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Risk Consultant/ccar Risk & Governance Resume

New York, NY

SUMMARY:

  • Financial Services consultant specialized in finance transformation, risk analysis, financial control, regulatory and financial reporting, finance process analysis, functional design, system configuration and operations.
  • Hands on experience of 5 years in SAP FICO (SAP Finance and Control) with 2 Full Cycle implementation, 2 go - lives, upgrade, template rollout and data migration in financial services industry, manufacturing, automotive industry and the Federal Government.
  • Proficient in establishing Blue Print, business requirements gathering, functional specifications and documentation for system enhancement, upgrade and system migration.
  • Hands on experience in SAP Finance - Accounts Receivable (AR), Accounts Payable (AP), General Ledger Classic and New (GL) and Asset Accounting (AA).
  • Hands on experience in SAP Controlling - Cost Center Accounting (CO-CA), Internal Orders (CO-OM), Product cost Planning (CO-PC) / Material Ledger (CO-ML), Profit Centre Accounting (EC-PCA) and Profitability Analysis (CO-PA).
  • Hands on experience in reporting - Report painter, development of functional specifications in an SAP environment
  • Expert knowledge in controls framework; COBIT, COSO, HITRUST, HIPAA, ISO 27001 and PCI DSS.
  • Expert in assessing CCAR reporting requirements, scenario design and stress testing governance and control.
  • International working experience in Europe and 100% willingness to travel.
  • Expert knowledge in establishing standard process documents for Center of Excellence (COE).
  • Working knowledge of third-party tools; SharePoint, HP, BitzRights, Mercury, SM7, eSurf, Remedy, RevTrac.

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Risk Consultant/CCAR Risk & Governance

Responsibilities:

  • Executed risk analysis on MS Institutional Equity Division (IED), to assess the risks and controls around MtM Equity Stress Loss estimations.
  • Evaluated the procedures and policies for Models developed by Model Risk Management.
  • Developed a list of GAPs identified regarding the application of GMS shocks to MtM Equity trading book and developed a comprehensive action plan to address identified GAPs to improve the accuracy of stress loss calculations.
  • Conducted validations to ascertain that ORMF (Operational Risk Management Framework) is consistently applied and that accurate data is captured to support enterprise-wide risk management and analysis including risk identification, risk appetite, stress testing, risk-based capital, risk aggregation and enterprise-wide reporting.
  • Audited the risk identification process and the MtM Equity Stress Loss estimation process for CCAR2020 cycle.
  • Conducted continuous testing of the elements of the ORMF and based upon results, report meaningful findings to senior management in both 1st line and 2nd line for continuous improvement efforts.
  • Reviewed and challenged the assumptions made by MS Institutional Equity Division (IED) business unit in informing the MtM Equity Stress Loss quantification templates.
  • Implemented Credit Risk controls as means of providing adherence to Bank’s Risk Appetite Statement.
  • Conducted cyber security reviews and control assessments to ensure MS processes are in line with industry best practices.
  • Worked closely with process owners to ensure corrective action plans are in place to remedy gaps in controls.
  • Managed a team of three subcontractors through hiring, mentoring, coaching, and timely candid performance feedback.

Confidential, New York, NY

Senior Risk Consultant

Responsibilities:

  • Conducted a thorough assessment of BNY’s Operational Risk Management Framework (ORMF) including methodologies, processes and governance as well as ensure integrity of the inputs to measurement systems and models.
  • Executed risk analysis on various BNY Mellon front line business units.
  • Conducted validations to ascertain that ORMF is consistently applied and that accurate data is captured to support enterprise-wide risk management and analysis including risk identification, risk appetite, stress testing, risk-based capital, risk aggregation and enterprise-wide reporting.
  • Lead the risk identification process and Scenario Design which fed the 9Q projections for BNY Mellon (Idiosyncratic Risks).
  • Conducted continuous testing of the elements of the ORMF and based upon results, report meaningful findings to senior management in both 1st line and 2nd line for continuous improvement efforts.
  • Reviewed and challenged the assumptions made by BNY’s business units informing the loss quantification templates.
  • Tested and ensured that all operational risk events (OREs) are supported by adequate source documentation in BNY’s system of records as required by the FED.
  • Performed control testing and quality assurance reviews to evaluate the design and operating effectiveness of key controls in the control environment and detailed analysis of completeness, accuracy and quality of operational risk data which act as input into CCAR.

