DESIGNED AND DEVELOPED AND BY

SALAHUDDIN KHAWAJA
ABOUT THE AUTHOR
Salah has 15 years of experience, primarily in the Financial Services Industry. Before joining JP Morgan he spent 11 years at Deloitte & Touche helping Fortune 500 clients with various types of Strategic Initiatives,. He is currently is based in Hong Kong with responsibility for delivering the next generation platform for Securities Processing.

Areas of Expertise: Strategy Development, Business Transformation, System Integration, Program & Project Management, Mobile Strategy, Data Analytics, Executive Presentations Sample Clients: Bank of America, Citi, MasterCard

CONTACT
salahk@gmail.com

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

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

Acknowledgement

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

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I
Getting Started

P. 4

II

P. 11

III
Executive Summary Templates

P. 22

IV

P. 27

P. 55

VI

P. 70

VII

P. 105

Basic Slides

Models and Objects

Project Management Templates

Frameworks and Methodologies

Miscellaneous

Provides an overview of this deck

A set of basic slides that should meet simple needs

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

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

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

A set of proven frameworks and methodologies

A set of miscellaneous slides

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I
Getting Started

II
Basic Slides

III
Executive Summary Templates

IV
Models and Objects

V
Project Management Templates

VI
Frameworks and Methodologies

VII
Miscellaneous

Cheat Sheet Slide Structure 7 Deck Rules

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

Title of Box
Main bullet 11 font
Main Bullet 9 Font

Basic Chevrons

Title of Box

Sub-bullet (lighter share)

Sub-sub-bullet

Phase I: Analysis

Phase II: Design

Phase III: Build

Pro bullet Con bullet

Details on Slide X

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

Callouts

Callouts

90, 80, 80

149,136,130

127, 127, 127

Misc Objects

RAG Status

Harvey Balls
Not Started
J F

Gantt
2013
M A

G
1

Green: On Track Initiated Amber: At Risk Red: Off Track In Progress Closing

A R

Parallel Test Complete Go-Live

Complete

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Pin Timesaver
Pin this Timesaver for easy and quick access.

After opening this deck, pin it for quick access.

-6-

Slide Structure
A typical slide has 6 distinct components.

The Headline is a short title describing the slide

The Lead is a brief, sharp statement summarizing the slide

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

The Company Logo is displayed for branding purposes

Page number in the middle of the slide

The Department or Project Name is displayed for branding purposes

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Slide Structure Bleeding

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

Content should not bleed into the border of the slide

(as indicated by the red line and blue border)

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7 Deck Rules
Follow 7 rules to make compelling presentations.

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

There are 7 Rules behind the art and science of creating a great presentations.

4 RULES 7 DECK

Leverage VI a Library

III

Tell a Story

Follow them all to successfully convey your message.

V Focus on Composition

IV Solve a Problem

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Click to see more: decklaration.com

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I
Getting Started

II
Basic Slides

III
Executive Summary Templates

IV
Models and Objects

V
Project Management Templates

VI
Frameworks and Methodologies

VII
Miscellaneous

Bullets Table Models List Timeline

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Sample Slide 1: Organized Sections Bullets

Over the years SystemX has evolved and it is increasingly complex to add functionality. Programs have been launched to strategically change the core platform.
Current State Billing has evolved over the last 30 years

Processes and systems have been cobbled together as a result of mergers and acquisitions

The core platform has had no strategic structural change The organization is currently structured in functional silos Key Issues Enhancing or adding functionality is increasingly complex and requires significant effort and cost Increasingly difficult to keep pace with the changing business landscape and providing value added services

It is expected that current and new business strategic initiatives will make increasing demands

The Billing lifecycle has become fragmented which increases internal control risks High risk of not being able to meet certain complex requirements Go Forward Approach Launched multiple programs to move towards:

A single integrated global Platform (from a process and technology perspective)

The adoption of a Utility Mindset

Leverage Like Functions, Centers of Excellence, Across LOBs Holistic business process management (alignment with client, end-to-end control framework etc)
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Sample Slide 2: Table

Overall project is green and on track.

Phase

Status

Progress

Trend Vision workshop completed

Status

Planning

Green

Determine critical path Operating Model items Develop high-level roadmap Develop detailed 2013 plan Selected MVPs for functional delivery to Operations Drafted Conceptual To-Be process flows for MVP

Scoping & Analysis

Green

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 Build activities are underway

Build

Green

Operational Readiness

(Not started)

Documentation of procedures and controls to start

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

Not Started

Initiated

In Progress - 13 -

Closing

Complete

Sample Slide 3: Chevrons

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

Phase I: Strategy Development

II

Phase II: Future Architecture

III

Phase III: Roadmap

Assess internal and external factors (Risk Appetite, Regulations, Technology trends etc) Identify change drivers Perform a current state assessment across People, Process and Technology Define the strategic objectives

Determine future state based on strategic objectives, change drivers and leading practices
Perform Gap Analysis

Develop business case and roadmap based on project priorities, impact, cost and resource requirements
Develop methodology for prioritization and critical path of the identified projects, and define resources and cost implications with executive inputs Implement various program

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Sample Slide 4: Model v1

A model for strategy development

Current State Assessment

Strategy Development

Organizational Analysis
Economic Environment and Forecast
Risk Appetite

Scenario Analysis
Mission, Values and Vision

People

Competitive Position
Process
Strategic Objectives

Business Constraints

Technology
Regulatory Drivers Leading Practices

Industry Direction Financial Modeling and Planning Strategy Formulation

OUTPUTS

Performance Measures and Targets

Customer Analysis
Technology Trends Geographical Considerations
INPUTS

Regulatory Drivers

Market Analysis

Line of Business

Asset Management

Commercial Banking

Investment Banking

Private Banking

Securities Services

Treasury Services

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Sample Slide 5: Model v2

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

Value / Leader

Utility mindset Leverage Like Functions, Centers of Excellence, Across LOBs

Service / Advocate
Effectiveness

Globally defined and integrated processes

Defined / Proactive

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
Future

Initial / Ad hoc

Regionally defined processes with increased automation Functional/Product aligned organization Fragmented focus on customer experience

