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Svp, Capital Planning/ccar Lead, Internal Audit Resume

SUMMARY:

Confidential is a seasoned professional with over fifteen years of experience in Capital Markets, Risk Management & Regulatory Compliance and Process management. He focuses on servicing U.S. clients, specializing in Basel II/III compliance, risk and capital management regulatory compliance, risk data governance and oversight of data quality controls. He regularly engaged with risk management workshops and seminars for clients and industry participants.

AREAS OF EXPERTISE:

Financial Tools: KMV, Reveleus, MUREX, INTRADER, QRM, Bloomberg, Capital Market Applications and Fidelity MSP

Industries: Financial Services, Banking and Consulting

Project Domain: Capital Market, Economic Capital, CCAR, Liquidity Risk, Model validation, Basel II framework, Risk & Regulatory Compliance, IT infrastructure & System Integration

PROFESSIONAL EXPERIENCE:

Confidential

SVP, Capital Planning/CCAR Lead, Internal Audit

Responsibilities:

  • Build a comprehensive CCAR audit framework for Confidential Capital's business and risk management functions to be used for the Capital Plan
  • Assist in the development of the risk assessment and of a comprehensive global risk management and oversight audit testing plan that is in line with the CAE's and regulatory expectations
  • Execute the timely and effective planning, completion, maintenance and execution of each allocated risk management audit, including risk assessment of assigned processes and critical systems
  • Identify and present meaningful and practical recommendations and serve as a change agent that will make an immediate impact in the CAP(Capital Adequacy process)
  • Provide a point - of-view to the team lead on Confidential Capital's compliance with internal policies and procedures and the regulatory expectations with respect to the CAP and CCAR framework
  • Compare Confidential Capital position to industry and regulatory standards, focusing on points explicitly raised by regulators, but also reviewing across CCAR seven principles using Audit review framework
  • Prepare internal audit management reporting for the subject areas for external and internal stakeholders
  • Review existing regulatory feedback including MRA’s/MRI’As

Confidential

Sr. Business Consultant

Responsibilities:

  • Responsible to provide a focused diagnostic of client stress testing function and associated capabilities & process and compare against the relevant peer practice and regulatory expectations
  • Responsible to implement Regulatory framework inclusive of Basel II and III modeling, CCAR framework, financial and operations regulations, OCC guidelines, Dodd - Frank, FDIC, model and data governance best practices.
  • Led a team to build challenger models to support CCAR regulatory requirements
  • Responsible for Internal and Client presentations on risk management topics at internal briefing sessions, meetings and web casts as well as Confidential sponsored client events.
  • Provide Sr. Management guidance to enhance the Capital Adequacy Process (CAP) and Stress Testing (CCAR) framework

Confidential, Richmond, Virginia

Sr. Risk Management Consultant

Responsibilities:

  • Responsible to implement ICAAP Framework at Confidential through actionable initiatives to remediate identified gaps with respect to ICAAP gap remediation plan
  • Conducted assessment of current ICAAP framework, and a thorough gap analysis, comparing its ICAAP practices to Basel II supervisory guidance, regulatory expectations, and industry practices
  • Provide guidance in defining the scope of Pillar II projects, initial approvals and project delivery for efforts that cross platforms, applications and/or business lines
  • Work closely with Basel II PMO to ensure effective, efficient and timely delivery of the projects deliverables
  • Design and implemented Risk, Capital Governance Framework and CCAR Compliance Management Program
  • Presented to the Basel II program a strategic solutions to implement ICAAP Framework at Confidential
  • Provide guidance to Stress Testing team on CCAR and DFAST submission process and supporting documentation to comply with regulatory requirements
  • Provide Sr. Management guidance to enhance the regulatory Capital Adequacy Process (CAP) and Stress Testing (CCAR) process
  • Reviews existing policies and procedures to ensure that adequate process & compliance control exist within the bank Stress Testing process
  • Build ICAAP Implementation plan for the board by maintaining a strong focus on the regulatory guidance
  • Assessed the economic capital measurement and risk profile as per the ICAAP regulatory guidance
  • Assisted the economic capital, CCAR and Liquidity risk team to validate its models as per the model governance program
  • Extensive interaction with Senior Level Managers (Finance, Risk Management, the Businesses, Technology, and Audit) and external (Regulators, consultants, industry affiliations, etc.) to implement ICAAP Framework
  • Worked with Economic Capital and Moody’s team to optimize the Credit Risk Economic Capital process by implementing risk frontier applications to compute credit risk economic capital for bank annual budget process

Confidential, Providence RI

Sr. Risk Management Consultant

Responsibilities:

  • Assisted the bank to develop and implement Basel II solutions.
  • Activities include implementation of RWA & Pillar III disclosures
  • Evaluated Basel II implementation road map, key dependencies & risks for RWA and Pillar III workstream
  • Responsible to implement RWA and regulatory capital reports
  • Led a team to analyze the bank business solution to calculate and report RWA and regulatory capital
  • Establish a process to create Pillar III disclosures for each legal entities of the bank
  • Evaluate the implementation road map to develop end to end testing of bank Basel II infrastructure(data, systems, process)

