1. Axis Technology Consulting
Company Overview

2. © Copyright 2014 Axis Technology Consulting, LLC
Agenda
• Company Overview
• Axis in Context
• Capabilities and Service Offerings
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3. © Copyright 2014 Axis Technology Consulting, LLC
Axis Technology Overview
• A premier business, software product and information technology consulting firm that
bridges the gap between business needs, technology investments, and future growth.
• Founded in 2000 by experts in the art of identifying and applying IT solutions that meet the
most complex business challenges. Independent and privately held.
• Headquartered in Boston, MA, with locations in New York City, Charlotte and Dallas
• Axis Consulting has a proven track record of success across financial services areas including:
– Retail Banking, Mortgage, Cards, and Credit
– Wealth Management and Retirement Planning
– Asset Management, Distribution, and Manufacturing
– Investment Banking and Commercial Credit
– Insurance and Underwriting
– Risk Management and Compliance
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4. © Copyright 2014 Axis Technology Consulting, LLC
Axis Focus Areas
With a broad knowledge of financial, insurance and health industries, we bridge the gap between
business needs, technology challenges, regulatory demands, and growth.
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User experience is the most critical first step
to a successful customer relationship. Our
Customer Engagement service offerings
cover the full breadth of customer
experience.
Customer Engagement
Managing risk is a critical component to any
business strategy. We focus on operational
and financial risk drivers across your
environment.
Information Security
Operational excellence is the cornerstone of
successful execution and Axis creates
business value by driving improvements to
your process and governance environment.
IT Strategy
Keeping applications current with your
evolving business strategies is challenging; at
some point in every company, significant
transformation is required. Axis can ensure
that your application transformation
initiatives execute cleanly from strategy
through implementation.
Application Transformation

5. © Copyright 2014 Axis Technology Consulting, LLC
Insurance
Asset Management
Wealth Management
Commercial Banking
Consumer Banking
Our general consulting services cover a wide spectrum of business consulting and value-added software
implementation capabilities. Our highly experienced people are evenly split between business and technology.
We fulfill client strategic needs involving project management, architecture and strategy, as well as on demand
assignments in data warehousing, process engineering, system implementation and user interfaces design.
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General Consulting Services
Customer Engagement
Data Management and
Data Warehousing
Custom Application
Development, User
Experience and
Interface Design
Project Management
and Business
Analysis
Strategic Consulting
Business and
Information
Information Security
IT Strategy
Application Development and Transformation

6. © Copyright 2014 Axis Technology Consulting, LLC
Customer Engagement
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DESCRIPTION
• The customer engagement process involves the user
community at the earliest stages of concept and scoping,
determining target audiences, use cases, and key needs
that will guide design and development efforts.
• Projects focus on translating the vision of our clients,
either internally derived or provided by advisory services
firms, into an actionable strategic initiative that helps to
refine, enhance and drive the defined business goals.
• Specialized User Experience projects include the design
and definition of sophisticated graphical solutions to help
to deliver, navigate, and provide access to information
across complex global environments
SERVICE OFFERINGS
• Voice of the Customer
• User Experience
• Rapid Analysis and Design
• Enterprise Integration
• User Centric Design Strategy
• External and Internal Web and Application (UX)
Design
PROJECTS
Brokerage Executive Dashboard Project
Brokerage operational dashboard
designed and developed for
management monitoring and reporting
Wealth Management Strategy
Establish and execute a strategy for the
web channel that has the following
principals: web strategy alignment with
business strategy, seamless client
experience across business segments,
relationship enhancing experience
(reinforcing existing relationships),
brand enhancing, convenient and
informative.
Enterprise
Integration
Voice of the
Customer

7. © Copyright 2014 Axis Technology Consulting, LLC
Information Security
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DESCRIPTION
• Information Security services involve regulatory and
compliance engagements that help clients reduce
financial, operational and compliance risks and drive
customer centric business models.
• Enterprise Governance, Risk and Compliance services
(eGRC) involve the incorporation of key business and
technical disciplines (strategy, organization, culture,
process, technology and communication). This holistic
approach results in a more complete and integrated
assessment and management of risk.
• Other projects focus on an integrated understanding of
customer and business risk including anti-money
laundering, fraud detection and financial risk mgmt.
SERVICE OFFERINGS
• Enterprise Governance, Risk and Compliance (eGRC)
• Maturity Model Assessment, Control Framework,
Organizational Alignment
• Operational Risk
• Regulatory Compliance, Sensitive Data Assessment ,
Entitlement Management, Data Security
PROJECTS
QC Control Environment
Consent order required that the bank
show evidence that they have linkages
and ownership of all control
environment elements and sustainable
monitoring of changes and impacts.
Risk Data Sourcing Alignment
Aggregate required consistent quality
data across bank to highlight
counterparty exposure.
Entitlement Management
Mainframe systems have created an
environment that has overly complex
entitlements that are not sufficiently
defined or flexible and are not
understood by many.
Operational
Risk
eGRC
Operational
Risk

8. © Copyright 2014 Axis Technology Consulting, LLC
IT Strategy
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DESCRIPTION
• Business requirements definition and stakeholder
validation across the gamut of financial services areas,
including Retail and Institutional Banking, Private Banking,
Wealth Management, Brokerage, Retail and Commercial
Credit, Mortgage and Asset Management .
• Projects focus on defining a clear strategy, providing
strong governance and project management, aligning
processes and proactively managing requirements.
• Our Data Stewardship offering leverages our deep
industry experience to provide practical solutions to data
management issues and is taking on an increased urgency
with regulators and our clients.
SERVICE OFFERINGS
• Business Process Analysis and Transformation
• Program and Portfolio Management
• Data Stewardship Strategy
• Data Governance
• Data Provisioning
PROJECTS
IRA Process Design
Strategy and requirements analysis
effort to identify opportunities for
improvements to the end to end
process – account opening to client
statements and reporting
Enterprise Information PMO
Axis team came in and helped manage
the transition of the data management
functions to the new combined
company.
Data Management Accounting Policy
Develop an enterprise level data
management program that established
standard policy for all aspects of data
management, with particular focus on
governance and quality
Program &
Portfolio
Mgmt
Business
Process
Analysis
Data
Stewardship
Strategy

