PROFESSIONAL SUMMARY:

• Financial services regulatory risk & compliance professional experienced in Big - 4 risk advisory consulting, global project delivery, and sales of strategic organizational redesign programs.
• Develops & delivers process change to reorganize Legal, Compliance, & Risk functions globally.
• Designs, sells, and delivers solutions to simplify complex regulatory compliance functions.
• Distils regulatory requirements into simple language and sells to key accounts and C-suite.
• Experienced delivery advisor for regulatory responses for DOJ DPAs, MRAs/MRIAs, and compliance change programs for BSA/AML, Dodd-Frank/CCAR, BIS/Basel.
• Bank credit trained; Big-4 tax trained; Lean 6-sigma outsourcing trained.
• Experience and vision to see into and across divisions and functions in global banks with an eye on Risk & Compliance to meet multiple revenue, cost, and regulatory requirements.

SKILLS:

Credit trained. Bloomberg, Blackrock Solutions, Intex, Summit, Wall Street Analytics. Structured securitization. Sarbanes-Oxley; COSO; Basel II/III; Dodd-Frank Act, Volcker Rule, FATCA. Microsoft Office (Access, Advanced Excel/VBA); SAS/SQL.

RELEVANT EXPERIENCE:

Confidential

Financial Advisory: Director

Responsibilities:

• Regulatory financial risk & compliance SME. Track and provide expert advisory, strategy & design services for US regulatory response projects.
• Create and sell solutions to operationalize US regulatory compliance function work performed onshore & off: lift & shift, shift & lift.
• Manage large global projects. Scope, design, project plan, & deliver cross-functional regulatory risk & compliance project solutions: Set and track project objectives, staffing, write & deliver training & deliverables content, track budgets, shape and drive project governance & execution, and ensure best quality transitions onshore to offshore delivery locations, all while anticipating and achieving compliance with specific US regulators: Federal Reserve, Finra, OCC, and SEC.
• Coordinate and cascade interpretations and guidance from Legal functions into content & communications at the end-user level; coordinate & ensure GC s guidance is doable and meets required constraints; no surprises approach.
• Account planning/BDM. Oversee & drive account planning to grow sales to US banks & financial services firms by way of Risk & Compliance offerings: ORM, process & controls/RCSAs, MRA/C&D, Regulatory reporting, FR Y 9-C, 14-A, Finra, etc.
• Develop and build Regulatory Risk outreach program to establish & improve Confidential s credibility with US regulators, such as, CFPB, Federal Reserve, Finra, and OCC.
• Aggregate and simplify regulatory pronouncements (NPRs, Final rulings) into simple language including impact on stakeholders and clients. Develop and deliver internal training and POVs/white papers to support revisions of operating models, functions, resources, scorecards, metrics, etc.

Confidential

Project Manager

Responsibilities:

• Represented AML Compliance in the day - to-day transition from AML remediation into BAU: DE, DR, QC, QA functions.
• Managed BAs working in Compliance, KYC, & Financial Crimes Units (FIU/FinCEN reporting).
• Supported regulatory responses to cease & desist orders from the Fed, SEC, and OCC.
• Gathered & reported project performance, dependencies, risks & issues, RAID logs, etc.

Private Investor

Confidential

Responsibilities:

• Applied fundamental and global analyses to design a proprietary system which identified products eligible for trading in a long/short book.
• Exposure management reflected macro & micro aspects, such as fundamental analysis, changing global business cycles, changes in GAAP accounting, and changing risk & capital requirements.

Confidential, New York, NY

Senior Manager

Responsibilities:

• F&R of credit UW processes, CVA/DVA, NAVs, limits monitoring for hedge fund clients to prep for regulatory review (MRA).
• Revised BRDs to reflect data & valuations for onboarding, sales, credit, margin & collateral, securities lending, & PB processes.
• Client enriched reporting and best prepared for regulatory audit.
• Structured Credit & CFO PMO: Supervised & led credit risk review of trade documentation ( Confidential ), internal policies & procedures, and identified gaps in origination & trading desks for TRS, CDO, CDS in preparation for Fed review. Provided regulatory capital expertise & structured products analytics advisory; enhanced credit risk and reporting processes. Impact: Client passed regulatory review.
• Basel II Capital Analysis & Review (CCAR) PMO Work Stream Leader: BRDs for change management and credit process automation of the banking book for BIS II (internal model) for 4 Bus, 14 credit projects, supervised BAs. Built consensus on design, workflow definition, project plans & resource allocation. Impact: delivered project plans, system architectures, & process descriptions for 14 new work streams.
• Responsible for cross - functional PMO planning, technical execution, oversight, and closeout of CFO/Risk projects for financial services firms. Focus on structured credit risk & regulatory change
• Regulatory response, multifunctional, cross product: Set up, developed & executed global project to measure compliance with DOJ-issued DPA for trading & structured products. Analyzed global divisions, developed global KRIs, KPIs, KCTs, reported dashboards to client/DOJ. Impact: Supported client in the successful discharge of the DOJ DPA.
• Global investment bank, CFO function/FRTB: F&R. Documented client s pricing, sourcing, and revaluation processes & calculations for FAS 157/ASU 820 of its electricity & weather derivatives trading books. Impact: Client lowered Level 3 RWAs by $8 billion.

Confidential, STAMFORD, CT

Business Analyst

Responsibilities:

• Wrote BRDs/FRDs for: straight through processing (STP) for trades booked, and modifications in FTB systems to reflect Confidential credit derivatives & CSAs modifications.
• Negotiated stakeholders approvals. Implemented PMO governance; reported risks, tracked & resolved issues.

Confidential, NY, NY

Business Consultant

Responsibilities:

• Business analysis & process mapping for CRM system implementation into fixed income sales & trading.
• Developed approaches to using CRM in credit & market risk functions & structured finance.

Confidential, NY, NY

Senior Associate

Responsibilities:

• Due diligence new clients & credit risked companies and transactions (cards, cars, student loans, etc).
• Negotiated Confidential terms.
• Credit approved trades & lifecycle events by liaising with MO/BO.
• Quantified & tracked CE, PFE, risk reserves, margin/haircuts.
• Broad knowledge of bankruptcy and insolvency laws.
• Modeled & monitored $10bn exposures. Recommended facilities modifications including Confidential CSAs. Credit trained.