Confidential, Pittsburgh

Sr. Risk Management Consultant

Responsibilities:

  • Created Project Scope, Need Analysis and Business Requirement document to support multiple Basel II initiative projects
  • Responsible for conducting GAP & Current State analysis between Basel II file generations for the Enterprise Risk Management platform
  • Presented to the Confidential Basel II committee a process and strategic solutions to implement RWA capital calculation
  • Responsible for s upporting the execution of Confidential ’s Basel II Implementation plan by maintaining a strong focus on the Basel II Regulations
  • Coordinate/communicate with Basel PMO to ensure comprehensive execution of Basel Initiatives
  • Assisted the bank to implement Basel II securitization solution for the RWA capital calculation as per Basel II US final rule
  • Evaluated portfolios of securitization transactions to assessed appropriate classification & treatment under Basel II framework
  • Led traded products workstream to determine Basel II risk parameters as per the US final rule
  • Actively involved with Confidential Basel Categorization Committee to Categorize and sub-categorize Bank Assets into Basel Asset Classification
  • Assist the Bank to define business, functional & data requirements for Pillar III quantitative and qualitative disclosures
  • Guide Capital Market IT team to implement Reveleus to calculate RWA & regulatory capital as per the US Final rule
  • Led a team to implement an automated solution to create FFIEC 101 schedules
  • Create a plan to set up a well documented infrastructure that supports the process as per the Basel II US final rule
  • Worked with risk management and capital market to satisfy Enterprise Risk Management Requirement to optimize the bank Credit Risk Applications that will impact Basel II implementation

Confidential, NY

Sr. Business Consultant

Responsibilities:

  • Created the scope of the project and worked with business end-users to define business needs, delivered the comprehensive Business Requirements Document (BRD) and Functional Requirement Specifications (FRS) document for DTCC Customer Master Files to support NYPC.
  • Extensively involved with key participant to integrate NYPC institutional assets with DTCC Fixed Income Assets
  • Guide Business users to reconfigure NYPC Account Structure with DTCC Account system
  • Presented comprehensive analysis report for Clearing Fund Management and Account Administration to the stake holders
  • Guide the Project team to merge NYSE-Liffe firm information and DTCC account information
  • Extensively involved in building Portfolio Margining for risk management application that will be automatically help to build Single Pot Margining through the built Engine in real time for each participant account

Confidential, PA

Sr. Business Consultant

Responsibilities:

  • Created Project Scope, Need Analysis and Business Requirement Document for GIPS compliance Institutional Asset Reporting
  • Presented Asset support reporting plan to the executive management recommending a short and long term solution for the Asset reporting
  • Guide Business users to reconfigure Confidential Complex Asset Database
  • Created & presented a detailed analysis report for 30 multiple Asset reporting system to the stake holder and the Project team. Design Automated reports reduce the time spent on asset calculations by 30%.
  • Extensively involved with a German Institutional Asset Firm to integrate their institutional assets to match with Federated GIPS compliance Assets
  • Worked with the SME’s (Financial Analysts, Risk Managers, and Project Managers) to define business critical needs and analyze the possible technical solutions

Confidential, NY

Sr. Business Consultant

Responsibilities:

  • Extensively involved with global client in executing the project implementation plan for the global fixed income product
  • Guide the project team to create Fixed Income reporting module that includes full-disclosure financial reports, asset reporting, earnings reports, change in market value, total return and policy compliance reports.
  • Worked with the SME’s (Financial Analysts, Risk Managers, and Project Managers) to define business critical needs and analyze the possible technical solutions.
  • Interacted with the technology team and executive team to implement the business requirements to ensure that the application under development confines to the client requirement. .

Confidential, Newark, NJ

Sr. Business Analyst

Responsibilities:

  • Analyzed the scope of the project and worked with business end-users to define business needs, delivered the comprehensive Business Requirements Document (BRD) and Functional Requirement Specifications (FRS) document.
  • Applied business and analytical skills to identify opportunities to modify or change business processes that support the common objectives of the project while gaining an in-depth understanding of new systems and assist business in assessing impact to current processes and procedures.

Confidential, Richmond, VA

Sr.Business Analyst

Responsibilities:

  • Lead Analyst to integrate a comprehensive Banking System, which included customer, deposit and personal loan applications along with a Mortgage and Default Risk Management application to the relational data repository to meet Regulatory reporting requirements within six months.

Confidential

Sr.Business Analyst

Responsibilities:

  • Responsible to execute risk management and regulatory compliance projects for Financial Institution in India
  • Responsible for client account management and project management. Managed staff activities in areas of pre-sales technical support, proposal creation, development, testing, implementation, and post-implementation customer support.
  • Applied business and analytical skills to identify opportunities to modify or change business processes that support the common objectives of the project while gaining an in-depth understanding of new systems and assist business in assessing impact to current processes and procedures

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