9. © Copyright 2014 Axis Technology Consulting, LLC
Application Development & Transformation
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PROJECTS
Health Ins Enterprise Architecture
Incrementally establish a disciplined
approach to solution development by
establishing a common development
process aligned to, and governed by, a
new Enterprise Architecture practice
capable of coordinating across lines-of-
business and in alignment to business
strategies.
Brokerage Data Provisioning Strategy
Strategy developed for consistent data
provisioning across newly merged
organizations.
Total Financial Picture
Designed and developed financial
analyst workstation
SERVICE OFFERINGS
• Enterprise Architecture
• Data Architecture and Data Warehousing Solutions
• Reference Data Architecture
• Enterprise Data Management
• Solution Evaluation and Selection
DESCRIPTION
• Application development and transformation involve
design, customization and/or integration projects that are
responding to a broad range of clients specific needs.
• Projects focus on identifying business needs and aligning
with the overall strategy resulting in a technical
architecture, roadmap and implementation that has the
correct priorities and focus.
• Structured strategic approach, a strong implementation
process and extensive experience on solution evaluation.
Solution
Evaluation
& Selection
Enterprise
Architecture
Data
Architecture

10. © Copyright 2014 Axis Technology Consulting, LLC
Minimizing Operational Risk
Challenge
• Chaos in US financial markets led to the financial crisis, forcing dramatic and rapid regulatory
change across any business that directly interacts with Consumers and Consumer data.
• Dodd-Frank and Regulatory agencies demand accountability from Line of Business areas as
well as loosely organized Enterprise Control, Technology and Risk Management Functions.
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Capabilities Required
• Rapidly identify solutions and processes to cope
with multiple regulatory demands.
• Establish a risk appetite and control strategy for the
organization that is clearly defined and actionable.
• Establish risk and control accountability and
management processes.
• Implement Strategic eGRC technology and
supporting functions to meet requirements.
Impact
• Going beyond reactive point solutions and taking a holistic approach to operational risk is
critical to creating a sustainable Strong Risk Management program
Compliance
Risk
management
Line of
Business
Quality Control/
Quality
Assurance
Audit

11. © Copyright 2014 Axis Technology Consulting, LLC
eGRC Expertise
The Axis holistic approach to eGRC includes all key business and technical disciplines (strategy,
organization, culture, process, technology and communication) and results in a more complete
and integrated assessment and management of risk throughout the enterprise.
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DEFECT RIDDEN
PROACTIVE
DYNAMIC, AGILE
HOLISTIC,
COLLABORATIVE,
TRANSPARENT
RISK OPTIMIZED
EFFICIENT
EFFECTIVE
TECHNOLOGY
STRATEGY
CULTURE COMMUNICATION
ORGANIZATION PROCESS

12. © Copyright 2014 Axis Technology Consulting, LLC
Information Security Projects
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Integrated
Control
Platform
• Leveraged the Archer product to create an enterprise class Business GRC capability in response to provisions in the OCC Mortgage
Servicers Cease & Desist Consent Order
• Drove roll out across Mortgage Default Servicing Division (original scope) and continuing across Consumer Bank divisions.
• Defined Governance structure and process routines across stakeholders and participants.
• Managed 18 system releases since 2011 including initial release which had a 60 day initiation to completion window.
Mainframe
Entitlements
Simplification
and
Remediation
• Applied Entitlement Assessment and Remediation Methodology to repeated OCC and internal audit findings for unmanaged and
excessive entitlements within Mainframe environments.
• Working across Global Consumer Bank Divisions within Retail, Bankcards and Real Estate Lending (~20% of users completed through
2013).
• Assessed process and control routines for entitlement assignment by division and designed target state processes and roles.
• Received continuous recognition of value of methodology, key staff and need for the consulting intermediary between business and
technology teams.
DOJ Analysis
and Process
Performance
Control Testing
• Implemented GRC Process and automation activities to independently provide transactional and process performance data to QC testing
organization that ensures compliance with the DOJ Mortgage Settlement criteria.
• Effort includes defining Quality Testing and Sampling Methodology Business and Technical Requirements to effectively implement
control validation testing.
Operational
Risk Platform
• Initial engagement with Partner to decompose, design and implement custom Operation Risk Reports within the ARC Logics Product
Suite as part of a project with their premier Global Bank customer.
• Working with WK regarding two Global customers for 2014 based upon a subject matter expert “retainer” model combined with
implementation projects.
Enterprise
Quality Control
• Engaged to establish a unique Enterprise Capability to support Quality Testing provisions within the Dodd-Frank Act.
• Continue to provide strategic guidance to establish Business Case, socialize concept across Consumer, Wealth Management and
Investment Banking divisions, initiate Vendor RFI/RFP processes and lead POC activities to validate Business Case assumptions
Enterprise
Information
Management
Policy
• Define Enterprise information management policy, standards, and procedures
• Establish Maturity Model standards and assessment criteria.
• Perform initial Maturity assessment and establish remediation strategy including business process, data reconciliation and technology
change recommendations and design.

13. © Copyright 2014 Axis Technology Consulting, LLC
www.axistechnologyllc.com
Thank You!
70 Federal Street
Boston, MA 02110
(857) 445-0110
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Axis Technology Consulting
Real-world breadth and depth of experience
in financial services and risk management solutions