Management Lean Six

James Giordano

e-mail: ******@*********.*** *** Briarcliff Lane, Bartlett, IL 60103

http://www.linkedin.com/in/jamesgiordano1 630-***-**** Extensive experience in commercial loans working as a Credit/ Operational Risk and Compliance Business Analyst involved with planning, developing, executing, documenting and reporting findings of identified controls of business units to meet corporate governance and regulatory compliance requirements.

• Extensive experience in the credit and operational risk industry with notable success in helping to minimize company losses while adhering to corporate governance and compliance requirements.

• Experience gathering information from subject matter experts.

• Extensive knowledge in case diagrams, state diagrams, activity diagrams, flowchart diagrams and collaboration diagrams.

• Performed testing of business unit controls for high legal and regulatory risks and compliance.

• Tested controls of business units to validate effectiveness of controls in working environment. CORE COMPETENCIES:

Corporate Governance, Regulatory Compliance, Data Integrity, Fair Isaac Credit Scoring System, InfoLease, Moody’s Financial Analyst, ABLE, ACBS, SOX,

MS Office (Visio, Word, Access, Excel, PowerPoint, Outlook, SQL Server 2012, SharePoint) Anti-Money Laundering (AML) & Bank Secrecy Act (BSA) Office of Foreign Assets Control (OFAC)

Know Your Customer (KYC) & USA PATRIOT Act, Vendor Due Diligence, ICMS WAR, World Check Lexis-Nexis, Dun & Bradstreet

Bloomberg, Reuters, Archer, Equipment Finance/ Lease EDUCATION & CERTIFICATIONS:

• Bachelor of Science in Finance

Illinois State University – Normal, IL

• Lean Six Sigma Green Belt certified, July 2014

PROFESSIONAL EXPERIENCE:

Harris Bank 2017

U S Corporate Finance--Data Management Group

Senior Consultant-Controls, Processes & Projects

• Developed and maintained comprehensive documentation of the FR 2052a and CCAR FR Y-14A/M/Q controls, processes and procedures used in the preparation of submissions to the Federal Reserve and internal consumers of CCAR in order to ensure consistent, timely and accurate reporting.

• Conducted self-audit testing of CCAR Data Management Group’s utilization of operating documentation and adherence to the FR 2052a and FR Y-14A/M/Q controls, processes and procedures with results being reported to the Director of CCAR Data Management Group.

• Contributed to the environment of continuous improvement by working with the CCAR Data Management Group to identify, recommend, develop and implement new and improved operating processes. HSBC 2014 – 2016

Vendor Risk Management & Fiduciary Risk-Mettawa, IL Operational Risk and Compliance Business Analyst

• Identified and monitored Vendor Risk Management (VRM) and Procurement control deficiencies with the control environment.

• Maintained HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.

• Assisted with completion of thematic review of 23 business units, vendor management and scoring.

• Utilized MS Excel spreadsheets for escalation reports and documentation, created pivot tables, v-lookups, macros and formulas.

• Implemented a structured BRCM VRM and Procurement program for the management of all applicable risks, with appropriate controls to evidence the management of risk, utilizing offshore to ensure consistency of approach.

• Validated controls and processes to evaluate effectiveness.

• Worked with business partners and risk domain owners to identify areas of risk and cost action plans to mitigate Procurement and Vendor risks.

Continuing Education – MicroTrain – Lombard, IL 2013 - 2014 Completed the following classes:

• Access 2010(Level 1-3)

• Lean Six Sigma Green Belt (certified Lean Six Sigma Green Belt, July 2014)

• Business Analysis, Excel (Level1-3)

• SQL Server 2012

JP Morgan Chase 2012 –2012

Operations Risk/ Control Analyst - Elgin, IL

• Plan, develop, execute, document and report findings of controls in a Commercial Card environment.

• Identified high risk transactions and key controls in a Commercial Card environment that required validation of effectiveness in testing.

• Sat down with SME’s, contract control owners, determined controls, devised the test controls and executed test steps, documented findings, vetted findings and presented to stakeholders. Identified problems and action plans, identified other gaps. Controls tested in commercial card environment, off-boarding of staff, policy procedure management, information management / retention and training. Used SharePoint for document repository.

• Designed and analyzed process diagrams in order to improved processes.

• Developed and executed test programs to verify the effectiveness of the existing controls and processes of the business units to be tested.

• Documented control test plans and findings and presented to business unit leadership.

• Documented action plans that identified and mitigated control issues identified in testing. Medical Sabbatical - Bartlett, IL 2009 – 2012

ABN AMRO Bank/ Royal Bank of Scotland 2006 – 2009

Credit Risk Controller/ Risk Analyst – Chicago, IL

• Monitored and identified setup/ mapping issues and validating violations and excesses of trading activity for bank trading partners.

• Monitored and identified setup/ mapping issues to improve efficiencies, administered limit adjustments on EBS and Reuters on London, New York and Toronto platforms.

• Utilize a proprietary netting calculator to determine the real time exposure versus approved credit limits to validate settlement exposure risk.

• Utilized problem solving skills to validate violations and excesses of trading activity per approved risk exposure on three trading desk platforms (Chicago, Toronto and New York) to prevent potential losses.

• Onboard bank trading partners, working effectively with compliance department to validate new customers to commence trading activity per regulatory requirements.

• Provide operational support to Credit Portfolio Managers and Portfolio Managers for portfolio/ account maintenance additionally running daily and weekly trading reports to identify settlement issues (FX Spot, FX Forward).

• Onboarding of Fixed Income, Global and Domestic Equities, FX and Futures and Financial Institutions Public Sector (FIPS) accounts.

• Communicate effectively with compliance department to minimize losses by validating new customers have completed KYC approval process for trading activity and identifying types of accounts to trade. Experience working in Regulatory and Compliance programs in a Banking environment utilizing AML /BSA, Patriot Act, OFAC and PEP.

• Utilize a vendor risk system (ADAPTIV) to compare/validate limits in a limit based system (RAPID) to maintain proper risk exposure levels to ensure accuracy and effectiveness of the control to prevent potential losses due to improper trading limits.

• Detect and advise management of potential fiduciary and operational risk issues and recommended procedural changes to mitigate risk.

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