Business and customer aligned organization

Technology strategy is developed in conjunction with the business strategy Engaged focus on customer experience

Locally defined processes Indigenously grown organization and technology

Past

Today

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Sample Slide 6: Call Out

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

Components of a Business Case

1
Executive Summary

2
Strategy and Current State Assessment

3
Change Drivers

4
Vendor Evaluation (optional)

5
Cost and Benefits

6
Risks and Derailers

7
Implementation Plan

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

The financials show the overall investment, break-even point and Return on Investment (ROI).

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Sample Slide 7: Methodology

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

Strategy

Governance

Policies, Standards & Procedures

Strategic Confidentiality of Information Transaction / Operational

Compliance / Legal Contractual Integrity of Data

Financial Stability

Risk Management Processes Tools and Technology Metrics and Reporting Communication, Training & Awareness

Reputation

Business Continuity

Standard domains in an Enterprise Risk Management Program

Program Domains

Risk Categories

Over 15 processes expected to cover these 9 risks categories

Analysis was completed to determine improvement opportunities

Assessment Approach

Observations & Recommendations

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

Interviews Control Objectives Assessment Risk Processes and Scenarios Governance Model and RACI Analysis Audit Analysis
- 18 -

Governance and Reporting

Risk Appetite Supplier Classification Supplier Risk Management Processes Other Supplier Risk Management Enhancements

Sample Slide 8: List

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

Disruptors
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.

Social Business

Data Analytics (aka Big Data)

Gamification

Geospatial Visualization

Enterprise Mobility Unleashed

Digital Identities

User Empowerment

Measured Innovation

Hyper-hybrid Cloud

Outside-in Architecture

- 19 -

Sample Slide 9: General Timeline

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

2003

2004

2005

2006

2007

2008

2009

2010

2011

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

- 20 -

Sample Slide 10: Gantt Program Timeline

The best way to plan out a project is to look at the various activities visually. The best tool to do that is a simple Gantt Chart. A Gantt Chart is a visual representation of the various project activities.
2013
J F M A M J J A S O N D Q1 Q2

2014
Q3 Q4

2015
Q1/2 Q3/4

2016
Q1-4

Wave 1 Develop Business Case Develop Business Architecture Requirements Design Technical Architecture Development / Build System Integration Testing Complete User Acceptance Testing Complete Parallel Test Complete Go-Live Post Implementation Review Wave 1 Complete Wave 2 Wave 3 Wave 4 Wave 5
Today

- 21 -

I
Getting Started

II
Basic Slides

III
Executive Summary Templates

IV
Models and Objects

V
Project Management Templates

VI
Frameworks and Methodologies

VII
Miscellaneous

Summary Templates

- 22 -

Executive Summary Option 1 Basic

Over the years SystemX has evolved and it is increasingly complex to add functionality. Program have been launched to strategically change the core platform.
Current State Clearing has evolved over the last 30 years

Processes and systems have been cobbled together as a result of mergers and acquisitions

The core platform has had no strategic structural change The organization is currently structured in functional silos Key Issues Enhancing or adding functionality is increasingly complex and requires significant effort and cost Increasingly difficult to keep pace with the changing business landscape and providing value added services

It is expected that current and new business strategic initiatives will make increasing demands

The Clearing lifecycle has become fragmented which increases internal control risks High risk of not being able to meet certain complex requirements Go Forward Approach Launched multiple programs to move towards:

A single integrated global Platform (from a process and technology perspective)

The adoption of a Utility Mindset

Leverage Like Functions, Centers of Excellence, Across LOBs Holistic business process management (alignment with client, end-to-end control framework etc)
- 23 -

Executive Summary Option 2 Situation-Complication-Resolution

To support the future growth of our business, lower the cost of running the Clearing process, and more efficiently manage our business and financial risks the we recommends the implementation of the Strategic Enhancement Program (StEP).
Situation Since September 2007, we have completed the ProgramX Planning & Analysis (P&A) phase, updated the Total Cost of Ownership (TCO) model, gathered internal & external customer views, and complied a list of key infrastructure projects Based on the P&A results the new proposed platform meets our needs and could be implemented within an 18-24 month period Complication

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

Resolution To support the future growth of our business, lower the cost of running Clearing, and more efficiently manage our business and financial risks the program team recommends the implementation of the Strategic Enhancement Program (StEP)
- 24 -

Executive Summary Option 3 Business Case View

To support the future growth of our business, lower the cost of running the Clearing process, and more efficiently manage our business and financial risks the we recommends the implementation of the Strategic Enhancement Program (StEP).
Program Status Since Sep 2007, we have completed the ProgramX Planning & Analysis (P&A) phase, updated the Total Cost of Ownership (TCO) model, gathered internal/external customer views, and complied a list of key infrastructure projects Based on the P&A results the proposed new solution meets our needs and could be implemented within an 18-24 month period Business Imperative Internal meetings with customer and commerce development teams confirmed that current and new strategic initiatives, and evolving business needs will continue to put increasing demands on the legacy system Enhance customer experience, reduce time-to-market, improve controls and reduce costs

Financial Summary

Implementing and operating the new system is essentially cost neutral over a 10 year period
The 10 year tax effected NPV cost for implementing and operating new system is $XX.X M compared to operating the legacy system is $XX.X M Recommendation To support the future growth of our business, lower the cost of running Clearing, and more efficiently manage our business and financial risks the program team recommends the implementation of the Strategic Enhancement Program (StEP)
- 25 -

