PROFILE

I am a senior management consulting professional with an extensive background in the Canadian financial sector including banking, securities and “Big 5” consulting. My experience includes project management, operational risk management, finance management, Information Systems Technology, corporate governance and audit. I possess solid expertise in operational risk, business process re-engineering, information technology and project management.

I’m a highly skilled team leader; a hands-on team player who leads by example achieving results through an inclusive, ‘action-oriented’ approach. 

CAREER HISTORY

James Beattie & Associates Ltd. 2002-Current

Business Consulting Services

Managed projects for business systems implementations, operational risk assessment, business reengineering and financial reporting controls. My recent focus has been on operational risk, assisting financial institutions to develop processes for compliance with the Sarbanes-Oxley act, Ontario’s Bill 198 and the Basel banking accords.

Recent Contracts Include:

  • Technical and business support to independent small businesses, 2006 - current

    I design and implement business systems and provide ongoing IT technical and business support to a variety of small independent businesses.

  • Dundee Corporation, 2005 – 2006:

    Program Director for SOX compliance for the Dundee group of companies. My mandate included overall program coordination, management of six individual compliance projects, development of methodology and liaison with external auditors. The position reported to executive management and the Board.

  • BMO Financial Group, 2005:

    I provided quality assurance consulting services to the Sarbanes Oxley Compliance project. I also consulted on the development of methodology and practice and the development of sustainability strategies. I worked with a large team of SOX analysts, risk management specialists, IT specialists and auditors.

  • SAP Canada, 2004 - 2005:

    I managed the Sarbanes Oxley Compliance project managing the activities of 17 sub groups including coordination with worldwide SAP compliance. I also worked on the development and implementation of the SAP MIC system which is the SAP workflow and repository tool for SOX and the general management of internal controls.

  • RBC Financial Group, 2003 - 2004:

    Project lead for Sarbanes Oxley compliance for the RBC Investments group for both domestic and international operations. This included managing 3 teams of professional risk, IT and process specialists, liaison with senior financial and operational management and implementation of best practice methodologies.

  • Various contracts, 2002 - 2003:

    Conducted scoping and planning reviews and developed business case solutions. Developed risk assessment, control evaluation and process mapping methodologies. Managed process re-engineering projects. Consulted on development and implementation of the CDS clearing services risk model.

The Canadian Depository for Securities Ltd. (CDS) 1997-2002

Director, Risk Management and Quality Practices

Reported to the Chief Operating Officer, with a budget of $2 million. Managed a staff of 10 risk professionals responsible for the development and oversight of risk management for Canada’s depository and clearing corporation. Areas of focus included payments/settlement risk, operational risk, project risk, corporate insurance, and enterprise-wide risk strategy.

  • Designed CDS Clearing Services Risk Model – paper published May 2002.
  • Developed and implemented risk based settlement netting service for debt clearing.
  • Developed and implemented MIS, neural network for risk surveillance system.
  • Created methodologies, metrics and tools to quantify operational risk assessments.
  • Designed and implemented a project management office.
  • Managed the Y2K remediation project.
  • Developed and implemented risk policies for project management, physical security, change management, human resources, compliance and finance.
Deloitte and Touche 1996-1997

Senior Consultant

Reported to the Chief Administrative Partner as a senior consultant project manager to implement a firm-wide resource management system consisting of customized time, expenses, billing, and marketing systems incorporating PeopleSoft HRIS and payroll modules. The application was a 4 tier distributed client/server system serving 4,500 mobile users in 60 offices, delivered over a combination of WAN and Internet/intranet. Microsoft NT, SQL and Win 95 form the software infrastructure with WINFRAME server technology as the prime delivery platform.

  • Developed detailed workplans, business requirements and technical specifications
  • Developed RFPs for software, database, hardware and network services
  • Conducted extensive proof of concept testing with Microsoft and Compaq  
James Beattie & Associates 1993-1996

Consultant Project Manager


Managed projects to design, build and implement technology-based solutions to business problems as an independent business consultant. Assignments included Lotus Notes workflow, corporate intranets, accounting system customizations, business cases and RFPs.

