TECHNICAL SKILLS:

Consulting: Analysis and Process, Audit, Governance, Project and Change Management, Risk Management, Systems

Domains: Market and Credit Risk - Basel, CCAR, CVA, Dodd -Frank, Liquidity, FRTB; Operational Risk - Cyber, IT, Info Risk

SME: Banking Risk| Reporting, Regulator Response; IT Management & Security CGEIT, CISM, CISA, CSX, CEH, ISO 27000

ENGAGEMENTS INCLUDE:

Confidential

SME, Fundamental Review

Responsibilities:

• Implementation Challenges and Implications for Capital Valuation Adjustment ( Confidential ) & Initial Margin

Confidential

SME

Responsibilities:

• Primary Presenter, Researcher - Reg review, data requirements, functional specs, scope, timing, governance
• Success realization Attendees, 30 + financial institutions
• Reporting Product, Requirements, MDRM Mapping, Edit checks, Workflow, Oracle OFSAA

Confidential

SME

Responsibilities:

• Treasury Reconciliation, Balance Sheet Forecast, Transfer Pricing
• Balance Sheet Reconciliation; Trading and Banking Book, account mapping, coded interest rate forecast model
• Baseline gap model comparison vs replacement forecast models -runoff, static, dynamic
• Data Analysis, Oracle Financials extraction, BI tools used include Access, Cognos, Excel, Qlikview
• Project Audit, Response to Internal Audit Response, Confidential Regulator
• Resolved MRA, MOU items Confidential, Confidential
• Documented data and process governance, Co-wrote Attestation Policy approved by Confidential Board
• Leveraged COSO Principles 10, 11, 12, 16, 17 for Control and Monitoring Activities to address deficiencies
• Addressed Internal and External Financial Reporting Objectives
• CCAR | Dodd-Frank - Market Risk RWA, Re-Architecture
• Platform and Projection Analysis; Data, Models, Process - Stressed/VaR, NMRF, IRC, Trading Book Securitization, CRM/Surcharge, SSMR, De Minimus, Actuals and Forecast
• Advise on Response & Strategy for Regulator Confidential, Confidential
• Dodd-Frank - Top 50 Counterparty Risk: Data Quality, Hedge Funds, Derivatives & Secured Finance
• Examination and review data sources, quality and timeliness, Accuracy, Process, Compensating Controls
• Presenter to Regulator Confidential for Risk, Technology, Finance Senior Management

Confidential

PM, SME

Responsibilities:

• Fixed Lagging Projects and Program Metrics, Addressed Risk and Finance gap, Improved Accuracy
• Leveraged Big 4 experience and COSO framework to address internal controls and create standards
• Securities VaR, Suitability | Due Diligence, Central Counterparty, CVA, AIRB, Standardized Reporting

Confidential

Senior Writer, Analyst, Editor

Responsibilities:

• Reviewed, Wrote, Edited Subscription Research
• Enterprise Risk Management Architecture Model Published as reference standard
• Functional, Logical, Mapping, for Reference Data Management, Calculations, Regulatory Reporting

Confidential

Director, Engagement Manager

Responsibilities:

• Change and Project Management, Business Development: Assurance, Compliance, Reporting, Regulatory, Risk, IT

Confidential

SME, PM

Responsibilities:

• System Review, Solutions Architecture, IT Roadmap, Database and Process Design, Global Runbook Management
• Release Point Management, Test Plan Review, Socialization; 3+ MM client end-users, Four major releases

Confidential

SME

Responsibilities:

• Risk Technology Roadmap, Architecture Strategy, Operating Model Assessment, Alignment to Plan
• Global C-Suite Risk and Technology Workshops, Internal Audit / Assurance, Comparative review vs. peer group
• Review target architecture, suggested approach, recommendation on comparison versus leading practices

Confidential

SME

Responsibilities:

• Program Framework, Rollout Plan, Align Risk
• Technology Resources
• Generate project charters, strategy, dependencies, project life cycle, risk identification, status documentation
• Create functional risk technology portfolio view across units, RACI matrix, rollout plan for multiple platforms
• Solvency and Resolution Training for Confidential Chartered Financial Institutions
• FDIC clearance, Insolvency Resolution processes, Regional and smaller bank systems

Managing Partner | Founder

Confidential

Responsibilities:

• Audit Response, Process Improvements, SPE|SPV Management, Data Governance
• Roadmap, Requirements Methodology, Use case, UML, Workflow
• Data Management, Modeling, Profiling, Master and Reference Data, Business dictionary

Confidential

SME

Responsibilities:

• C- Level Consulting; Counterparty Risk & Collateral Management
• Review CVA; Methodology, Model infrastructure, implementation; Gap Analysis, Collateral management

Confidential

Managing Director Principal

Responsibilities:

• Project and Systems Audit; Author Firm-Wide Risk Framework, Merger Management, Project Decision Framework
• Hedge Fund Stand Up Program Manager; Muni TOB; External interfaces, Fund Admin, Operations, Legal, Prime Broker
• Murex; Business Analysis, Process Flow Design, Trade Processing, Reporting

Confidential

Department, Program Manager

Responsibilities:

• First Confidential CVA Risk Engine, new credit spread models and platform > $500MM Income Statement save
• Model Development and Assurance, Quant Analysis, Testing, Reg Approval; Stressed VaR platform
• Developed integration engine for trade, margin, legal agreement, fallback processing, and VaR calculation
• PM “First on the Street” front to back integration, for regulatory approval of Salomon / Citibank merger
• Led IT for Confidential and Confidential Regulatory Review on Margin processing for Credit Risk
• Created monitoring and reporting platform, solved Regulatory issue
• Derivatives Trading: Implement Imagine, SunGard; FI, F/X, Equity; Trade Capture, Operations, Pricing