Executive Summary Option 4 Analysis Summary

The cross functional team has determined that the UAT can be executed in the timeframe with the resources allocated
Background
Key Question: is the ProgramX program adequately resourced across key groups to support the UAT phase

Key Groups: Operations, QA, Development, Finance

Analysis
A cross functional team performed the following analysis:

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

Conclusion To-Date
Overall, the team has determined that the UAT can be executed in the timeframe with the resources allocated

We have reached a common understanding that testing at the scenario level facilitates successful completion within 8 weeks 21 UAT testers compares favorable to 22 System Testers

The 8 week UAT test window has no contingency built-in (however, there is a 4 week overall program contingency)

Next Steps
As per original plan, the UAT resource plan will be updated based on the following:

Finalization of the UAT Game Plan which will detail out the planned activities Agreement on the acceptance and exit criteria Impact of other ancillary activities (data migration, mentoring, training etc.) Finalization of test cases/scenarios (currently test cases for 3 of 14 areas have been developed)
- 26 -

I
Getting Started

II
Basic Slides

III
Executive Summary Templates

IV
Models and Objects

V
Project Management Templates

VI
Frameworks and Methodologies

VII
Miscellaneous

Lists Chevrons Pyramids Circles Org Chart Cubes Architecture

- 27 -

List Option 1 Simple

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

1 2 3 4 5 6 7

Design for Growth Design for Efficiency and Centralized Strategic Guidance Design to Balance Flexibility and Integration Design for Robust Governance Design for Collaboration Design for Clear Accountability Design with Market and Customer Focus

- 28 -

List Option 1 Two Columns

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

Disruptors
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.

Social Business

Data Analytics (aka Big Data)

Gamification

Geospatial Visualization

Enterprise Mobility Unleashed

Digital Identities

User Empowerment

Measured Innovation

Hyper-hybrid Cloud

Outside-in Architecture

- 29 -

List Option 3 Depicting Numbers

The mobile revolution is underway enterprises need to capitalize.

Smartphones

1 Billion

# of Smartphones worldwide

Mobile Apps 200+ Billion

# of Apps downloaded per year

Tablets

96.3 M

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

Mobility

75%

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

PC Shipment

-5%

US PC Shipments is falling by 5%

App Development

4x

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

- 30 -

Chevrons Option 1 Timeline / Roadmap

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

Approach
Vision and Strategic Objectives Definitions

Current State Assessment

Recommendations

Roadmap Development

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

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

Develop methodology for prioritization and critical path of the identified projects, and define resources and cost implications with executive inputs

- 31 -

Chevrons Option 2 Process

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

Event Management

KRI Monitoring

Pre-contract (Due Diligence)

Sign Contract

Risk
Identification

Risk Response

Close Out

Controls Assessment

Risk Evaluation

- 32 -

Chevrons Option 3 Circular

Text

Text Text Text

Text

Text

Text

Text

Text

Text

Text

Text Text

Text Text

- 33 -

Chevrons Option 4 Methodology

The core assessment will occur at the management process level. The management processes can be broken up into three life-cycle phases, each with a distinct set of control objectives. This extended framework will be used to conduct 3rd party agency in-country assessments
1. Pre-contract (Due Diligence)
1.1 Supplier Selection 1.2 Supplier Classification 1.3 Reputation/Ref Check 1.4 Financial Stability 1.5 Use of Sub-contractors 1.6 Compliance practices 1.7 Information Security 1.8 Sanction Screening 1.9 Contingency Planning

2. Contract

3. Post- Contract (Execution)

3.1 Customer Complaint Management 3.2 BSRM Survey 3.3 Performance Management 3.4 Capacity Management 3.5 Compliance Management 3.6 Periodic Contract Review

2.1 Standard Template 2.2 Contracting Process 2.3 Performance / Reward 2.4 NDA 2.5 Local Legal/Regulations 2.6 Policies 2.7 Right to Audit

3.7 Bankruptcy Monitoring

3.8 Key News Event Monitoring 3.9 COB Assessment 3.10 Contingency Plan Monitoring

3rd Party Collection Agency Selected

Collection Placed

Start collection action

Demand letter and phone calls

Close account

Collection process

Interim reporting

Debt collection and remittance

- 34 -

Legal action (if necessary)

Pyramid Option 1 Three Levels

What we are delivering Program View

Business Delivery
How we are organized to deliver

Operational Delivery

How tech will delivery

Technical Delivery

- 35 -

Pyramid Option 2 4 Levels

Business Strategy

Portfolio Management

Program Management

Project Management

- 36 -

Pyramid Option 3 Multi-dimensional

MISSION
Leading Bank

VALUES
Performance Trust Commitment

VISION

Client Service

- 37 -

Venn Diagrams

Text Text Text Text Text

Text

Text

Text

Text

- 38 -

Circle Option 1 Basic

Shareholders

Board

Management
MISSION VALUES VISIONS

Customers

Employees

Society

Regulators

Partners

- 39 -

Circle Option 2 Callouts

Key to getting the certification is getting a deep understanding of the 9 Knowledge Areas and their corresponding sub-process (a total of 42).
Develop Project Charter Develop Project Management Plan Direct and Manage Project Execution Monitor and Control Project Work Perform Integrated Change Control Close Project or Phase

Integration Management

Scope Management

Collect Requirements Define Scope Create WBS Verify Scope Control Scope

4
Define Activities Sequence Activities Estimate Activity Resources Estimate Activity Durations Develop Schedule Control Schedule

3
Time Management Cost Management

Estimate Cost Determine Budget Control Costs

Quality Management Plan Quality Perform Quality Assurance Perform Quality Control

