RecordsCorporateGLManual interventions & redundant processes built to overcome technology and operational shortcomingsFirm-wide operational information is hard to assemble quickly and accuratelyNumerous reconciliations are required to ensure data integrity Broker/Dealer Processing EnvironmentFront OfficeForeign ExchangeMoney MarketEquityDerivativesForeign ExchangeEquityFixed IncomeForeign Exchange DerivativesFixed IncomeBank AdjustmentsReconciliationsBank AdjustmentsReconciliationsBank AdjustmentsReconciliationsBank AdjustmentsReconciliationsBank AdjustmentsReconciliationsBank AdjustmentsReconciliationsMoney MarketDerivativesCorporate CreditT+3T+2T+1T+3T+2T+1T+3T+2T+1T+3T+2T+1T+3T+2T+1Corporate RiskCorporate ConsolidationsBack OfficeFXMMEQDerivFIReference DataIndicatives and Accounting Product-Based Reference andOperational Data Front Office ReportingTrader Positions

Excel Based

Business logic imbedded into product specific systemsRedundant reference data sources stored in product silosProduct Specific Processes & Architectures- # -These services form the core business engine They are represented as running throughout the infrastructure providing successful transaction management capabilities at all timesApplication Integration ServicesApplication Support ServicesSystem Management ServicesSecurity ServicesThese 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 technologyThese 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 technologyThese services are the glue that hold all other services together. They provide seamless integration and communication capabilities to ensure reliable transaction processingDisaster Recovery ServiceCapacity ManagementApplication ManagementDatabase ManagementReportingArchitecture Option 2 PillarsQueuing ServiceMessage Transformation ServiceContent Based Routing ServiceProtocol Transformation Service Transport ServicesWorkload ManagementEvent ManagementEncryption ServiceAuthentication ServiceAccess Control ServiceAuthorization ServiceSingle Sign onRoles & ProfilesData Validation ServiceData Enrichment Service Data Consolidation ServiceData Transformation ServiceRules ManagementTransaction MonitoringException ReportingNetwork ManagementOutput Management- # -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 TunnelsDerivativesBACK OFFICEFixed IncomeEquityDerivativesForeign Exchange DerivativesForeign ExchangeMoney MarketFRONT OFFICECorporate ConsolidationCorporate CreditCorporate RiskEquityFixed IncomeForeign Exchange DerivativesForeign ExchangeMoney MarketEquityFIFXFX DerivPORTALCorporateMMSecurity ServicesApplication Integration Services AdaptersApplication Support ServicesSystem Management ServicesAdaptersDerivativeBooks and RecordsCorporateGLFXMMEQDerivFIReference DataIndicatives and Accounting Product-Based Reference andOperational Data Corporate TaxOtherManagement and Corporate ReportingTender P&L (T+3)

Risk and Compliance Public & RegulatoryFront Office ReportingTrader Positions

Excel Based

- # -Architecture Option 4 Multi-componentReal-time for Capital Markets - SWIFT OfferingServicesCore ComponentsOptionalOptionalFuture ComponentsOptionalOptionalOptionalOptionalCore ComponentsCore ComponentsCore ComponentsMessage TransportMessage Transformation, Enrichment, Routing & Error HandlingLegacy AdaptersMessage RepositoryServicesServicesBusiness Analysis &Project ManagementTechnical Solution DeliveryTechnical Infrastructure Services- # -Architecture Option 5 Multi-component and LayersMarketCustomerProductsDeliveryGeographiesCommon PlatformSecurities Reference DataMarket DataAnalyticsCommon PlatformResearchAdvisor WorkstationInstitutional (IIG / IFG)CRMAdvisor WorkstationPersonal Wealth ManagementCRMAdvisor WorkstationInternational Private BankCRMAccount OpeningInvestment AdvisoryCompanyX Private BankCRMAccount MaintenanceAdvisor WorkstationOrder EntryCommon PlatformOrder RoutingOrder ExecutionWeb AccessInstitutional (IIG / IFG)Call CenterClient ReportingFees and InvoicingWeb AccessPersonal Wealth ManagementCall CenterClient ReportingFees and InvoicingWeb AccessInternational Private BankCall CenterClient ReportingFees and InvoicingWeb AccessCompanyX Private BankCall CenterClient ReportingFees and InvoicingClearing / CustodyCommon PlatformSettlementTrust Accounting (SEI)ConfirmsBrokerage AccountingComplianceAccounting / CustodyBrokerage StatementsClient ServiceOrder ProcessingProduct SupportCompanyXCRMAccount MaintenanceAdvisor WorkstationWeb AccessCompanyXCall CenterClient ReportingClient DataFees and Invoicing- # -

