Barbara Neubauer has over 30 years of experience in project management, data analysis, and compliance. She is currently a consultant and project manager at Prudential managing projects related to annuity documents. Previously she held project management and data analysis roles at Lincoln Financial Group and DST Systems.

1. BARBARA NEUBAUER
(860) 379.2757
barbara.neubauer@att.net
PROFESSIONAL EXPERIENCE
Prudential Shelton, CT November 2011-present
CONSULTANT
PROJECT MANAGER – ANNUITIES PMO
Manage projects from initiation through planning, execution and close by applying a PMO core framework in each life
cycle phase. Develop and manage project plan to identify deliverables and ensure task execution to support objective
and meet timeline commitment. Develop project charter, business requirements; manage change control process, test
plans, resource plans and other project artifacts. Generate project dashboards to communicate project information;
facilitate steering committee meetings and report on project milestones; ensure conscious scope, schedule and cost
decisions.
RESPONSIBILITIES
Develop artifacts, according to PMO standards, for each project phase to ensure documentation and controls to support the
project. Document business requirements, develop solutions and provide input in analysis of user needs
Create and manage project plan and work breakdown schedule (WBS). Proactively address schedule and resource risks;
facilitate tollgate review and manage dependencies, accountabilities
Document and communicate issues, and escalate as necessary. Define action plan to drive resolution and achieve deliverables
Create and deliver weekly dashboard. Prepare meeting agenda and summaries to facilitate discussions, capture decisions and
action items to support communication. Conduct tollgate review at scheduled project points to update stakeholder and
sponsor on progress of expected deliverables and intended project plan
Conduct project close out by documenting lessons learned, review with project team; validate deliverables and return project
to business owner
PROJECTS
Annual Product Prospectus Updates – Manage annual updates to Annuity product prospectuses and registration statement
filings. Address schedule risks and task dependencies for obtaining timely information, project team review and comments to
updates. Manage document version control and facilitate information exchange with Legal, auditors and third party
administrators. Create impact matrix for fund changes and multiple product effective dates. Validate ready-to-print schedule
and manage approval process for final print version
Regulatory Document Delivery – Manage tri-annual prospectus and fund report delivery. Ensure successful print production,
delivery of paper and electronic standard regulatory documents to customers. Direct strategic direction to transition
accountabilities for daily and supplement processes from procurement business unit to client communications. Determine
success criteria, develop RACI and process flows.
Prospectus Delivery (Future State) – Manage project to recommend future state solution for print, fulfillment and delivery of
legally required documents. Determine solution approach and framework that will streamline and strengthen current state
processes. Manage information solicitation (RFI) and vendor evaluation process. Guide business recommendation effort to
select vendors for RFP phase, conduct business requirements gathering and business rule definition.
Lincoln Financial Group Hartford, CT January 2000 – August 2011
PROJECT MANAGER – LAW, COMPLIANCE & PUBLIC POLICY
Managed multiple concurrent projects providing end-to-end project management utilizing (iterative and waterfall)
SDLC methodology. Developed business case, scope definition and project charter, created plan /WBS. Ensured
requirements and design adhered to business strategic direction. Managed project deliverables and budget by
identifying project risks and enterprise dependencies, communicating expectation in team, stakeholder and milestone
update meetings. Directed end-user quality testing and business readiness phase. Concluded projects with Lessons
Learned and closeout reports.