Human Resource Management

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

5
Communications Management Risk Management

Identify Stakeholders Plan Communication Distribute Information Manage Stakeholder Expectations Report Performance

Procurement Management

Plan Risk Management Identify Risks Perform Qualitative Risk Analysis Perform Quantitative Risk Analysis Plan Risk Response Monitor and Control Risks

- 40 -

Plan Procurements Conduct Procurements Administer Procurements Close Procurements

Circle Option 3 Orbit

- 41 -

Circle Option 4 Cross-hair

Company

Division Customer Invoices

Detailed Reports
Region Product/ Service

- 42 -

Circle Option 5 Flow (4 steps)

Heading [Summary text]

Heading [Summary text]

Focus

Heading [Summary text]

Heading [Summary text]

- 43 -

Circle Option 5 Flow (5 steps)

Heading [Summary text]

Heading [Summary text]

Heading [Summary text]

Focus

Heading [Summary text]

Heading [Summary text]

- 44 -

Honeycomb

Major Lines of Business

2 3

Risk Management

Audit & Risk Review

Risk Management
4 5

Compliance Control
6

Operations & Technology

Finance

- 45 -

Organizational Chart
Name_here Title_here

Name_here Title_here

Name_here
Responsibility1

Responsibility1

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

Name

Name

Name

Name

Name

Name

Role

Role

Role

Role

Role

Role

Role

Name
Role

Name
Role

Name
Role

Name
Role

Name
Role

Name
Role

Name Role

Name Role

Pillar_name_here

Pillar_name_here
- 46 -

Pillar_name_here

Cube Option 1 Basic

Business Requirements

Technical Requirements

Operational Requirements

Regulatory Requirements

- 47 -

Planning Engineering Integration Operation

Cube Option 2 Multi-layered

Svc2

Svc 3

App2
Svc1 App1 Cash Operational Support and Control Securities

Capacity Management & Workstream Coordination

Simplified App & DB Infrastructure

Virtualized Operating Platforms

- 48 -

Cube Option 3 Callout

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

An increase in incidents have occurred over 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)

Tiers are being deep dived to ensure they are working properly

Tiers Defects Rates

Matching Rules Customer setup Filters

Changes are identified during review of daily and weekly bill runs Changes are made in PROD once weekly and DR twice weekly

Key items within customer setup method must be maintained Two change requests for filters are underway to ensure the proper filtering

- 49 -

Architecture Option 1 Layered

Broker/Dealer Processing Environment
Manual interventions & redundant processes built to overcome technology and operational shortcomings
Corporate Consolidations

Relaying other products

SWIFT

SWIFT Gateway

FAX

Product Specific Processes & Architectures

Front Office
Bank Adjustments

Back Office
Reconciliations Bank Adjustments Reconciliations Bank Adjustments T+3

Foreign Exchange Derivatives Foreign Exchange Money Market Equity

Foreign Exchange

T+1

T+2

T+3

Money Market Equity

T+1

T+2

Reconciliations Bank Adjustments T+1 T+2

T+3

Corporate Credit

Business logic imbedded into product specific systems

Reconciliations Bank Adjustments Reconciliations

Derivatives Fixed Income

Derivatives Fixed Income

T+1

T+2

T+3

Bank Adjustments Reconciliations

T+1

T+2

T+3

Corporate Risk

Numerous reconciliations are required to ensure data integrity

Product-Based Reference and Operational Data

Reference Data

Books and Records

Redundant reference data sources stored in product silos

FX

MM

EQ

Deriv

FI

Indicatives and Accounting

Corporate GL

Firm-wide operational information is hard to assemble quickly and accurately

Front Office Reporting Trader Positions Excel Based

Management and Corporate Reporting Tender P&L Risk and (T+3) Compliance Public & Regulatory Corporate Tax Other

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

- 50 -

Architecture Option 2 Pillars

Application Integration Services
These services are the glue that hold all other services together. They provide seamless integration and communication capabilities to ensure reliable transaction processing

Application Support Services

These services form the core business engine They are represented as running throughout the infrastructure providing successful transaction management capabilities at all times

System Management Services

These services are represented as the core of the infrastructure. They interoperate with all of the other services and provides system-wide management to enable coordination of resources, processes and technology

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

Content Based Routing Service

Data Consolidation Service

Application Management

Access Control Service

Message Transformation Service

Protocol Transformation Service

Data Enrichment Service

Capacity Management

Authentication Service

Data Transformation Service

Database Management

Authorization Service

Queuing Service

Data Validation Service

Disaster Recovery Service

Encryption Service

Transport Services

Exception Reporting

Event Management

Roles & Profiles

Rules Management

Network Management

Single Sign on

Transaction Monitoring

Output Management

Reporting

Workload Management

- 51 -

Architecture Option 3 Tunnels

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

PORTAL
Corporate

FRONT OFFICE
Derivatives Equity Derivatives Equity Fixed Income Foreign Exchange

BACK OFFICE

Derivative

Fixed Income Foreign Exchange Foreign Exchange Derivatives

Equity

Foreign Exchange Derivatives Money Market

Corporate Consolidation

Corporate Risk

Corporate Credit

FI

Money Market
FX

Adapters

FX Deriv

Application Support Services System Management Services

MM

Product-Based Reference and Operational Data FX MM EQ Deriv FI

Reference Data

Books and Records

Indicatives and Accounting

Corporate GL

Front Office Reporting Trader Positions Excel Based

Management and Corporate Reporting Tender P&L Risk and (T+3) Compliance Public & Regulatory Corporate Tax Other

- 52 -

Adapters

Security Services Application Integration Services

Architecture Option 4 Multi-component

Future Components

Message Transport Message Transformation, Enrichment, Routing & Error Handling Legacy Adapters Message Repository