IGetting StartedIIBasic SlidesIIIExecutive Summary TemplatesIVModels and ObjectsVProject Management TemplatesVIFrameworks and MethodologiesVIIMiscellaneousStatus ReportGantt Chart- # -- # -Overall project is green and on track.Status Report Option 1#Phase StatusProgressTrendStatusIPlanningGreenVision workshop completedDetermine critical path Operating Model itemsDevelop high-level roadmap Develop detailed 2013 plan2Scoping & AnalysisGreenSelected MVPs for functional delivery to OperationsDrafted Conceptual To-Be process flows for MVPPerformed analysis to validate products supported by SystemX for the NY MarketTranslated the existing BRD into Process FlowsDrafted Requirements Catalog of existing requirements3BuildGreenBuild activities are underway4Operational Readiness(Not started)Documentation of procedures and controls to start5DefectsAmber185 defects remain open104 are under review, 52 are in the process of being fixed and 29 are ready for retestingKeyCompleteNot StartedInitiatedClosingIn Progress- # -Current status is Green for Go Live on Nov 5. Phase 2 scheduled for Q2 2013.Status Report Option 2 Phase StatusProgressAchievementsCurrent Focus / Next StepsPhase IV: UATAmber82% UAT Test Cases completed (75% passed)58 defects remain open (18 are critical)Total 122 defects have been opened till-dateDue to high number of defects UAT Sign off delayed to Oct 15 (from Sep 28)Complete UAT by October15th Phase V: Parallel Plan GreenParallel Plan framework developed; details are being documentedRisk have been identified (environment, reference data etc) and action plans are being developedComplete Parallel Plan by October 5th Finalize action plans to address risksParallel run to start Oct 16th Phase VI:Go LiveGreenGo-Live and Migration plan being developedPlan developed to communicate to external stakeholders during the week of Oct 15Complete Go-Live and Migration plan by Oct 12th

Status RatingG2013AODNSJJMFMAJJMFMAJ2012Go Live Nov 5Parallel Test CompleteNBuildSystem Integration Testing UAT UAT CompletedAKEYGreenAmberGANot StartedOn HoldCompleteNCRedRHParallel TestingPhase 2 Go Live (TBD)N- # -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 ChartWave 1Develop Business CaseDevelop Business Architecture RequirementsDevelopment / Build Design Technical ArchitectureUser Acceptance Testing CompleteGo-LiveSystem Integration Testing CompleteParallel Test CompletePost Implementation ReviewWave 3Wave 4Wave 5Wave 22013201420152016Q2Q3Q4Q1JJAMODNSFMAJQ1-4Q1/2Q3/4TodayWave 1 Complete- # -Objects Harvey Balls and StatusGreen: On track (0-1 week delay)Amber: Slight delay (1-3 weeks delay)CompleteSignificant ProgressRed: Major delay (3+ weeks delay)KEYEvenProgressNegativeGreenStatusAmberGRANo UpdateOn HoldCompletePHCPositiveRedTrendNot StartedIdentifiedUnderwayGRA

