Management Risk

Consultant, Operational Risk Office, Guardian Life Insurance, New York, NY 4/16 – Present

Design and implement Operational Risk Management Framework, Third Party Risk Management Framework and Information Security Risk Management Framework leveraging the following best practices and frameworks/Guidance: COBIT, COSO, OCC 2013-29, ISO 31000, etc.

Perform Information Security Risk assessment of vendors by leveraging the results of the following reports and certifications: ISO 27001, SOC1, SOC2, PCI-DSS Bridge Letters, Vulnerability Testing Reports, vendors’ policies and procedures, etc.

Provide guidance to the business on vendor assessment findings critical to risk acceptance

Monitor the remediation of assessment findings and perform annual recertification of vendor information security controls

Issue risk determination and assessment commentary to the lines of business which qualifies the vendors to enter into contract with the Guardian Life Insurance Company

Senior Risk Consultant, Computershare, New York, NY 3/15 – 1/16

Supported the US Chief Risk Officer in the design and implementation of overall Enterprise Risk Strategy, leveraging COSO, ISO31000, other operational risk best practices and coordination of several risk initiatives:

Standardization of the US Enterprise Risk Landscape and coordination of collation of risk data for the quarterly risk committee meetings

Creation of Risk Registers (Risk & Controls Library) across all US businesses

Alignment of the US Enterprise Risk Landscape and Risk Appetite (metrics and thresholds) to the group-level Enterprise Risk Landscape

Risk Appetite Framework for the US business leading to the development of Key Risk and Performance Indicators (KRIs and KPIs)

Sr. Consultant, Third-Party Risk Management, Capco, New York, NY 6/14 – 2/15

Designed and Implemented Third-Party Risk Management (TPRM) Framework at a large global bank

Serve as a Subject Matter Expert for the adoption of OCC Bulletin 2013-29, Third-Party Relationships: Risk Management Guidelines

Performed compliance testing for client’s existing Vendor Risk Management programme in response to an OCC/FRB Matter Requiring Attention (MRA). Testing parameters included, but were not limited to, materiality of contract, existence of policies and procedures, annual training validation, approval requirements, documentary evidence, override requirements, business continuity planning and testing, exit strategy, and customer complaints tracking

Assisted in the creation of UAT requirements/Scenarios and the Testing of UAT Requirements/Scenarios

Collaborated with Audit (to develop audit requirements) and First & Second Lines of Defence (1LoD, 2LoD) to develop Remediation Plans for the closure of MRA, issued by the OCC and FRB, and Internal Audit Findings and assisted in the creation of TPRM Policies, Procedures and End-User Training Documents

Operational Risk Manager, Genpact, New York, NY 9/12 –6/14

Prepared and distribute monthly and quarterly management reports – Monthly Risk Tolerance Reported Monthly Business Unit Supplier Risk Management Governance Report, and Quarterly Operational Risk Management Report (Third Party Risk Management)

Performed ongoing credit risk analysis (using financial statements – balance sheet, cash flow, income statement – D&B, Rapid Ratings reports) of third-parties for financial due diligence (pre-selection) and ongoing monitoring (continuity of contractual relationship)

Developed and maintained an Operational Risk Assessment model consistent with Operational Risk Assessment Policies and Procedures – Financial Assessments, Business Continuity Planning, Information Security, and Compliance Assessments (Third Party Risk Management)

Collected, collated, parsed and analysed relevant risk data for the Supplier Risk Management Group and served as the ‘point-person’ for risk data (Third Party Risk Management)

Third-Party Risk Management Created an Internal Control Questionnaire (ICQ), integrated ICQ responses into a quantitative risk assessment model, performed Risk Assessment, updated Policies & Procedures for Operational Enterprise Risk Management, and created an Audit Framework (Policy)for Non-Consolidated Joint Ventures (NCJV)

Conducted walk-throughs, reviewed process flow, performed Root Cause Analysis on real and potential scenarios that triggered duplicate payments, and recommended a blue print for remediation

SOX Testing for Marketable Securities, Financial Reporting, Financing Receivables, Revenue Recognition, Equity Partnership, Underwriting, Long-Term Borrowing, Asset Impairment, Restructuring & Sales, and Entity Level Controls

Prepared process narratives and conducted walk-throughs with the various process and control owners; selected sample sizes and conducted Test of Design (TOD or Test of One) and Test of Effectiveness

Sr. Associate, Capital Markets Advisory, PwC, New York 8/10 – 02/12

Operational Enterprise Risk Management engagement to review compliance with firm’s policies and procedures around Trading Limits, Covered Products, Segregation of Duties, Hedging and methodologies for calculating Key Performance Indicators (KPI) and Key Risk Indicators (KRI) – Cancels & Amends, Late P&L Sign-Off, Past Due Issues, Number of Loss Events with P&L Impact, Trade Fails.

Trade Life-Cycle review and operational effectiveness at the subsidiary of a global broker dealer for the purpose of ensuring that daily operations and processes were consistent with written policies and procedures. This involved back-testing trades, performing gap analysis on the Straight-Through Processing (STP) model, Trade Life-Cycle activities including but not limited to trade capture, Cancel/Corrects, Rate Resets, settlement, and tracking and reporting of Key Risk and Performance Indicators during every stage of the trade life-cycle

Associate, Financial Risk Management, KPMG, New York, NY 5/07 - 7/10

Finance integration for FX line of business (LOB) at a leading US bank holding company after the acquisition of a US broker dealer. The scope of this engagement was to integrate the FX systems and processes into the firm approved Target Operating Model.

Anti-Money Laundering (AML) analysis and review of a major US retail bank. The scope of the engagement was to perform daily analysis and review of surveillance items flagged as potentially suspicious transactions, and prepare Suspicious Activity Reports (SAR) on clients whose activities appeared to circumvent Currency Transaction Reporting guidelines

P&L Specialist, Citco Fund Services, New York, NY 3/06 – 5/07

Performed valuation, price verification, reconciliation, reporting and PnL analysis for a cross-section of financial securities and funds

Reviewed positions and P&L with client and provided PnL attribution (accounting) for positions with swings exceeding the daily tolerance levels

Derivatives Operations Analyst, Lehman Brothers, New York, NY 11/04 - 3/06

Performed pricing and settlement of interest rates derivatives (Vanilla Swaps, Currency Swaps, Credit Default Swaps, and Exotic Swaps – Range Accrual, Total Return, Cap/Floors, etc)

Responsible for reconciling and monitoring all cash and trade breaks/exceptions between internal systems and external custodians

Market Researcher, Reuters Data, New York, NY 3/03 - 11/04

Maintained and priced treasury, money market and contributed data from various data vendors

Education

Certified Compliance and Regulatory Professional – CCRP, Pace University, April 2016

MS –Financial Risk Management (2012), Queens College - CUNY

BA – Economics (2003) - Queens College - CUNY

Computer: MS Excel, MS Word, MS Powerpoint, VISIO, MetricStream, Archer, PEET, Sharepoint, SQL

Languages: English (Fluent), French (Intermediate)

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