Optional Optional Optional

Core Components

Services

Core Components Core Components

Business Analysis & Project Management Technical Solution Delivery

Core Components
Optional Optional Optional

Technical Infrastructure Services

Services

Services

Real-time for Capital Markets - SWIFT Offering

- 53 -

Architecture Option 5 Multi-component and Layers

INVESTMENT ADVISORY
Advisor Workstation Advisor Workstation CRM Advisor Workstation CRM Account Maintenance Advisor Workstation CRM CompanyX Account Maintenance Advisor CRM Workstation CompanyX Private Bank Account Opening CRM International Private Bank Personal Wealth Management Institutional (IIG / IFG)

CLIENT SERVICE
Web Access Call Center Web Access Fees and Invoicing Call Center Web Access Client Reporting Fees and Invoicing Call Center Client Data Client Reporting Web Access Fees and Invoicing CompanyX Call Center Web Access Client Reporting and Invoicing CompanyX Fees Private Bank Call Center Client Reporting and Invoicing InternationalFees Private Bank Client Reporting Personal Wealth Management Institutional (IIG / IFG)

Market
Customer Products Delivery Geographies

PRODUCT SUPPORT
Analytics

ORDER PROCESSING
Order Entry Order Routing

ACCOUNTING / CUSTODY
Clearing / Custody Settlement Confirms Brokerage Accounting Trust Accounting (SEI) Brokerage Statements Compliance Common Platform

Research Common Platform

Order Execution Common Platform

MARKET DATA
Securities Reference Data

Common Platform

- 54 -

I
Getting Started

II
Basic Slides

III
Executive Summary Templates

IV
Models and Objects

V
Project Management Templates

VI
Frameworks and Methodologies

VII
Miscellaneous

Status Report Gantt Chart

- 55 -

Status Report Option 1

Overall project is green and on track.

Phase

Status

Progress

Trend Vision workshop completed

Status

Planning

Green

Determine critical path Operating Model items Develop high-level roadmap Develop detailed 2013 plan Selected MVPs for functional delivery to Operations Drafted Conceptual To-Be process flows for MVP

Scoping & Analysis

Green

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 Build activities are underway

Build

Green

Operational Readiness

(Not started)

Documentation of procedures and controls to start

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

Not Started

Initiated

In Progress - 56 -

Closing

Complete

Status Report Option 2

Status Rating G

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

Phase

Status

Progress

Achievements
82% UAT Test Cases completed (75% passed)

Current Focus / Next Steps

Complete UAT by October15th

Phase IV: UAT

Amber

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) Parallel Plan framework developed; details are being documented Complete Parallel Plan by October 5th Finalize action plans to address risks

Phase V: Parallel Plan

Green

Risk have been identified (environment, reference data etc) and action plans are being developed
Go-Live and Migration plan being developed

Parallel run to start Oct 16th

Phase VI: Go Live

Complete Go-Live and Migration plan by Oct 12th

Green

Plan developed to communicate to external stakeholders during the week of Oct 15

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

2013
A M J

Build

System Integration Testing

UAT
UAT Completed A

Parallel Testing
R Red A Amber G Green N Parallel Test Complete N Phase 2 Go Live

KEY

H On Hold

C Complete N Not Started

Go Live Nov 5
- 57 -

(TBD)

Gantt Chart
The best way to plan out a project is to look at the various activities visually. The best tool to do that is a simple Gantt Chart. A Gantt Chart is a visual representation of the various project activities.
2013
J F M A M J J A S O N D Q1 Q2

2014
Q3 Q4

2015
Q1/2 Q3/4

2016
Q1-4

Wave 1 Develop Business Case Develop Business Architecture Requirements Design Technical Architecture Development / Build System Integration Testing Complete User Acceptance Testing Complete Parallel Test Complete Go-Live Post Implementation Review Wave 1 Complete Wave 2 Wave 3 Wave 4 Wave 5
Today

- 58 -

Objects Harvey Balls and Status

Not Started

Green: On track (0-1 week delay)

Not Started

Initiated

Amber: Slight delay (1-3 weeks delay)

Identified

In Progress

Red: Major delay (3+ weeks delay)

Underway

Closing

Significant Progress

Complete

Complete

Status

R Red

A Amber

G Green

H On Hold

C Complete

P No Update

KEY

Trend Progress

Positive
Not Started

Negative
Initiated

Even
In Progress Closing Complete

Key

Not Started

Initiated - 59 -

In Progress

Closing

Complete

Timeline / Roadmap Plain

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

2003

2004

2005

2006

2007

2008

2009

2010

2011

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

XXXXX

- 60 -

Status

R Red

A Amber

G Green

KEY

H On Hold
Trend Positive

C Complete
Negative

P No Update
Even

Dashboard Overall Project Summary

# Key Areas Status Trend
Subcategory Project Name G

Initiative Status

Project Name Subcategory Project Name Project Name

G G A

Project Name Project Name Project Name

G A G

Project Name Project Name Project Name

G G G

Project Name Project Name

H A

Strategic Initiatives

Subcategory

Project Name

Project Name

Project Name

Project Name

Subcategory

Project Name

Project Name

Project Name

Project Name

Subcategory

Project Name

FATCA

Project Name

Project Name

Project Name

G G

Project Name Project Name

G G

Project Name Project Name

G G

Project Name Project Name

G G

Tactical Initiatives

Subcategory

G
Subcategory

Project Name

Project Name

Project Name

Project Name

Project Name

Subcategory

Project Name

Project Name Subcategory

G G

Project Name Project Name

G A

Project Name Project Name

G P

Project Name Project Name

G G

Category 3

G
Subcategory

Project Name

Project Name

Category 4

Subcategory

Project Name

Project Name

- 61 -

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

Issue

High

Risk

Medium

Medium

Medium

Medium

- 62 -

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

Overall Status

Gantt / Roadmap

Additional Comments

Slide 64

Slide 65

Slide 66

Risk / Issue

Post Implementation

Off-Track Template

Slide 67

Slide 68

Slide 69

- 63 -

RAG Status

Manager:

Tech Lead:

Initiative Lead:

Initiative Background
Objective

Current Status Summary

Achievements

Current Focus / Next Steps

Scope

Dependency Benefits/ROI

Financials

Priority: Completion Date:

Risk

- 64 -

RAG Status

Manager:

Tech Lead:

Initiative Lead:

Roadmap Gantt 2013

J F M A M J J A S O N D Q1 Q2

2014
Q3 Q4

2015
Q1/2 Q3/4

2016
Q1-4

KEY

R Red H On Hold

A Amber C Complete

G Green N Not Started

- 65 -

RAG Status

Manager:

Tech Lead:

Initiative Lead:

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

- 66 -

RAG Status

Manager:

Tech Lead:

Initiative Lead:

Additional Comments

- 67 -

RAG Status

Manager:

Tech Lead:

Initiative Lead:

Post Implementation Review Planned Objectives Achieved Objectives Gap / Delta

- 68 -

RAG Status

Manager:

Tech Lead:

Initiative Lead:

Off Track Off-track Summary Root Cause Get Well Plan

- 69 -

I
Getting Started

II
Basic Slides

III
Executive Summary Templates

IV
Models and Objects

V
Project Management Templates

VI
Frameworks and Methodologies

VII
Miscellaneous

Business Transformation Strategy Maturity Models Roadmap

Program Management

- 70 -

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

- 71 -

Business Transformation Approach

A complex business transformation could take multi-years. Not all phases depicted below are necessary.
2013
J F M A M J J A S O N D Q1 Q2

2014
Q3 Q4

2015
Q1/2 Q3/4

2016
Q1-4

Phase I: Strategy Assessment

Phase II: Business Case and Roadmap

II

Phase III: Vendor Selection

III

Phase IV: Program Implementation

IV - 72 -

Business Transformation Approach Details

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

Approach

Phase I: Strategy Assessment

II

Phase II: Business Case & Roadmap

III

Phase III: Vendor Selection

IV

Phase IV: Program Implementation

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

Document high-level requirements; issue RFI and RFP Conduct Deep Dive Assessments Conduct reference calls & customer visits Performed independent research Performed due diligence

Develop methodology for prioritization and critical path of the identified projects, and define resources and cost implications with executive inputs Sign agreements with vendors (MSA, SOW etc) Implement various program and project initiatives.

- 73 -

Strategy: Plan to Change

Mobile applications should be developed using a methodology tailored for mobile devices Approach
Define Design Develop Deploy

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 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

Develop overall solution architecture Develop wireframes Prototype critical features Develop launch approach

- 74 -

Program Vision and Strategic Principles

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

Manage and execute all change initiatives to help maintain a leadership position in Trade Processing.

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

2 3 4

Address existing and new regulatory requirements

Partner with key stakeholders to drive enhanced experience and new functionality

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

Tier 2

5 6

Streamline processing business and technical architecture to increase time to market

Enhance organizational capabilities

- 75 -

Strategy Development Framework

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

Current State Assessment

Strategy Development

Organizational Analysis
Economic Environment and Forecast
Risk Appetite

Scenario Analysis
Mission, Values and Vision

People

Competitive Position
Process
Strategic Objectives

Business Constraints

Technology
Regulatory Drivers Leading Practices

Industry Direction Financial Modeling and Planning Strategy Formulation

OUTPUTS

Performance Measures and Targets

Customer Analysis
Technology Trends Geographical Considerations
INPUTS

Regulatory Drivers

Market Analysis

Line of Business

Asset Management

Commercial Banking

Investment Banking

Private Banking

Securities Services

Treasury Services

- 76 -

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

Value / Leader

Utility mindset Leverage Like Functions, Centers of Excellence, Across LOBs

Service / Advocate

Defined / Proactive
Effectiveness

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

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

Initial / Ad hoc

Regionally defined processes with increased automation Functional/Product aligned organization Fragmented focus on customer experience

Locally defined processes

Indigenously grown organization and technology
Past

Today

Future

- 77 -

Forresters Mobile Maturity Model

Background
Everyone needs a mobile strategy, but what is the right approach and what are the appropriate objectives and metrics? To help product strategists and executives in charge of defining their 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.

Value / Leader

Service / Advocate

Defined / Proactive
Effectiveness

Initial / Ad hoc

Novices are the least mature mobile organizations

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

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.

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.

Past

Today

Future

- 78 -

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

Components of a Business Case

1
Executive Summary

2
Strategy and Current State Assessment

3
Change Drivers

4
Vendor Evaluation (optional)

5
Cost and Benefits

6
Risks and Derailers

7
Implementation Plan

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

The financials show the overall investment, break-even point and Return on Investment (ROI).

- 79 -

Process Analysis SIPOC

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

Suppliers

Inputs

Process

Outputs

Customers

Provider of inputs to the process

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

Process is typically broken into 5-7 steps

Start

Step 1

Step 2

Step 3

Step 4

Step X

End

- 80 -

Rationale for Platform Upgrade

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

Move to a process driven construction that is region agnostic

Deliver a solution which supports a growing global business footprint

Globalization

Process Driven Setup Aging Systems

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

Compliance with regulation is becoming complex Regulation Operational Efficiency

A renewed focus on increasing operational efficiency

Maintain and extend our competitive, business and operational leadership

Industry Leader
Customer Experience

Time-toMarket

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

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

- 81 -

Derailers Key Implementation Risks

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

Accelerated implementation approach

Resources constraints

New regulations or changes to existing ones

Budget

Key Dependencies on multiple external initiatives

Vendor dependencies for some program

Organizational strategy changes

Shift in priorities

- 82 -

Roadmap Development Approach

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

Roadmap Development Approach

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

Request Project owners to complete Project scoping

Consolidate project information

Perform cost/benefit analysis to determine prioritization Identify initiative interdependencies

Develop strategic roadmap

- 83 -

Project Template
Simple template to gather high-level project information.