CompleteClosingNot StartedInitiatedIn ProgressKeyCompleteNot StartedInitiatedClosingIn ProgressCompleteNot StartedInitiatedClosingIn Progress- # -Timeline / Roadmap Plain200620112004201020072009200820052003XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX- # -Dashboard Overall Project SummaryStatusTrend#Key AreasInitiative StatusGStrategic Initiatives1GCategory 44SubcategoryProject NameProject NameGGGCategory 33SubcategoryProject NameGSubcategoryProject NameProject NameProject NameProject NameGGGHSubcategoryProject NameProject NameProject NameProject NameProject NameProject NameProject NameProject NameAGGGAGAGSubcategoryProject NameProject NameProject NameProject NameGGGGTactical Initiatives2SubcategoryProject NameProject NameProject NameAAASubcategoryProject NameFATCA Project NameSubcategoryProject NameGProject NameSubcategoryProject NameProject NameProject NameRGProject NameProject NameGGProject NameGGProject NameGSubcategoryProject NameProject NameProject NameProject NameProject NameProject NameProject NameProject NameAGPGGGGSubcategoryProject NameGGCGProject NameProject NameGGGGGKEYEvenTrendNegativeGreenStatusAmberGRANo UpdateOn HoldCompletePHCPositiveRedProject NameProject NameProject NameGGH- # -Risk TemplateSeverity#Risk / IssueCurrent Status / Mitigation StrategyOwnerType2MediumRisk3Medium5Medium1HighIssue4Medium- # -

Risk and Issues are communicated to management via the Dashboarding process. Project DashboardingOff-Track TemplateRisk / IssueAdditional Comments Overall StatusGantt / RoadmapSlide 69Slide 67Slide 64Slide 65Post Implementation Slide 66Slide 68- # -RAG StatusAchievementsCurrent Focus / Next StepsTech Lead:Manager:Initiative Lead:ScopeCurrent Status SummaryInitiative BackgroundCompletion Date:ObjectiveBenefits/ROIPriority:FinancialsRiskDependency- # -- # -2013201420152016Q2Q3Q4Q1JJAMODNSFMAJQ1-4Q1/2Q3/4Roadmap GanttRAG StatusTech Lead:Manager:Initiative Lead:KEYGreenAmberGRANot StartedOn HoldCompleteNHCRed- # -- # -Risks / Issues13Severity#Risk / IssueMitigation Strategy and Current StatusOpen DateTarget DateOwnerLikelihood 2465RAG StatusTech Lead:Manager:Initiative Lead:TypeClose DateChange- # -- # -Additional CommentsRAG StatusTech Lead:Manager:Initiative Lead:- # -- # -RAG StatusTech Lead:Manager:Initiative Lead:Planned ObjectivesGap / DeltaAchieved ObjectivesPost Implementation Review- # -- # -RAG StatusTech Lead:Manager:Initiative Lead:Off-track SummaryGet Well PlanRoot CauseOff Track- # -- # -IGetting StartedIIBasic SlidesIIIExecutive Summary TemplatesIVModels and ObjectsVProject Management TemplatesVIFrameworks and MethodologiesVIIMiscellaneousBusiness TransformationStrategyMaturity ModelsRoadmapProgram Management

- # -- # -Status:Core + Cross Process Function Slides presented in this section are in no particular order - # -- # -A complex business transformation could take multi-years. Not all phases depicted below are necessary.Business Transformation Approach2013201420152016Q2Q3Q4Q1JJAMODNSFMAJQ1-4Q1/2Q3/4Phase I: Strategy AssessmentIPhase II: Business Case and RoadmapPhase III: Vendor SelectionPhase IV: Program ImplementationIIIIIIV- # -High-levels steps of the 4 phases are detailed below.Business Transformation Approach Details Document high-level requirements; issue RFI and RFPConduct Deep Dive AssessmentsConduct reference calls & customer visitsPerformed independent researchPerformed due diligenceDevelop methodology for prioritization and critical path of the identified projects, and define resources and cost implications with executive inputsSign agreements with vendors (MSA, SOW etc)Implement various program and project initiatives.

