Management Manager

STEPHEN WOITSKY, MBA

New York, NY 908-***-**** *******@*******.***

OPERATIONAL/ENTERPRISE/COMPLIANCE RISK MANAGEMENT EXECUTIVE

Hands-on and results-driven Risk Management Executive with 20+ years of leadership expertise in internal audits, regulatory compliance, controls, enterprise risk management, operational risk management, and overall strategic audit planning/execution for companies such as CLS Bank, Credit Suisse and UBS.

Strong, energetic leader with forte in streamlining processes, ensuring compliance with regulatory standards; extensive experience launching internal audit operations, meeting the requirements of the Sarbanes Oxley Act and the Dodd Frank Title VIII Act. Delivers solid results in operational risk management.

Trusted and active advisor in dissecting, analyzing and presenting key strategic financial solutions to executive leadership.

Achieves outstanding results leveraging extensive front-to-back operational and financial product knowledge, strong analytical, managerial, strategic project management, and interpersonal and communication skills that lead to strong relationships of collaboration. CORE SKILLS AND COMPETENCIES

Private Banking

Wealth Management

Capital Markets

Regulatory Compliance

Technology Risk

Internal Controls

Business Continuity

Regulatory Compliance

Strategic Planning

Project Management

Enterprise Risk

Management

Operational Risk

Management

Business Process

Management

Risk Governance

SELECTED CAREER ACHIEVEMENTS

BANK OF THE WEST – Led the redesign and implementation of operational risk management coverage of Banks businesses that provides expertise of the business and execution of the program to effectively manage the banks risk and control environment across that bank

THE CLEARINGHOUSE - Led a redesign and relaunch of an enterprise-wide approach governing the assessment, monitoring, and reporting of risk and performance across the firm, incorporating risk identification tools, business process analysis, risk and control gap analysis, risk assessment and monitoring tools. Led the implementation of the RSA Archer Enterprise Risk Management module.

CLS BANK INTERNATIONAL - Created an Operational Risk Framework based on the COSO Framework and Basel II incorporating risk assessment (bottom-up and top down), incident management, key indicators, risk reporting and monitoring to benefit business managers, and internal and board level risk committees

CREDIT SUISSE - Forged strategic partnerships with Operations, Legal and Compliance, Privacy, Audit and IT Risk and Accounting to lead the creation of the Business Risk Management function for Private Banking operations in the United States and re-engineered incident reporting processes for the Private Bank in the United States

UBS - Developed and deployed Supervisory Policies and Procedures to strengthen write-offs and supervision of client accounts, reengineered Sarbanes Oxley program and testing to align to the control framework, key indicators and regular risk reporting and monitoring

SOCIETE GENERALE – As the Controller at this multinational banking and financial services company based in Paris, recruited and trained staff dedicated to managing operational risk, monitoring budget variances, audits, and management reporting.

PROFESSIONAL EXPERIENCE

BANK OF THE WEST, SAN FRANCISCO, CA (2015 to Present) Senior Vice President, Operational Risk Management Responsible for leading teams in the execution and management of the operational risk management program with the Bank of the West’s business lines (Wealth Management, Retail and Commercial Banking) and Risk Management Group. Leads internal audit and regulatory tracking, reporting and implementation of business line issues.

Reorganized the Operational Risk Management Team, transitioning the group to a second line function and taking steps to bolster effectiveness, program knowledge, and business knowledge to become trusted advisors.

Trained first-line operational risk management teams. Meeting clients’ needs.

Partner with business lines and 2nd line control functions to drive enhancement of the Banks control environment and risk mitigation capabilities

Oversee the enhancement and implementation of the operational risk management program processes relating to risk control self-assessments, new activities, key indicators and governance that provides efficiency and transparency in the assessment, monitoring and reporting of the banks control and risk environment to senior management and executive risk committees. THE CLEARINGHOUSE, NEW YORK, NY (2013 to 2015)

Senior Vice President, Enterprise Risk and Business Continuity Management Built and lead a team of risk professionals performing Enterprise Risk Management and Business Continuity functions; recruited based on a record of achievement in risk management and experience at Systemically Important Financial Market Utilities (SFMU).

