TECHNICAL SKILLS

• Qlikview, Tableau, Jupyter Notebook, Anaconda, Python, Powershell, SAP Business Objects, Risk and Control Self - Assessment (RCSA), MS Excel (VBA), MS Access
• MS Powerpoint, MS Project, MS Visio and MS Sharepoint, HP Quality Center, JIRA project management, Business Requirements Gathering
• Business Requirements Document (BRD) writing, Defect Management, User Acceptance Testing, TeamMate+, SQL, Orchestria

PROFESSIONAL EXPERIENCE

Confidential

Associate Director

Responsibilities:

• Co-ordinate the Compliance Risk Assessment (CRA) process for all Confidential Americas Legal Entities and Business Divisions
• Assist with the co-ordination of the Operational Risk Framework (ORF) deliverables in the Americas, including co-ordination and execution of the Risk and Control Self-Assessment (RCSA), communicating requirements to relevant businesses, functions and Confidential
• Assist in remediating action plans for medium and high residual risk ratings by assisting in creating policies and procedures, monitoring and testing plans and providing deliverables to Internal Audit and external regulators.
• Assist the Regulatory Change Group in identifying highly-impactful rules that will in turn be risk assessed
• Assist in the management of the annual RCSA for the US
• Created metrics for the CRA and RCSA processes including Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs). Results were reported to the Intermediate Holding Company (IHC) and the Combined US Operations (CUSO) board of directors.
• Developed Issue Management process to address Partially Effective and Ineffective Control Environments. This includes defining and testing controls for Volcker, IT COBIT framework (including General Data Protection Regulation (GDPR), MIFID, CCAR, OATS, Gramm-Leach Bliley Act (GLBA) and ISO 27001 controls) and all broker-dealer operations.

Confidential

Senior Compliance Officer/Senior Business Analyst

Responsibilities:

• Assisted in the delivery and execution of Compliance risk assessments including collaboration on the design, and delivery of the risk assessments
• Worked with Compliance colleagues and Lines of Business partners to develop tactical solutions to enhance and automate ad- hoc MIS reporting requirements, as well as develop analytical reporting to support the yearly Compliance Risk Assessment process
• Responsible for reporting risk assessment results to senior compliance management and the board of directors
• Develop strategic technology requirements, and work with partners in Compliance Technology to design and implement solutions
• Work with Training partners to develop and deliver ongoing relevant training programs for Compliance professionals with respect to changes to standards resulting from best practices and QA activities
• Created Business Requirements Documentation and Functional Requirements Documentation to visualize the roadmap of the Compliance Risk Assessment solution rolled out by JPMC US

Confidential

Program Manager

Responsibilities:

• Created and maintained a Volcker regulatory inventory composed of new and updated rules and regulations
• Created and maintained a Volcker records inventory
• Created and updated relevant Volcker policies and procedures. This included working with Volcker stakeholders to remediate policy gaps, drafting new policies and working with the Global Policy Group to approve new and updated policies.
• Conducted Volcker compliance risk assessments
• Developed individual test requirements including the creation of test scripts and desktop procedures
• Created a testing coverage map to align tests with the applicable laws, rules, regulations and processes
• Responsible for the remediation and creation of action plans that have been created due to audit and testing findings
• Identified Volcker compliance training needs and course roll-out
• Assisted with preparations for Volcker regulatory exams and audits
• Ensured that commitments made regarding actions in response to Matters Requiring Attention (“MRAs”) and other actions are completed for the firm

Confidential

Compliance Manager

Responsibilities:

• Became the subject matter expert and administrator of the Legal and Compliance (LCD) policy portal
• Initiated global compliance policy reviews by working with policy owners through the entire policy lifecycle (this included drafting new policies and procedures, remediating gaps in current policies and approving policies)
• Responsible for the oversight and maintenance of LCD policy content across all regions and business units
• Escalated aged policies to senior compliance management
• Assisted with the design and distribution of monthly compliance policy bulletins
• Liaised with IT counterparts to implement LCD policy portal enhancements
• Managed the development and implementation of Compliance Department’s continuing education training program
• Executed User Acceptance Testing (UAT) on all new training reports delivered
• Responded to audit and regulatory requests in regards to compliance courses and policies
• Assisted in the oversight of the Risk Control Self Assessment (RCSA) process across the different lines of business
• Analyzed business processes and responsibilities to create/refine compliance metrics and templates
• Assisted in the creation of Confidential ’s Annual Compliance Plan (manager of the Global Policy and Procedure Plan and Global Training Plan)

Confidential

Business Analyst/Project Manager

Responsibilities:

• Oversaw the deployment of the new Legal and Compliance (LCD) policy portal
• Initiated global compliance policy reviews by working with policy owners through the entire policy lifecycle
• Escalated aged policies to compliance management and ultimately to the Global Compliance Committee and the Board Audit Committee
• Assisted with the design and distribution of monthly compliance policy bulletins
• Helped design compliance information pages and business unit pages by gathering business requirements from stakeholders
• Developed UAT test cases and UAT test scripts and managed portal defects and enhancements by taking part in monthly sprints