Define overall vision and strategic objectivesPerform 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 requirementsPhase IV: Program ImplementationPhase III: Vendor SelectionPhase II: Business Case & RoadmapPhase I: Strategy AssessmentApproachIIIIIIIV- # -Mobile applications should be developed using amethodology tailored for mobile devicesStrategy: Plan to ChangeDevelop various mobile productsDevelop/modify servicesIntegrate mobile with existing channelsSystem TestingEnd to end testingLaunch various mobile productsMobile webMobile appBlogSocial MediaDefined mobility goals (revenue, efficiency, customer experience etc)Define business case and prioritize the roadmapBudget approvalCurrent state assessment of Mobility infrastructure

Develop mobile use casesProcess requirementsUser interfaceData requirementsDevelop overall solution architectureDevelop wireframes Prototype critical featuresDevelop launch approachDeployDevelopDesignDefineApproach- # -Program Office VisionThe Program Management Office (PMO) vision and associated strategic objectives guide all change related activities. Program Vision and Strategic PrinciplesManage and execute all change initiatives to help maintain a leadership position in Trade Processing. Strategic ObjectivesTier 1Tier 2213Continuously improve efficiencies (initially by consolidating processes and systems)Address existing and new regulatory requirementsPartner with key stakeholders to drive enhanced experience and new functionality645Enhance organizational capabilitiesEnsure a structured and methodical approach is in place to manage changeStreamline processing business and technical architecture to increase time to market- # -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 FrameworkStrategy DevelopmentCurrent State AssessmentRisk Appetite Business Constraints Regulatory DriversLeading PracticesTechnology Trends Economic Environment and ForecastGeographical Considerations Competitive PositionScenario AnalysisIndustry DirectionFinancial Modeling and PlanningStrategy FormulationMission, Values and VisionStrategic ObjectivesPerformance Measures and TargetsRegulatory DriversCustomer AnalysisMarket AnalysisOrganizational Analysis

ProcessPeopleTechnologyLine of BusinessSecurities ServicesTreasury ServicesAsset ManagementCommercial BankingInvestment BankingPrivate BankingOUTPUTSINPUTS- # -BackgroundRegionally defined processes with increased automationFunctional/Product aligned organizationFragmented focus on customer experienceDefined / Proactive Globally defined and integrated processesBusiness and customer aligned organizationTechnology strategy is developed in conjunction with the business strategyEngaged focus on customer experienceService / AdvocateLocally defined processesIndigenously grown organization and technologyInitial / Ad hoc Utility mindset Leverage Like Functions, Centers of Excellence, Across LOBsProcess optimized across the enterprise and globe to support business innovationTechnology is a value enabler and becomes a core part of the client offeringFocus on customer experience is embedded in BAUAgile business model with a decreased time-to-marketValue / LeaderEffectivenessFutureTodayPastThe Finance Department has played a critical role over the years from both a revenue and business support perspectiveWe have evolved globally as a result of marketplace demands, mergers and acquisitions and changes in regulationsThe existing platform has been developed in an unstructured manner, resulting in a fragmented lifecycleVarying drivers have resulted in a compelling business case to strategically re-architect the platformMaturity Model- # -BackgroundExperimenters have launched different mobile initiatives and have experience with different technologies but lack a clear vision of what they want to achieve via mobileDefined / 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 havent yet dedicated significant resources to it.Service / AdvocateNovices are the least mature mobile organizationsInitial / Ad hoc Models excel at most of the core mobile disciplines andModels are often large firms that have committed significant resources to mobile and have top-level executives championing mobile efforts. Value / LeaderEffectivenessFutureTodayPastEveryone 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 companys 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.Forresters Mobile Maturity Model- # -Components of a Business CaseRisks and DerailersVendor Evaluation (optional)Strategy and Current State AssessmentExecutive Summary Implementation Plan Change Drivers1423Developing a business case can show management the business imperative and value of adopting a particular approach. Business CaseCost 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 Model567- # -ProcessInputsSIPOC Framework is a Six Sigma tool used for process analysis and can be used to perform a current statement assessment.Process Analysis SIPOC SuppliersSPCIOOutputsCustomersMaterials, resources or data required to execute the processA structure ser of activities that transform a set of inputs into specified outputs, providing value to customers and stakeholdersProducts or services that result from the processThe recipients of the process outputsProvider of inputs to the processEndStep 2Step 3Step 4Step 1 Step XStartProcess is typically broken into 5-7 steps- # -Varying drivers have resulted in a compelling business case to strategically re-architect the processing platform.Rationale for Platform UpgradeAging SystemsCustomer ExperienceTime-to-MarketOperational EfficiencyRegulationIndustry LeaderA more efficient process will improve the experience of internal and external stakeholders. Maintain and extend our competitive, business and operational leadershipA renewed focus on increasing operational efficiencyPressure to quickly deliver functionality to support new business, products and servicesCompliance with regulation is becoming complexDeliver a solution which supports a growing global business footprintGlobalizationHighly disjointed and has become increasingly costly to maintain (30 years of accretive development)Process Driven SetupMove to a process driven construction that is region agnostic- # -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 Risks415Accelerated implementation approach BudgetKey Dependencies on multiple external initiatives8Organizational strategy changes3New regulations or changes to existing ones2Resources constraints9Shift in priorities7Vendor dependencies for some program- # -listA structured and methodical approach was used to develop the roadmap. Roadmap Development ApproachPart II Project Consolidation Part IProject Templates