Project Name

Information Accuracy

Operational Efficiency Project Description X Enable Growth N/A

Project Size

High / Medium / Low

Value Add External Customers

Project Complexity

High / Medium / Low

Value Add Internal Customers

Project Timing

Q1

Q2

Q3

Q4

Q1

Q2

Q3

Q4

Customer Experience

2011

2012

Project Impact

Process

System

Organization

Security and Reliability

- 84 -

Roadmap Option 1
2013
J F M A M J J A S O N D Q1 Q2

2014
Q3 Q4

2015
Q1/2 Q3/4

2016
Q1-4

Develop Business Case Select Vendor Operating Model and Business Architecture Scoping & Analysis
(Requirement Definition)

Sprint 0 Complete
(Entry into Build)

Build Complete
(In Agile Sprints)

System Test Complete UAT Complete Parallel Test Complete Update Business Case Go Live

Decommission Legacy System Post Implementation Review

- 85 -

Roadmap Option 2
Point of Departure
Charge and Credit Cards Travel Related Services (TRS) Stored Value Products US Canada Walker GL HFM Consolidation and External Reporting EMEA Walker GL Operational Data Store Travel Agency Services J/APA Walker GL GRS - Network Services - Merchant Acquisition - Merchant Processing LA/C Walker GL Management Allocations and Management Reporting

Management Reporting

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

Propriety Payment

18 Installations FAS GL Financial Products and Services - High Net-Worth Affluent Individuals (Outside US) American Express Bank (AEB)

Hyperion Enterprise AEB Management Reporting and AEB External Reporting

Oracle GL EMEA (Walker)

6 Installations Non-FAS GL

Financial Products and Services - Financial Institutions (Worldwide)

Foundational Future State Design

Oracle GL LA/C (Walker)

Develop Strategic COA

Review Corporate & BU Processes

Project Governance and Structure

Financial Accounting Services Hub

Pilot GL and Reporting Foundation

Oracle GL - Ledger Unit 021 AXP Consolidation Ledger

External Reporting (FCH)

AXP (HFM) AEB (Hyperion Enterprise)

Point of Arrival

Oracle GL TRS USCanada (Walker) Oracle GL J/APA (Walker) Oracle GL AEB (FAS / non-FAS)
- 86 -

Vendor Evaluation Approach

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

Phases

RFI

RFP

Deep Dive Assessments

Ref. Calls & Customer Visits

Independent Research

Total Cost of Ownership

Due Diligence

Weight

N/A Determine RFI approach Draft/issue RFI Develop RFI response evaluation criteria & assessment framework Score RFI responses Create vendor profiles for short-listed vendors

15 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

30 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

15 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

25

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

Identify relevant Determine Independent business & Research technology cost organizations components Schedule and conduct Independent Research calls Create Independent Research assessment decks Refine highlevel program timeline Document High-level business and technology cost estimated Developed TCO model

Key Activities

Model to determine the likelihood of bankruptcy

Assess overall financial strength based on financial data

- 87 -

Vendor Evaluation Guiding Principles

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

Select a flexible, functionally rich, and industry proven package that can support 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

- 88 -

Program Implementation Organization

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

Program Office
The organization has established a PMO staffed by Consulting resources.

Clearing Development department with support from other tech departments is responsible for performing the Systems Integrator role

Business Integrator

System Implementation

Systems Integrator

The Clearing department is responsible for performing the Business Integrator role

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

Solution Delivery
- 89 -

Program Implementation System Implementation

Program Management Status Reports Scope Management Financial Management 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. Risk Management Integrated Work Plan 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.

Communication Management
Overarching Integration

UAT Plan
Parallel Testing Plan Knowledge Transfer Release Management

Data Migration
Business Integration Functional Requirements Communication Plan Data Migration Review and QA Vendor Management Vendor Management Go-Live Plan Technology Integration Technical Requirements Infrastructure Security Review and QA

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
- 90 -

Work jointly with Tech to address a variety of technology implementation areas including Infrastructure sizing, Data Migration, Environment management, Security, Performance Testing and Reporting

Business Strategy and the 3 Ps

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

Program Management

Corporate and Individual Business unit strategies that define the direction of the corporation

Business Strategy

A group of related projects managed in a coordinated way to obtain benefits and control not available from managing them individually

Portfolio Management

Program Management Portfolio Management

The effective, centralized management (including identifying, prioritizing, authorizing and controlling) of a collection of projects or programs and other work that are grouped together to meet strategic business objectives. The projects or programs of the portfolio may not necessarily be interdependent or directly related

Project Management

Project Management

A project is a unique process consisting of a set of coordinated and controlled activities with start and finish dates, undertaken to achieve an objective conforming to specific requirements including the constraints of time, cost and resources

- 91 -

Requirements Traceability Matrix (RTM)

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

Reconciliation Requirements

Deployment Parallel Test Specifications

Parallel Testing

Business Requirements

Analysis User Acceptance Test Specifications

User Acceptance Testing

Technical Requirements and Detailed Design

Design System/Integration Test Specifications

System and Integration Testing

Coding / Debugging

Development Unit Test Specifications

Unit Testing

- 92 -

Risk Management Framework Domains

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

Strategy

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

Governance

SRM oversight structure with well defined roles and responsibilities to manage risks pertinent to the risk management lifecycle Policies, Standards and Procedures defining risk management methodology and activities, risk tolerance levels and integration points between risk management functions to ensure consistency and quality in program activities Due diligence and ongoing oversight that a company must exercise throughout the risk management lifecycle

Policies, Standards and Procedures

Risk Management Processes*

Tools and Technology

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

Metrics and Reporting

Metrics and reports that provide a comprehensive view of enterprise risk to the relevant stakeholders across the enterprise. Coordinated communication channels and programs to educate stakeholders of responsibilities at all stages of the risk management lifecycle.

