Paul Schwartz

Home Phone: 303.419.3026

Westminster, CO 80031 E-mail: paul_schwartz@comcast.net

Executive Profile
Senior Executive/Vice-President/CIO – Information Technology

 Business technology executive offering an impressive record of success leading sizable top-performing
teams (46-60 internal plus external consultants and shared resources) in all aspects of information systems
technology and operations. Known for loyalty, commitment, and the ability to retain existing and generate new
revenue.
 A proven Entrepreneur/”Intra”preneur who believes world class corporate leaders:
o Recruit and develop world class talent
o Concentrate on customer satisfaction
o Build cohesive plans that gain consensus by synthesizing inputs from all vested interests
o Develop a collaborative relationship with internal and external partners
o Adapt quickly to changing business requirements, market conditions, and emerging technologies
 Achiever of exceptional results with limited resources. Strategic and solutions focused – see the “big picture”
— assess needs, goals, and operations, and develop cutting-edge solutions to meet existing and future needs.
Encourage creative, “out of the box” thinking within traditional, conservative environments.
 Participate in corporate growth planning, coordinating strategic plans, and business technology plans to
support future business technology direction.

• Profit Enhancement/ P&L
• Customer Focus
• IT Management
• Business Process Improvement
• Budget / Financial Management
• Enterprise Architecture
• IT and Corporate Governance
• ITIL, SOX
Management Expertise
• Risk Management
• Vendor Contract Negotiation
• Team Building & Development
• Strategic & Tactical Planning
• New Services/Technology
Delivery
• “Green” Initiatives
• IT/Business Alignment
• Project Portfolio Management
• Cost Control & Optimization
• Talent Acquisition and
Development
• Organizational Design and
Restructuring
• Executive Leadership
• Social Media Marketing

Technology Expertise
• Systems Integration/ • Service-Oriented Architecture • Help Desk/Client Services
Implementation • Technical Infrastructure Operations
• E-Commerce Strategy and • Web 2.0/3.0 • Legacy System Re-engineering
Delivery • Business Continuity / Disaster
• Database and Warehousing:
• Virtualization Recovery Initiatives
DB2,SQL,Oracle
• Agile development • Mainframe systems and web
• ERP/CRM
methodologies based development
• Cloud Computing

Education
MBA • Colorado State University, Fort Collins, CO
BS, Computer Information Systems • University of Louisville, Louisville, KY

Career Synopsis
 Paul Schwartz
Home Phone: 303.419.3026 E-mail: paul_schwartz@comcast.net

HOA ASSIST, LLC – Westminster, CO • March 2007 — December, 2009

Conceived and successfully launched a high-tech “Green” firm providing administration, financial, and technical
management services for Home Owner Associations. Company provided revolutionary online and near paperless
environment saving associations thousands of dollars.
• Created a sense of community by improving communications between homeowners, HOA, and
management.
• Collaborated with association attorney’s to successfully settle a multi-million dollar builder defect lawsuit.
Assisted managing multimillion dollar reconstruction project.
• Negotiated/renegotiated service contracts saving association 43% of budget.
• Transformed dysfunctional Boards of Directors into cohesive teams.

COMPUTER RESEARCH INC. – Westminster, CO • May 2003 — July 2006

Computer Research, Inc. (CRI), built integrated investment applications for financial firms of all sizes. CRI financial
systems improved and simplified customers' business processes from account opening to trade processing.
Company closed in 2010. Key customers: Scottrade, PNC Capital Markets, FMS Bonds, and Vining Sparks.

Chief Information Officer

• Ensured back office and web based trading systems infrastructure was capable of processing 200
transactions per second and 2.5 million transactions daily.

• Created roadmap to modernize over four million lines of legacy COBOL code utilizing SQL interfaces with
minimal changes to existing code base.

• Directed the development and implementation of IT governance to guarantee SOX compliance and to ensure
successful SAS/70, OCC, and other external audits. Effort preserved over $4M annual revenue and was
instrumental in generating $600K in new business.

• Established Project Management Office (PMO) to ensure first pass yield of development projects, increase
business and IT communications, and become a more pro-active environment. Effort increased annual
revenue from customized development projects $500K, decreased development turnaround time over 60%
and increased customer satisfaction over 75%.

• Designed Enterprise Architecture that leveraged existing legacy IT architecture to build a web
services/service-oriented architecture eCommerce system. Effort allowed company to retain $1M in
revenue.