Confidential, Livingston, NJ

VP - Internal Audit

Responsibilities:

  • Executed risk analysis for audit purposes on various Confidential front line business units.
  • Lead the risk identification process and Scenario Design for the 9Q projections including methodologies and analyses supporting the capital plans for Confidential ’s Rail and Commercial Finance businesses.
  • Responsible for closing out all internal governance and controls, audit findings and Federal Reserve comments and recommendations on a timely basis.
  • Audited the end-to-end risk identification and risk assessment program for all Confidential Bank’s business units in accordance with the Risk Appetite Statement as well as the risk limit reporting framework and documentation.
  • Worked on the Risk Convergence project to develop one unified risk taxonomy enterprise wide, unifying operational risk management and enterprise risk.
  • Developed senior management risk limit reporting framework across risk types and risk trends.
  • Worked with stakeholders across business units to develop and update the material risk inventory, control framework and risk limit reporting framework.
  • Managed all 9Q loss projection audit milestones and worked with other internal audit teams to resolve audit findings and documented resolutions on SharePoint.
  • Assessed business continuity and disaster recovery, physical security, system development and operations, incident management security policy as well as access control management on vendor sites.
  • Conducted SOX 404 and GBLA annual compliance testing on all internal risk control self-assessment matrix (RCSA).
  • Advanced MS Excel user; Pivot tables, V-lookups, summary analysis and presentation of data.
  • Provided guidance and support on the integration of CCAR, DFAST and BAU planning processes.

Confidential, Wilmington, DE

AVP - CCAR Risk, Governance & Control

Responsibilities:

  • Drove the preparation of the 2018 CCAR qualitative submission documentation for the 9Q projections including methodologies and analyses supporting the capital plans for BBDE retail business.
  • Responsible for all internal governance and controls, audit findings and Federal Reserve comments and recommendations on a timely basis.
  • Lead the risk identification working group for CCAR purposes (Financial and Idiosyncratic Risks).
  • Developed a unified risk taxonomy across risk types for Barclays retail business.
  • Managed all 9Q loss projection audit milestones and worked with internal audit to resolve audit findings.
  • Provided guidance and support on the integration of CCAR, DFAST and BAU planning processes.
  • Managed the review and challenge process of 9Q projection results and presentation to the BBDE steering committee and Board.
  • Successfully drafted and responded to Fed exam follow-up questions after CCAR filing.
  • Lead Meetings with business unit heads and other department heads to understand business processes and requirements.
  • Developed functional specifications for financial sub-ledger implementation.
  • Gathered business processes requirement for US Statutory reporting resulting in more detailed FRDs and successful automation of the reporting process.
  • Executed current state assessment and future state design.
  • Conducted workshop sessions with business process owners and business unit controllers.
  • Finalized the functional design specifications and documentation for the sub-ledger implementation.
  • Knowledge transfer to key and non-key users.
  • Trouble shooting and resolution of various streams in SAP/FICO
  • Involved in the creation and documentation of manuals and end user programs.

Confidential, New York, NY

AVP - Regional Finance

Responsibilities:

  • Prepared the Call Report for DBNY Legal entities in accordance with FED instructions.
  • Prepared the FRY -14A and Y-9C Reports for DB America in accordance with FED instructions.
  • Responsible for the timely submission of all CCAR results to the Federal Reserve Bank through Axiom.
  • Responsible for developing DB's response to known edit check failures and FED enquiries (responses).
  • Lead the risk identification working group for CCAR purposes (Financial and Idiosyncratic Risks)
  • Performed comprehensive review of all Confidential 's reporting systems to determine the availability of the necessary attributes required for regulatory reporting purposes.
  • Responsible for orderly documentation of CCAR testing policies and procedures as required by the FED.
  • Developed data validation and control framework for FED stress test report submission.
  • Completed BDRs (Business requirement documents) for the automation of report submission through Axiom.
  • Managed a team of four subcontractors.
  • Prepared the FFIEC 009 report for BNP North America.
  • Assisted BNP with reporting template for all of 2014 call reports to the FED.
  • Developed BNP PARIBAS remediation plan addressing system limitations submitted to the FED.
  • Performed comprehensive review of all BNP PARIBAS reporting systems to determine the availability of the necessary attributes required for regulatory reporting purposes.

Confidential, Chicago, IL

AVP - Regional Finance

Responsibilities:

  • Prepared FR Y-11 and FR 2314 report filings for 900 legal entities at business unit and headquarter levels.
  • Provided project management assistance and helped coordinate across geographies; Chicago and Connecticut.
  • Provided remediation support, and brought visibility to the overall process.
  • Assisted the Real Estate Finance business unit oversee its reporting packages and coordinated with headquarters.
  • Managed a team of four sub-contractors engaged by E&Y ( Confidential & Confidential ) to assist with this filing.
  • Developed BPPs “Business Process Procedures” documentation, designed to capture and automate most reporting packages delivered to the client at the end of this filing.
  • Performed risk analysis and developed client specific control requirements to meet reporting standards.
  • Lead the business processes requirement gathering for FED reporting purposes.
  • Facilitated meetings with business unit and other department heads to understand business processes and reporting requirements.
  • Managed a team of six staff tasked with developing Job Aids to remediate specific regulations of the MHAC program resulting in a timely delivery of key work stream deliverables to senior management and the FED.
  • Prepared audit report for the GSE GAAP Tool database resulting in an audit trail for the specific cases handled during the remediation effort.
  • Managed and maintained Key relationships with client BU leads and other stakeholders.
  • Was responsible for key workstream deliverables
  • Lead workshop sessions with business process owners and business unit controllers.

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