Part IIIPrioritization and Dependency AnalysisRoadmap Development ApproachRequest Project owners to complete Project scopingConsolidate project informationPerform cost/benefit analysis to determine prioritization Identify initiative interdependenciesDevelop strategic roadmap

Part IVRoadmap Development- # -Simple template to gather high-level project information.Project TemplateX N/AProject DescriptionCustomer ExperienceSecurity and ReliabilityValue Add External CustomersEnable GrowthOperational EfficiencyValue Add Internal CustomersInformation AccuracyHigh / Medium / LowProject SizeXProject NameProject ImpactProject TimingProcessXSystemXOrganizationXHigh / Medium / LowProject ComplexityQ3Q4Q1Q3Q4Q120122011Q2Q2- # -Roadmap Option 1 2013201420152016Q2Q3Q4Q1JJAMODNSFMAJQ1-4Q1/2Q3/4Develop Business CaseSelect VendorOperating Model and Business ArchitectureSprint 0 Complete (Entry into Build)Update Business CaseSystem Test CompleteParallel TestCompleteDecommission Legacy SystemPost Implementation ReviewBuild Complete (In Agile Sprints)UAT CompleteGo LiveScoping & Analysis (Requirement Definition)- # -Roadmap Option 2Oracle GL EMEA (Walker)Management ReportingTRS (GRS)AEB (Hyperion Enterprise)Multi-Dimensional (Product, Customer)Point of DeparturePoint of ArrivalPilot GL and Reporting FoundationOracle GL - Ledger Unit 021AXP Consolidation LedgerOracle GL LA/C (Walker)Financial Accounting Services HubExternal Reporting (FCH)AXP (HFM)AEB (Hyperion Enterprise)Oracle GL J/APA (Walker)Oracle GL AEB (FAS / non-FAS)

Foundational Future State DesignDevelop Strategic COAReview Corporate & BU ProcessesProject Governance and StructureOracle GL TRS US-Canada (Walker)

- # -A full blown vendor evaluation could include up to 7 phases.Vendor Evaluation ApproachPhasesDue DiligenceTotal Cost of OwnershipIndependent Research Ref. Calls & Customer VisitsDeep Dive AssessmentsRFPRFIWeightKey Activities Determine RFI approachDraft/issue RFI Develop RFI response evaluation criteria & assessment frameworkScore RFI responses Create vendor profiles for short-listed vendorsDetermine RFP approachDocument RFP requirementsDraft/issue RFPDevelop RFP response evaluation criteria and assessment frameworkScore RFP Create vendor profiles for short-listed vendorsDevelop detailed deep dive agenda & scheduleDevelop dive assessment framework and scoring mechanismConduct deep dive analysisCreate vendor deep dive assessment based on onside reviews