  • Conducted problem/opportunity assessments and developed business cases
  • Developed detailed strategies, work plans, business requirements and technical specifications
  • Managed customizations, development, testing, documentation and implementations  

The Canadian Imperial Bank of Commerce (CIBC) 1989-1993

Senior Project Manager


Senior project manager for business re-engineering and technology projects.

  • Managed a project to implement business systems at the CIBC Leadership Centre
  • Managed a project to develop and implement trading risk management control systems
  • Project manager Management Information Systems
  • Project manager of the annual HR strategic planning processes
  • Developed and implemented project management office methodology and systems 

The Canadian Depository for Securities Ltd. (CDS) 1982-1988


Senior General Manager

Extensive progressive experience over six years in diverse senior management positions:
  • Group Product Manager, 1986-1988
Directed a major financial services product division including product development  marketing, sales, operations and the management of major systems projects
  • Manager, Corporate Finance, 1984-1986
Managed the corporate finance division including treasury, controllership, budgeting and strategic planning.
  • Manager, Systems Auditing, 1982-1984
Developed the systems audit concept and managed its implementation. 

         

        EDUCATION AND PROFESSIONAL DESIGNATIONS

        • B.A. Business Administration, York University
        • Certified Internal Auditor (CIA)
        • Certified Information Systems Auditor (CISA)
        • Canadian Securities Course
        • Registered Securities Representative 


SIGNIFICANT CAREER ACCOMPLISHMENTS

Risk Management:

  • Developed risk management strategy for a securities clearing corporation and depository using an enterprise risk management approach with extensive financial risk focus
  • Developed state-of-the-art central counterparty financial risk systems including risk models, VaR based portfolio evaluation systems, and margining systems
  • Developed a collateral management system to control $2 billion in collateral funds
  • Developed and managed credit risk evaluation systems for a clearing corporation
  • Developed advanced debt trade netting service with volumes of $30 billion per day
  • Developed an MIS based neural network to monitor clearing and settlement risk
  • Managed the risk finance and insurance program for a major clearing corporation achieving increased protection and significant cost reductions
  • Developed risk policy for, and chaired the Risk Committee of a Clearing Corporation
  • Managed staff of 10 risk professionals in the operation of the risk management function.
  • Reported to the Board of Directors and the Audit Committee on risk issues quarterly
  • Presented at international conferences on operational, business, credit and market risk issues
  • Consulted to international clearing corporations on risk strategy and systems

Project Management:
  • Managed projects to assess risk and financial controls for compliance with the Sarbanes-Oxley Act and Basel II banking accord
  • Managed the customization and implementation of a time accounting and marketing system for a major professional accounting and management consulting firm
  • Managed the establishment of a quality practices function to improve software development and operational effectiveness to ISO standards
  • Co-managed a $15 million Y2K system remediation project
  • Designed, implemented, and managed a project management office based on PMI standards.
  • Developed a project management system for a major Canadian bank
  • Managed the customization and implementation of the D&B General Ledger, Accounts Payable and Fixed Assets system
  • Implemented Lotus Notes including developing the business case, implementing the software, distributing the system to 500 users and managing support and application development
  • Managed the establishment of business functions for the CIBC Leadership Centre
Systems Design and Development:
  • Designed and built an executive MIS to provide critical management and operational data
  • Designed and built a corporate intranet using Lotus Notes and Domino technology
  • Developed Strategic Business Planning System for CIBC senior management incorporating on-line planning based on Lotus Notes technology
  • Designed, developed and implemented client/server based budgeting system for CDS
  • Designed and developed a Securities Information system for CDS
  • Developed a revenue projection and cash flow system to monitor and project cash movements and to enable investment of unused funds
  • Developed and implemented a securities event tracking system for CDS, enabling the corporation to meet legal obligations and deliver a revenue generating service
  • Developed a human resources system based on Lotus Notes workflow technology
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    Jim Beattie,
    3 Mar 2013, 14:03