Daniel Flax

Provide clients with technology strategy Assist clients with assembling marketing technology

Risk Priorities is a RegTech software and content solutions company that is providing leading-edge solutions to the Financial Services industry. We are the innovative catalyst that transforms your risk and compliance culture. As a thought leader for Financial Services, we believe that effective engagements with regulators and strong risk and compliance cultures are a prerequisite for successful execution of your business model. Those who respond to this paradigm shift will gain a competitive advantage.

Omega One is an electronic agency brokerage for the cryptocurrency and digital asset world. Lead product engineering, corporate technology and other tech needs to build the future of capital markets. Recruited and staffed team from scratch. Architected solution and strategy for build vs. buy components. Selected partners and led implementation and development teams. Architected security infrastructure, policy and implementation of secure solutions. Implemented automation in the cloud, leveraging CloudFormation and other AWS tools.

Panalytics provides machine learning / AI software to help Financial Services firms better identify, manage and respond to regulatory risk and compliance violations.

Responsibilities • Led global team of consulting professionals to implement and customize solutions for FX and US / Global Fixed Income trading and dealing • Engaged with and provide escalation path to customers to ensure successful deployments • Member of firm’s Management Team, worked with other senior executives to lead the organization • Architect and draft responses to customer RFPs for Professional Services engagements Achievements • Organized team with structure aligned to customer needs, including standardized Cast List for each engagement, with defined roles and responsibilities • Developed Subject Matter Expert (SME) program to educate employees across company in company products and FX / Fixed Income industry • Ran engagements to implement FX trading and dealing system for global bank with dozens of offices and multiple hosting locations. • Drafted successful RFP response implementation plans for a top-three Canadian bank FX trading and dealing system

Responsibilities • Led engineering team for design, construction, testing, deployment and operations of digital products • Directly oversaw compliance for digital products, including appropriate sign offs, data integrity, life cycle and audit • Part of digital marketing leadership team, including P&L ownership, full business management, staffing and product development • Responsible for implementing CRM flow for digital efforts to feed marketing acquisition channels • Founding Chair of enterprise-wide open source technology steering committee Achievements • Staffed startup mission with contractors to get project initiated • Delivered Minimum Viable Product of online customer acquisition for first phase of startup, on time, on budget. • Immediately achieved better than plan results for the operation of the MVP product • Designed and launched full end-to-end solution for online acquisition, decisioning and funds delivery, while meeting compliance obligations for various regulatory bodies and audits. • Built a team of full time ruby on rails developers and initiated agile scrum process for software development • Designed and implemented Git based software delivery life cycle leveraging cloud services for code repository, continuous integration, web app hosting, asset hosting and ITIL ticketing

Responsibilities • Led team of 45 internal and 20 external professionals covering all areas of product and systems development, technology operations, project management and quality assurance • Member of the firm’s executive committee, meeting regularly with the Board of Directors regarding enterprise-wide strategy and execution • Oversaw technology development & operations for all products, partnerships and platforms, using in-house and cloud solutions • Product owner for mobile offerings, a suite of smart-phone and tablet solutions to distribute content via websites and mobile applications • Managed the firm’s corporate IT, including email, servers, desktop, laptop, smart phone and tablet management, voice/data networks and video conference systems • Oversaw governance of Sarbanes-Oxley and Payment Card Industry (PCI) standards, working closely with internal and external auditors to ensure compliance Achievements • Designed and implemented a technology compliance program overhaul that corrected Material Weaknesses and resulted in clean audit • Introduced Agile software development lifecycle, with flexible processes to effectively meet business needs and timelines, leading to a 90% increase in successful software launches. • Constructed the technology platform for TheStreet Business Desk, providing a white label solution to regional newspaper websites, including content, hosting and monetization services. First year growth included over 400 partner sites. Initial launch included a 10,000% increase in traffic the first two weeks with continued growth and platform stability • Led the construction of mobile offerings incorporating editorial and video content, sophisticated technical analysis, market data and portfolio features • Negotiated contracts with vendors for cost savings on network connectivity; data center co-location, software and hardware infrastructure, video streaming and CDN and outsource services. Resulting in a $1MM+ reduction in operating costs

Responsibilities • Managed a team of 45 internal professional and 55 FTEs from managed services • Architected technology strategy, implementation, operations and customer and internal support functions within a $50 million yearly budget. Direct responsibility for corporate IT, purchasing, outsourcing, staffing, market data and connectivity • Led technology for sell side broker/dealer. Systems included Fidessa, FlexTrade, LiquidNet, GL Trade and a number of in-house developed tools • Managed systems for Investment Banking and Capital Markets. Systems included Salesforce.com, LexisNexis, Factset and Dealogic • Managed BCP Planning, including detailed recovery plans and drills for entire company • Led corporate integration efforts across all divisions during acquisition by Ramius Achievements • Worked closely with businesses and compliance to design and implement systems, processes and governance to reduce audit and exam exposure and ensure compliance with SOX • Implemented Salesforce.com based CRM solution for Sales & Trading and Capital Markets. Solution included worldwide deployment, desktop and mobile solutions and full client life cycle management. Solution resulted in improved customer retention, customer service and expense accounting. • Leveraged investment in Salesforce.com by building Research Distribution Portal, pitch book creation and workflow app and other internal business applications, resulting in immediate ROI • Implemented LexisNexis based CRM solution for Investment Banking, resulting in improved client service and straight through process for deal expense tracking • Partnered with lines of business to develop technology plans for new ventures and acquisitions, including newly acquired offices in Hong Kong and main land China with immediately productive office openings. • Selected by ComputerWorld as one of its Premier 100 IT Leaders for 2010 (published in December '09 issue).

• Managed global corporate network for the 13,000 employees, operating on five continents. • Managed team of developers who built tools for the NOC to operate the corporate network. • Managed Data Control Network, an out of band management network for the revenue network. • Managed teams to support Office of the Chairman and World Wide Headquarters. • Negotiated agreements with IBM, Dell, Microsoft, Cisco resulting in significant savings.

• Managed development of customer site solution for 300+ site customer transaction network. • Integrated with third party systems: TIBCO, Reuters Triarch, Bridge and customer proprietary systems. • Reported to Executive Committee regarding customer status and needs. • Organized and disseminated information regarding releases and upgrades. • Managed new workstation software releases and order management system interfaces (Royal Blue Fidessa, BRASS, NWII). • Built 24/7 customer support center.