Determine business & technology cost componentsRefine high-level program timelineDocument High-level business and technology cost estimatedDeveloped TCO modelReview historical & projected financial data provided by companies or available via public filingsModel to determine the likelihood of bankruptcyAssess overall financial strength based on financial dataDetermine customers to be part of the reference calls and visitsDevelop assessment framework and scoring mechanismConduct calls & visitsCreate Ref. Call and Customer assessment deckIdentify relevant Independent Research organizationsSchedule and conduct Independent Research callsCreate Independent Research assessment decks

15302510155N/A- # -A set of principles should be defined to guide the Customer Relationship Manager (CRM) vendor evaluation process.Vendor Evaluation Guiding PrinciplesSelect 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 spaceAny vendor/solution selected is expected to have a 80 to 85% fitLimited customization of the CRM product will be undertaken to ensure that inherent product functionality and flexibility is not degradedEnsure ability to take ownership of product (not source code) and support with minimal reliance on vendor post implementation13524- # -The Program System Implementation has 4 key roles: Program Office, Business Integrator, Systems Integrator and Solution DeliveryProgram Implementation OrganizationSystem ImplementationSystems IntegratorBusiness IntegratorSolution DeliveryProgramOfficeClearing Development department with support from other tech departments is responsible for performing the Systems Integrator roleThe vendor will perform the application configuration, customization, module integration, data migration and documentation of the vendor software productsThe organization has established a PMO staffed by Consulting resources. The Clearing department is responsible for performing the Business Integrator role- # -Program Implementation System ImplementationProgram ManagementScope ManagementStatus Reports Risk ManagementFinancial ManagementCommunication ManagementIntegrated Work PlanRelease ManagementData MigrationOverarching IntegrationGo-Live PlanKnowledge TransferUAT PlanTechnology IntegrationVendor ManagementBusiness IntegrationFunctional RequirementsVendor ManagementCommunication PlanReview and QAReview and QAInfrastructureSecurityCreate 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 RequirementsWork jointly with Tech to address a variety of technology implementation areas including Infrastructure sizing, Data Migration, Environment management, Security, Performance Testing and ReportingData MigrationParallel Testing PlanAssist 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- # -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 PsA group of related projects managed in a coordinated way to obtain benefits and control not available from managing them individuallyProgram ManagementA 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 resourcesProject ManagementCorporate and Individual Business unit strategies that define the direction of the corporationBusiness StrategyThe 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 relatedPortfolio ManagementBusiness StrategyPortfolio ManagementProgram ManagementProject Management- # -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 SpecificationsCoding / DebuggingUnit TestingBusiness RequirementsUser Acceptance TestingTechnical Requirements and Detailed DesignSystem and Integration TestingAnalysisUser Acceptance Test SpecificationsDesignSystem/Integration Test SpecificationsReconciliation RequirementsParallel TestingDeploymentParallel Test Specifications- # -A comprehensive Strategic Risk Management (SRM) Framework encompasses seven domains / core building blocks.Risk Management Framework DomainsEnterprise strategy that defines the SRM function role, SRM program objectives and establishes going-forward strategic roadmapSRM oversight structure with well defined roles and responsibilities to manage risks pertinent to the risk management lifecyclePolicies, 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 activitiesCoordinated 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