• Improved internal and external communication by leading effort to build new Internet, Intranet and Extranet
technologies. Effort changed corporate culture and improved employee morale and increased customer
satisfaction 100%.
• Negotiated lease of new headquarters saving $1.2M over 5 year period. Negotiated/re-negotiated numerous
contracts cutting expenses 50%.

• Showcased financial software products at Securities Industry and Financial Markets Association technology
management trade show, introducing a shift in client solutions. Generated 200% increase in new business
leads.

• Collaborated with new CEO to ensure company turnaround. Efforts key to company remaining a going
concern and saving over 45 jobs.

• Guided a business continuance/disaster recovery offering to satisfy customer’s compliance requirements.

Effort projected to grow annual revenue $750K and was pivotal in retaining and attracting new customers.

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 Paul Schwartz
Home Phone: 303.419.3026 E-mail: paul_schwartz@comcast.net

• Collaborated with cross-functional team consisting of CEO, Director of finance, and sales director to rewrite
company standard contract and pricing schedule. Effort increased revenue over 100% and increased
customer satisfaction 100%.

• Guided marketing department in re-branding the company showcasing its rich history of success.
• Achieved fifth JD Powers award “Highest Investor Satisfaction with Online Trading Services” for Scottrade
Securities as part of its top leadership team.

HILLIARD LYONS – Louisville, KY • July 1978 — May 2003; acquired by PNC Bank in 1998; went private 2009
Hilliard Lyons, www.hilliard.com , founded in 1854 is a full-service, regional financial services firm providing one-on-
one advice about stocks, bonds, options, retirement plans, mutual funds, trust and estate planning and investment
management.. Hilliard Lyons is headquartered in Louisville, Kentucky with more than 70 branch offices with 400+
Financial Consultants in Arkansas, Georgia, Illinois, Indiana, Kentucky, Michigan, Mississippi, North Carolina, Ohio,
South Carolina, Tennessee, and West Virginia.

Vice President, Chief Technology Officer, Chief Networking Officer (1996 — 2003)
Previous Positions: Director, Networking 1994 – 1996; Senior/Lead system Programmer 1984 – 1994

• Developed strategic plans to outsource back office processing to a fully integrated, proprietary ERP solution.
Effort eliminated legacy mainframe and associated software saving company over $2M in lease payments
and increased productivity by 50%.

• Designed Enterprise Architecture integrating a web interface and outsourced business processes resulting
in: reduced programming costs, gained compliance to regulatory guidelines, improved enterprise
productivity and built consistency within data utilization. From launch to completion, achieved results within
six months and reduced hard-dollar costs by 53%.

• Formulated strategic plan to ensure corporate systems, networks, and information are secure against all
intrusions, breaches, and losses. Instituted intrusion detection, multifactor authentication, and encryption.
Resulted in no failed tests by external testing providers and no breaches or loss of information.
• Designed disaster recovery/business continuance plan to ensure system availability.
• Implemented an organizational development plan for information technology. Effort increased employee
morale and skill levels of IT personnel and improved customer service.

• Identified key business requirements by collaboration with user-clients to develop a fully-integrated CRM
solution. Increased financial consultants’ productivity by 100% and client/customer satisfaction by 50%.

• Directed IT due diligence in merger and acquisition resulting in the successful acquisition and integration of
two disparate systems. Achieved transition within 120-days.
• Led development of proprietary Business Intelligence decision-tools for senior leaders to assess and analyze
customer trends and improve customer utilization, resulting in a 48% increase in customer satisfaction.

• Created plans, metrics, and knowledge base of business customer/broker services and IT help desk
technologies to improve response time to internal and external customers. Efforts decreased response times
over 75% and increased customer satisfaction 100%.
• Created strategic plans and directed efforts to transform company to near paperless environment. Increased
productivity and customer satisfaction 50%, and decreased costs $50K year.

• Directed implementation of an outsourced HRIS system from ADP, increasing productivity and employee
morale.
• Created strategy to convert voice communications to Voice over Internet Protocol (VoIP), in an effort to
position company for future unified communications yielding approximately $900K savings annually.

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 Paul Schwartz
Home Phone: 303.419.3026 E-mail: paul_schwartz@comcast.net

Organizations

Association of Information Technology Professionals – Immediate Past President Mile High Chapter
Society for Information Management
Honorable Order of Kentucky Colonels
Association for Corporate Growth – Denver Chapter
Rockies Venture Club
CSIA – Colorado’s Technical Association