Lead a process that aligned business and technology strategies with core firm objectives; implemented key indicators (KPIs and KRI’s) and dashboards to provide insight into performance against risk thresholds to managers, risk committees, and the Board.

Deployed specific dashboards that included the Governance Risk and Compliance System (RSA Archer) that provided detailed risk registers, metrics, incidents, regulatory issues and gaps for management.

Leveraged superior subject matter expertise to launch and lead a training program for Enterprise Risk Management, improving management awareness on roles and responsibilities of the 3 lines of defense to proactively identify, assess and address risks.

Oversaw all risk management reporting to internal and board risk management committees.

Assume a lead role in the management of relationships with regulatory agencies that included the FDIC, OCC, and FRB.

CLS BANK INTERNATIONAL, NEW YORK, NY (2011 to 2013) Executive Director of Operational Risk Management

Established and led a global team of risk managers for the largest multi-currency cash settlement system, tasked with performing risk self-assessments, model risk governance, risk reporting and monitoring for operations in New York and London.

Recruited to address Federal Reserve scrutiny of the risk management structure; leveraged industry experience to identify what was needed to rebuild the risk management framework using a mature and sustainable model

Used the COSO Framework as a basis for the design and deployment of an Enterprise Risk Framework governing the assessment, monitoring, and reporting of risk and performance to support executive decision making processes

Led, developed and delivered Risk Management Training, maturing awareness and ownership of operational risks for business leaders across the enterprise

Launched a Risk Framework to govern Project Management, working with the PMO to design and deploy risk components such as risk matrix, risk register and monthly project risk reporting

Worked closely with Federal Reserve Supervisory Examiners on continuous monitoring and periodic reviews of operational risk

CREDIT SUISSE, NEW YORK, NY (2009 to 2011)

Director of Business Management, Private Banking

Led the implementation of a comprehensive Business Risk Framework incorporating supervisory and SOX controls, risk self-assessment, key risk indicators, quality assurance testing and monthly business risk reporting.

Identified and implemented corrective measures to address weaknesses in operational controls within Private Banking USA and Latin America operations, specifically in Mexico and the Bahamas UBS, JERSEY CITY, NJ (2006 to 2009)

Director of Risk Management, Wealth Management Middle Office Served as the architect of the Risk and Quality Management function, leading the deployment of a risk control framework that delivered insights into the overall risk landscape to managers.

Championed the implementation of the Sarbanes Oxley Quality Assurance Project, leading all Middle Office businesses in the revision of SOX controls and risk metrics to address issues to do with business reorganization, process gaps and lack of procedures

Led Global Incident Risk Reporting training, educating personnel on the identification, quantification and reporting significant issues to business management and operational risk Early Career

Operations Risk Manager / Product Controller, Societe Generale, New York, NY Manager, Vice President of Internal Audit, Societe Generale, New York, NY Senior Manager and Vice President of Internal Audit, Credit Agricole Indosuez, New York/Singapore Assistant Vice President of Internal Audit, National Westminster Bank, New York, NY Analyst, Treasury Operations, Citibank NAIB, New York, NY Accountant, Controllers Group, Donaldson Lufkin & Jenrette, New York, NY Accountant, Controllers Group, Daiwa Securities America, New York, NY EDUCATION & PROFESSIONAL TRAINING

FORDHAM GRADUATE BUSINESS SCHOOL

Master of Business Administration, Concentrations Accounting and Corporate Finance MONTCLAIR UNIVERSITY - Bachelor of Science Degree in Management Credit Agricole Indosuez – International Management Training Program PROFESSIONAL AFFILIATIONS

Member, Risk Management Association

Board Member, Bridges Outreach

Serves on the Board of a nonprofit organization dedicated to eliminating social and economic divides between the housed and the homeless, feeding the homeless in NJ and NYC while providing outreach services. Contributes to the strategic direction and execution of the organization’s mission and coordinates engagement between communities and volunteers.

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