2. B Neubauer – page 2
RESPONSIBILITIES
Managed project teams of business stakeholders, IT and external partners in highly matrixed environment to secure support
and decisions to move project towards successful completion; initiated corrective actions to resolve project issues.
Developed project plan and charter, communicated Work Breakdown Structure (WBS).
Facilitated stakeholder and milestone update meetings with project team and senior management. Fostered relationships to
motivate team towards a common vision and set of objectives, negotiating and influencing as necessary. Acted as change
agent to advocate project and transition users towards accepting change.
Oversight of user quality acceptance testing (UAT) and Proof-of-Concept (POC) efforts in a geographically dispersed
environment. Managed defect tracking and resolution. Assessed change requests (CRs) to justify change, business
objective and balance scope, schedule and budget.
PROJECTS
• Registered Rep / Field Office Workflow System – Managed implementation of program encompassing suite of workflow
applications to facilitate an enterprise Supervisory Structure database, Online Workflow System and Advertising Review
System utilized in registered field offices and home office compliance area. Managed end-to-end delivery of project
portfolio as concurrent project utilizing SDLC. Managed third party vendor relationship; POC and business readiness
phases. Managed 800K+ project budget.
• Electronic Communication Surveillance System: Analyzed enterprise’s regulatory requirements to develop business requirements;
managed RFP process and vendor selection. Managed POC and UAT for all enterprise business areas; collaborated with
training manager during business readiness phase to prepare enterprise rollout of user documentation and end-user training.
• Compliance Enterprise Dashboard: Managed project that would effectively utilize data stored in various disparate systems to
deliver knowledge needed to ensure proper supervision, identification of trends, patterns and relationships. Wrote charter,
conducted business requirement gathering with four (4) separate business units, defined kpi(s) and presented concept to
senior management and non-compliance business units to integrate data. Managed offshore development team during
requirements phase of SDLC. Managed 300K+ project budget.
• Complaint Tracking System: Managed offshore development team during SDLC. Developed and communicated Work
Breakdown Structure (WBS), project and communication plans. Evaluated data quality and implemented data stewardship
guidelines across enterprise business lines. Leveraged initial system version created for proprietary product complaints to
develop functionality for tracking broker-dealer related complaints and group protection claims. Conducted project meetings
and presentations to senior management (including C-level audience) to introduce/update on program. Managed 200K+
project budget.
• Compliance Management System: Managed redesign of legacy system to implement more effective compliance controls and
related reporting; identify deviances from processes, policies and procedures and provided means for capturing data to
address compliance risks and issues. Managed offshore development team during entire SDLC; managed in-house resources
during POC business readiness phase. Managed 300K+ project budget.
COMPLIANCE RESOURCE & INFORMATION ANALYST – LFA COMPLIANCE
Responsible for organization and distribution of information, collection of information on compliance and industry
trends and best practices through primary and secondary sources research. Assessed regulatory changes and
recommended appropriate changes / new policies and procedures. Created, published and maintained corporate
compliance content, documents and knowledge base. Researched various compliance topics pertaining to FINRA,
SEC or State regulations for new business initiatives. Developed guide(s) with online resources and knowledgebase
for use by compliance staff. Reviewed information pushed to compliance from various subscribed online resources
and regulatory sites.

3. B Neubauer – page 3
DST Systems, Inc. Kansas City, MO August 1987 – December 1993
DATA ANALYST
Responsible for enterprise data management and data governance of mutual fund transfer agent system. Performed
data element research, created data dictionary definitions and cataloging. Applied structured data analysis and
project life cycle methodologies. Elicited requirements using techniques such as interviews, workshops, JAD
sessions, and/or existing systems documentation or procedures. Developed enterprise data standards for data
dictionary. Created data model diagrams using (Bachman) CASE tool. Conducted business process analysis,
functional decomposition analysis and business rule definition.
SENIOR BUSINESS ANALYST
Conducted data analysis and managed User Acceptance testing (UAT) effort for mutual fund system enhancements
and change requests. Managed business and data analysis for a 2-year Corporate System Reengineering Project.
Managed implementation of Escheatment System. Developed corporate data standards and client documentation.
Conducted data analysis of legacy data and tables; documented business use and developed data definitions.
Managed cross-functional team of testers; compiled deficiencies, communicated to developers and ensured issues
were corrected according to business functionality specifications.
EDUCATION
M.L.S in Library and Information Science
Southern Connecticut State University, New Haven, CT January 2006
M. Phil. in Medieval History
Karl-Franzens University, Graz, Austria April 1999
PROFESSIONAL QUALIFICATIONS:
Microsoft Project, Microsoft Office (Excel, Word, PowerPoint, Visio, Access); SDLC and Project Management
methodologies; data modeling techniques; structured design methods