MARCEL DEUBER

ad4x7g@r.postjobfree.com Cell: 917-***-**** 1 Greene Street, Apt. #M12, Jersey City, NJ 07302

(Looking to relocate to Detroit area, MI)

OPERATIONAL RISK MANAGEMENT LEADERSHIP

Professional Summary

Dynamic Senior Operational Risk Manager with extensive experience in managing global teams in the First and Second Line of Defense through risk management leadership roles, transformational change, coordinating strategic initiatives, and driving bottom-line growth in progressively responsible operations and with the world’s premier investment firms, both domestic and international. Process- and solution-oriented leader, who consistently delivers on business goals, reduces costs, eliminates inefficiency, influences and manages senior stakeholders. FINRA Series 99 registered. Tri-lingual (English, German, and French). Demonstrated track record of success supporting Institutional and Private Clients within Capital Markets and Wealth Management businesses.

Recognized thought leader who has coordinated and led global financial centers/teams in cities around the world, from New York to Zurich, Frankfurt, Glasgow, Shanghai, and Mumbai.

Adept at developing relationships with stakeholders and colleagues, implementing world-class Operational Risk Management programs and reporting in challenging regulatory environments. Areas of Expertise:

Operational Risk Management, Vendor Risk Management, Business Continuity Management, Operations, Risk Metrics, RCSA, KRIs/KPIs, Leadership, Strategic Planning, Management Reporting, Process Improvement, Relationship Management, Financial Mgmt & Analysis, Regulatory Compliance, Training & Staff Development PROFESSIONAL EXPERIENCE

NOMURA SECURITIES INTERNATIONAL / NOMURA HOLDING AMERICA 2018–Present Executive Director, Regional Head Operational Risk Management & Global Portfolio Director for 2018-Present Prudential Risk Frameworks – New York, NY

Managing Americas’ Operational Risk Management (ORM) team and responsible for the execution and improvement of the firmwide Operational Risk Management framework across Nomura’s Global Markets, Investment Banking, Instinet, Asset Management and all Corporate Functions in the Americas. Closely work with the First Line of Defense, monitor the execution of the various Operational Risk programs, review Internal and External Operational Loss events, perform ORM Scenario Analysis, identify control gaps and put KRIs in place to measure Risk. Provide strategic analysis and Operational Risk reporting to Executive Management, Board of Directors and Regulators.

Built a robust team to execute the Operational Risk Management mandate across all revenue-producing Businesses and supporting Corporate Functions for Nomura in the Americas region.

Introduced significant RCSA Framework improvements, including a new Non-Financial Risk (NFR) Taxonomy, Causal Taxonomy and Control uplift.

Performed Targeted Risk Assessments / Deep Dives to identify control weaknesses and control gaps across departments of concern.

Reviewed external Events and performed global assessment of robustness of internal processes and controls in the Americas and other regions.

Provided independent challenge to the First Line of Defense across all components of the Operational Risk Management Framework.

Performed annual ORM Scenario Analysis to identify and report on stressed tail risks across all Businesses and Corporate Functions in the Americas region.

Improved Operational Risk reporting to regional and global Senior Management, Board Committees and Regulators. J.P. MORGAN CHASE 2016–2018

Executive Director & Senior Operational Risk Manager 2016-2018 Corporate Operational Risk Management – New York, NY Responsible for 2nd Line of Defense Operational Risk oversight and independent challenge of the implementation and application of the Operational Risk Management Framework for Corporate Functions under the Firm’s Chief Administrative Officer (CAO) globally, including Global Real Estate, Global Security & Investigations, Global Supplier Services, Global Business Document Services, Corporate Insurance Services, Global Services and JPM Intelligent Solutions. Responsible for “Third Party Outsourcing Risk”, “Disasters & Public Safety Risk” and “Inadequate Oversight & Control Risk”.

Independent challenge of all phases of the Risk and Control Self-Assessment (RCSA), Qualitative Operational Risk Appetite & Assessment, Material Risk Identification and other Operational Risk programs. MARCEL DEUBER ad4x7g@r.postjobfree.com Page 2 of 2

Identified control gaps through performing Targeted Risk Assessments (TRA) and Significant Event Reviews (SER) in response to Internal Loss events, KRI breaches and other trigger events.

Worked with Technology to successfully introduce a new comprehensive Operational Risk Analytics and Reporting Tool, leveraging metrics from all three Lines of Defense and providing a Dashboard and firmwide KRIs to Stakeholders.

Created Risk Assessment Standards for Third Party Outsourcing, User Tools and Resiliency Risk to be owned by Second Line. MORGAN STANLEY 2009–2016

Executive Director & Senior Risk Manager 2012–2016 Shared Services & Banking Operations (SSBO) – New York, NY Held broad-scope day-to-day Risk leadership responsibilities spanning a wide range of functions in Global Operations, including Securities Settlements, Cash Settlements, Position Services, Cash Management, Global Loans Services, Network Management, Reconciliations Utility, Tax Utility, Client and Product Data, and Sanctions Screening. Proactively managed risk, establishing a yearly RCSA framework to not only rate existing controls but identify and mitigate Residual Risks of all types. Continuously worked to analyze risks, identify mitigating actions, develop new KPIs/KRIs, and improve processes across all areas of SSBO, collaborating cross- functionally on a day-to-day basis.

Executive Director & Business Manager 2010–2012

Global Cash Management – New York, NY

Provided 360 management and oversight across the organization’s Global Cash Management function, working closely with the Treasury Department on funding, and forecasting the firm’s liquidity, on an ongoing basis. Carried out in-depth budgeting, developed presentations, and spearheaded strategic planning sessions. Built, managed, and supported multiple highly effective teams. Executive Director & COO for Cross Product Services (CPS) 2009–2010 Institutional Operations – New York, NY

Coordinated and managed Business Management, Risk Management and Location Strategy teams/functions for CPS globally. Oversaw the Location Strategy team, on an ongoing basis planning and executing all aspects of deployments, from core to near and offshore locations, including third-party BPO (Business Process Outsourcing) vendors. Honed team leadership capabilities, with responsibilities spanning promotions, compensation, performance ratings and reviews, and other core people-management activities. GOLDMAN, SACHS & CO. 1996–2008

Executive Director & COO/Business Unit Manager 2005–2008 Private Wealth Management Department – Frankfurt, Germany Collaborated with the regional manager for Germany and Austria to devise and roll-out business plan, expertly strategizing client coverage and acquisition targets through market analysis as well as coordinating cross-selling efforts with Investment Banking division. Comprehensively ensured compliance with German and Austrian tax law and all applicable regulations. Vice President & Manager of Equity Operations 2000–2005 Securities Division – New York, NY

Scope of management responsibility encompassed US, Canadian, and Latin American Equities Settlement, ADR Conversions, and Network Management. Carried out contract negotiations and supported key integrations in the wake of M&A activity. Served on internal Sarbanes-Oxley (SOX) working group charged with defining operations functions requiring internal control assessment. Executive Director/Manager of Wealth Management, Equities & Treasury Ops – Zurich, Switzerland 1996 – 2000 Managed Operations teams servicing fast-growing Private Bank and member of Bank’s Credit and Operational Steering Committees. Ensured operational and regulatory feasibility of new businesses and products. PROFESSIONAL PROFILE

Education ZURICH COMMERCIAL SCHOOL OF BUSINESS ADMINISTRATION – Zurich, Switzerland B.S. (Equivalent), Business Administration

Licensure FINRA Series 99 (Operations Professional Qualification Examination) Languages Fluent in English & German/Swiss-German, Proficient in French Work Permission US, EU Member Countries, Switzerland

Contact this candidate