EXPERIENCE SUMMARY:

• Experience years - - total 20 years | 13 years in Regulations | 11 years of Technical Project Management | 6 years in PMO
• Industry years -- Banking 14 years | Energy, Reinsurance and Healthcare total 4 years | Law 2 years
• Personality - Myers Briggs (MBTI) -- ENTJ, Strategist, Leader, Motivator, Team Builder
• Governance, Risk, and Compliance (GRC) - Please see regulatory experience list below, along with Frameworks experience
• Communications and Detail - I am prolific and immaculate in my written communications; Public Speaker, Motivator
• Management Skills - Remediation, Risk Mitigation, Practice Building, Regulatory Advancement and Legal Implication, Federal Readiness and Response, Business Development, Engagement Management, Relationship Management, Sales
• Organizational change management - (Serena CM) Drive, own, and manage organizational change mapping and design, and enterprise dashboards (i.e.: Serena TeamTrack; Enterprise SOX Change Management; Enterprise Risk awareness
• Management and Team: Myers Briggs (ENTJ), Johari Window, Situation Leadership, (Korn Ferry Int.)
• PMO: established PMO (Clayton, Lincoln Financial); worked in PMO in numerous places; audited the PMO as an internal auditor (XL Global)
• Team size -- Supervised, recruited, trained and developed 16 resources at max in my career
• Matrix Managed onsite: 35-60 resources in PM roles, in offshore: 80 - 120 resources in Pune, Hyderabad and Bangalore, India

PROFESSIONAL EXPERIENCE:

Confidential

Advisory CONSULTANT

Responsibilities:

• Risk Advisory -- Strategy, US FRB, Monetary Authority of Singapore and BaFin (German Regulation), CCAR (and similar vein in liquidity ratio teams within the BASEL implementation)
• Program Management -- Planning, Estimation, Escalation
• PMO Advisory - Methodology (basic SDLC), Process Rollout (Multiple Streams: Data Masking, SSH Encryption, Access, and MAS internal controls
• Governance, Risk and Controls (GRC) - Viable alternatives to existing controls for IAM (Identity and Access Management)
• Expedite several process improvements and cost optimization initiatives (Quality Management, Governance)
• Produced a prioritized list of recommended ID Access Management stream initiatives under GT - CTO after MAS findings
• Steer thought leadership from SteerCo to simplify execution of large and complex project delivery, such as; audit accountability across 80 regions and including overlapping and exclusive extraterritoriality laws across national borders to new team
• Deliver solution options and high level costs estimations for decision through various vendors ( Confidential, HCL, IBM, Deloitte)
• Strategize several assessment frameworks, approaches and methodologies to address broader Deutsche Bank regulatory needs through OPEX, Internal audit, and general project methodologies
• Drive and take ownership of identifying and mitigating risk, (including but not limited to: credit, market, operational, legal and compliance, technology) within assigned area(s) of responsibility to ensure key operation procedures are in place
• Develop, communicate and ensure adherence to area and department risk policies, procedures and best practices in accordance with prior years’ SOX results, internal audit findings, and rulings from the FRB and MAS
• Collect buy-in from GT AS (TAM, and GT Engineering), GTP (IT Security, Access Rights, TISO, Infrastructure Operations), and COO (IT Risk) teams to further the four streams of work for mitigation
• Collect list of mandatory solution elements e.g. regulatory requirements and audit issues (e.g. KPMG, MAS, FED, BaFin)

Confidential

Sr. Advisory Principle

Responsibilities:

• First member of four in a seal Team for the Chief Risk Officer for BMO
• Pre-Audit and remediation for OTC Trade Surveillance Executive Attestation.
• In response to an RFP, the CMA LLC team (comprised of members situated both internally and outside of the bank) helped to identify the work effort required for the of the rules, policies, and procedures necessary to comply with Dodd Frank Title VII requirements, and also assessed the Fenergo Onboarding Regulatory Tool.
• Areas covered: covered swaps, pay to play policy, portfolio compression, on-boarding, swap and trade confirmations, processing, reporting, recordkeeping and reconciliations.

Confidential

Dodd Frank Program consultant (PMO)

Responsibilities:

• Managed the critical end delivery of six projects into the test environment (one release cycle ahead of schedule for January 14 deadline) in an intensive AGILE development across 15 sprint teams

Confidential, NY

Sr. Principle Consultant (AML)

Responsibilities:

• Managed Compliance portion of the AML redesign for "Bank in a Box"
• Responsible for all facets of the project and for functional business and technical project work stream setup and synchronicity across the retail banking space in North America, inclusive of a total of approximately 80 resources in the core team with additional teams in each business units (Compliance, Due Diligence, on-boarding, Treasury, Finance, Deposits etc.)

Confidential

Responsibilities:

• Spearheaded multiple initiatives for RFP and planning for CCAR, BASEL, claims auto adjudication rules
• Formulated independent PMO guidance for the reviews of models used for CCAR stress testing and validated CCAR reporting processes
• Helped with BASEL II to BASEL III transformation providing functional expertise, business rule understanding and interpretation, data mapping and report validation capabilities for liquidity and leverage ratio requirements
• Implementation of GRC Archer at Aetna

Confidential

PMO Consultant

Responsibilities:

• Conducted audit re-s and application security for applications across multiple platforms and specifically, audit of a migration of Access database for Active Directory consolidation within CA Top Secret Baseline Security Standards on mainframe
• Implemented process and change management initiatives for a large OCM system (Serena) for compliance and risk within "internal exposure and controls" with collaboration with CIO
• Communicated all change procedures, 90 day production support, guidelines, and delivery of tool to 300 users

Confidential

Audit Consultant

Responsibilities:

• Spearheaded and coordinated with the Director of Internal Audit to do the planning for the extensive testing of new trading applications in the OTC commodities market
• Certified that all roles and responsibilities of trade execution in the production environment were having a segregation of duties

Confidential

Operational Risk Consultant

Responsibilities:

• Managed the listing, documenting, measuring, and analyzing of the applications to ensure operational risk mitigation and SOX coverage
• Ensured all SOX project objectives regarding risky applications under the risk-based approach were clearly documented, approved and delivered to meet Internal Audit needs

Confidential

Basel II Management Consultant

Responsibilities:

• Oversaw and initiated program and change management for parts of Operation Risk Streams for Basel II in the reclassification of assets and redesign by existing methodology for assigning risk levels to the customer base, including correspondent account holders (type of customer, type of product or service, geo-location data, etc.)

Confidential

Process Management Consultant

Responsibilities:

• Implemented best practices for risk management for systems implementation while reporting progress to management on a weekly basis with SunGard Systems implementation
• Led all facets of the project management style at BMO, and tailored procedures, methodologies, vendor offerings, and systems to the objectives, timeframe and structure of the Bank of Montreal (areas include: credit scoring and counterparty risk)