Communication, Training and Awareness

- 93 -

Continuous Improvement Strategic Roadmap

Successful evolution of Strategic Risk Management (SRM) is achieved by: 1) continuously analyzing the current state Program components 2) identifying enhancement opportunities 3) updating the strategic roadmap.
1. SRM Program Current State Analysis
Analyze the current SRM Program, utilizing industry drivers and the changing risk landscape to identify potential enhancements to the current state

1. Current State Analysis

Drivers
Drivers 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

2. Analysis of Results
Review potential enhancement opportunities with SRM governing bodies and additional key stakeholders

3. Update Strategic Roadmap

3. Update Strategic Roadmap

Prioritize enhancement opportunities based on benefit.

SRM Program Components

SRM Governance Model Risk Appetite Risk Management Processes Training and Awareness
- 94 -

Strategic SRM Reporting Classification Tools and Technology

Control Domain Maturity

Assessment indicates that current controls are lagging.

Control Domain Strategy

Control Domain Maturity

CS R

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

Governance Policies, Standards and Procedures Risk Management Processes Tools and Technology Metrics and Reporting Communication, Training and Awareness

CS

The organization has established governance.

R CS

The organization Policies, Standards and Procedures satisfy regulatory expectations.

CS

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

CS

Current tools and technologies appear satisfactory from the regulatory standpoint.

CS

The organization quarterly issues reports focused on critical processes.

CS

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

CS

Current state

Regulatory documented standards and guidance

Maturity Levels
Non-existent Ad Hoc Repeatable Defined Measured Optimized

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

- 95 -

Risk Analysis Methodology

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

Regulation / Business Option

Phase 1: Risk Analysis

Asset

Risk Phase 2: Remediation Option Analysis

Remediation Options

Phase 3: Cost Benefit Analysis Cost Benefit

Phase 4: Implementation

Decision

- 96 -

Risk Analysis Methodology

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

Threat Analysis

Vulnerability Analysis
Qualitative Impact Financial Impact Threat Identification Classification of Threats Threat Likelihood Threat Exposure Rating

Existing Controls Assessment

Impact Rating

Likelihood Assessment

Vulnerability Identification Vulnerability Exposure Rating

Impact Assessment

Risk Identification

- 97 -

Recovery scenarios

High Paradise Regained

Moderate regulation Markets stabilize Spending recovers Credit conditions improve

Alpha Markets
Markets overheat Inflation picks up Market turbulence increases Risks proliferate

Market Growth

Pricing flexibility returns

Product life cycles shorten

Beta Markets
Markets shun risk Growth recovers slowly Government grip tightens Innovation retreats Vanilla products dominate

Paradise Lost
Aggressive regulation Zero pricing flexibility Escalating defaults Quality customers migrate Disruption of the card model

Low

Market Volatility

High

- 98 -

Organization Design
Organization Design impacts both productivity and cost in a business.

High

Organization Design is impacting productivity

Optimal Organization Design

Cost Efficiency

Organization Design based on unsustainable Business Model

Organization Design is eroding margins

Low

Operational Performance / Productivity

- 99 -

High

Business Portfolio 3x3

Competitive Position

Low

Medium

High

Low

Medium Product/Market Attractiveness

High

- 100 -

Emerging Market Growth Framework Archetypes

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

Assimilator (Leverage Innovations)

Addressable Market

Creator (Break Constraints)

Adaptor (Enhance Competitiveness)

Participant (Establish Presence)

Capability Sophistication & Scale

- 101 -

High Level Evaluation of Opportunities

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

High

Circle size represents approximate cost

Do Now

Value

Plan Now

Reassess

Low

Risk
- 102 -

High

Enterprise Cost Management Potential Initiatives

Cost Management Tradeoffs

Cost Reduction Opportunity

Cost Management Example Efforts

Align, prioritize and rationalize project Level 1 Incremental portfolios to increase strategic alignment Short-term Portfolio and reduce overall spend Rationalization 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

High

Medium
3

Level 2 Transformational Functionally Focused Cost management

Low

Level 3 - Radical
3 1

Division/BU & Enterprise Program

Gain Pain

Low

Medium

High

- 103 -

Options

Exiting the business at least for a while

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

Withdraw

Retrench

Scramble

Innovate

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

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

- 104 -

I
Getting Started

II
Basic Slides

III
Executive Summary Templates

IV
Models and Objects

V
Project Management Templates

VI
Frameworks and Methodologies

VII
Miscellaneous

- 105 -

Document Revision History and Reviewers

Version Author Date Version Description Reviewers

- 106 -

World Map

- 107 -

United States Map

- 108 -

Developed and Designed by

Salahuddin Khawaja

More at Decklaration.com

ABOUT THE AUTHOR

Salah has 15 years of experience, primarily in the
Financial Services Industry. Before joining JP Morgan he spent 11 years at Deloitte & Touche helping Fortune 500 clients with various types of Strategic Initiatives. He is currently is based in Hong Kong with responsibility for delivering the next generation platform for Securities Processing.

Areas of Expertise: Strategy Development, Business Transformation, System Integration, Program & Project Management, Mobile Strategy, Data Analytics, Executive Presentations Sample Clients: Bank of America, Citi, MasterCard

- 109 -