GovernanceRisk Management Processes*Metrics and ReportingPolicies, Standards and ProceduresTools and TechnologyCommunication, Training and Awareness- # -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 Results3. Update Strategic RoadmapPrioritize enhancement opportunities based on benefit. 3. Update Strategic Roadmap1. Current State Analysis1. SRM Program Current State AnalysisAnalyze the current SRM Program, utilizing industry drivers and the changing risk landscape to identify potential enhancements to the current state2. Analysis of ResultsReview potential enhancement opportunities with SRM governing bodies and additional key stakeholdersSRM Governance ModelStrategic SRM ReportingRisk AppetiteClassificationRisk Management ProcessesTools and TechnologyTraining and AwarenessSRM Program Components- # -Control DomainControl Domain MaturitySummary ObservationsStrategyThe organization has adopted a risk-based approach for operational risk management following. GovernanceThe organization has established governance.Policies, Standards and ProceduresThe organization Policies, Standards and Procedures satisfy regulatory expectations.Risk Management ProcessesThe organization has established risk management processes and governance activities around regulatory requirements.Tools and TechnologyCurrent tools and technologies appear satisfactory from the regulatory standpoint.Metrics and ReportingThe organization quarterly issues reports focused on critical processes.Communication, Training and AwarenessThe organization has dedicated, trained staff in several groups / functions that manage critical processes.Assessment indicates that current controls are lagging.Control Domain MaturityCSRCSRCSRCSCSCSRCSRCSCurrent stateRRegulatory documented standards and guidanceNon-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.0Maturity LevelsROptimizedNon-existentRepeatableDefinedMeasuredAd Hoc- # -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: ImplementationPhase 1: Risk AnalysisPhase 2: Remediation Option AnalysisPhase 3: Cost Benefit AnalysisRegulation / Business OptionAssetRemediation OptionsRiskDecisionCost Benefit- # -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 AnalysisVulnerability AnalysisExisting Controls AssessmentLikelihood AssessmentRisk IdentificationImpact AssessmentAsset AssessmentQualitative ImpactFinancial ImpactImpact RatingVulnerability IdentificationVulnerability Exposure RatingThreat IdentificationClassification of ThreatsThreat LikelihoodThreat Exposure Rating- # - Market VolatilityHighHighLowMarket GrowthRecovery scenariosParadise RegainedModerate regulationMarkets stabilizeSpending recoversCredit conditions improvePricing flexibility returnsBeta MarketsMarkets shun riskGrowth recovers slowlyGovernment grip tightensInnovation retreatsVanilla products dominateAlpha MarketsMarkets overheatInflation picks upMarket turbulence increasesRisks proliferateProduct life cycles shortenParadise LostAggressive regulationZero pricing flexibilityEscalating defaultsQuality customers migrateDisruption of the card model- # -Operational Performance / ProductivityHighHighLowCost EfficiencyOrganization Design impacts both productivity and cost in a business.Organization DesignOrganization Design is impacting productivityOrganization Design based on unsustainable Business ModelOptimal Organization DesignOrganization Design is eroding margins- # -Business Portfolio 3x3Competitive PositionLowMediumHighProduct/Market AttractivenessLowMediumHigh- # -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 ArchetypesCapability Sophistication & ScaleParticipant(Establish Presence)Adaptor(Enhance Competitiveness)Creator(Break Constraints)Assimilator(Leverage Innovations)Addressable Market- # -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 OpportunitiesRiskHighHighLowValueReassessPlan NowDo NowCircle size represents approximate cost- # -Enterprise Cost Management Potential Initiatives Cost Management TradeoffsPainCost ReductionOpportunity High Medium Low LowMediumHighGainAlign, 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 ITSuccessful efforts address functional excellence at the BU and/or enterprise levelA cost focus is either an integral part or added on as a key objective to an already existing re-engineering effortThe pursuit of business performance improvement through rapid identification and implementation of cost management solutions, while simultaneously creating valueSuccessful efforts cover many functional areas in an holistic, integrated programCost Management Example Efforts123123Level 1 - IncrementalShort-term Portfolio RationalizationLevel 2 - TransformationalFunctionally Focused Cost managementLevel 3 - Radical

Division/BU &Enterprise Program- # -OptionsWithdrawMany short term marketing, product and operational initiatives driven by a crisis PMOExiting the business at least for a whileCutting lines, reducing risk and expenses, waiting for the storm to passScrambleInnovateRetrenchStepping back and redefining business and operating models to capitalize on industry opportunities- # -IGetting StartedIIBasic SlidesIIIExecutive Summary TemplatesIVModels and ObjectsVProject Management TemplatesVIFrameworks and MethodologiesVIIMiscellaneous

- # -- # -Document Revision History and ReviewersVersionAuthorDateVersion DescriptionReviewers- # -World Map- # -United States Map- # -Salahuddin Khawaja

Developed and Designed byMore at Decklaration.comABOUT 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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