Project Manager

Mark A. House

* **** ******, ********, *** YORK *0528 / TEL: 914-***-**** / EMAIL: ********@*********.***

EXPERIENCE:

Royal Bank of Scotland, Stamford, Connecticut

Vice President, Compliance Program Manager (March 2013 – December 2015)

Drove build out of RBS Americas, a virtual holding company, to oversee Americas Divisions for Regulatory Risk and cross functional work feeding into Operational and Enterprise Risk frameworks (RBS Investment Bank and Citizens Financial Group (CFG))

Executed and adapted Global Conduct Risk Reporting in the Americas, by incorporating new KPIs, regulatory issue tracking/remediation and provided process improvement on control environment reporting relative to Conduct Risk framework

Worked with the RBS Americas Compliance Assurance team, specifically led testing of weighting and aggregation for Compliance Risk Assessment during Assurance’s review of the Compliance Program for CFG

Partnered with Operational Risk on development of KRI and KPIs and emerging risks reporting for the RBS Americas Compliance and Operational Risk Committee

Created Americas compliance exam process templates for Federal Reserve Bank Reviews, such as

SR 08-8

Developed Risk Assessment reporting tool based on SME feedback for specific regulations or regulatory bodies (Dodd Frank Act, Federal Reserve Regulations, FINRA, SEC, Regulation W) affecting RBS Securities Inc. and RBS plc

Led project management initiative, gathered requirements, recommended vendor and created business case for Global Governance, Risk and Control System (GRC) for RBS

Advised CFG on Compliance Program development and PMO reporting on compliance control build outs for Broker Dealer, Wealth Management and technological initiatives

Reviewed CFG’s Regulatory Developments and Change Program and Regulatory Relations framework, advised potential solutions for gaps within the processes and oversaw creation of executable project plans with milestones to remediate gaps

Worked alongside Compliance advisors and gathered requirements relating to business and functional activities to determine impact on the Compliance framework and controls for CFG

Partnered with RBS first line business risk, aggregated both Americas’ divisions legal entities swap trade volume reporting outside of RBS plc swap dealer trading for potential CFTC swap dealer threshold

Advised CFG Compliance advisor on creating ongoing governance for reviewing regulated legal entities with minimal activities for covered funds and proprietary trading activities

Assisted in drafting CFG Volcker Compliance Program policy relating to Front Office and Compliance roles and responsibilities for their respective procedures, controls and KPIs/reporting

Pcubed, New York, New York

Project Management Consultant, Financial Services (March 2011- March 2013)

Drafted SOWs, RFPs for clients and prospective clients

Wrote case study on Credit Suisse Project Process initiative for use in Pcubed marketing materials for prospective clients

Engagement: New York Road Runners

Successfully led initiative to replace disparate legacy transaction processing systems with .NET based system

Worked with accounting team to design and test automated transaction feeds into Sage based G/L

Managed SQL team for internal stakeholder data requests, created template for standardized deliverables to create consistency in reporting

Engagement: Credit Suisse – IT Chief Operating Office – Project Process

Coordinated US and Swiss stakeholder communications and implemented design feedback

Created swimlanes, use case scenarios and functional requirement documents

Led initiative to create internally developed software project process compliant with FASAB Federal Reserve Bank and Credit Suisse standards

Standard Chartered Bank, New York, New York

Financial Analyst, Global Markets Business Finance (Contractor) (June 2010 - March 2011)

Created front office sales and trader P&L report for senior management from multiple data sources

Maintained reconciliations for cross border accrual balances, cash settlement of bond receivables

Assisted in preparation of broker dealer journal entries for general ledger

Provided written commentary on P&L trends and projections

Challenged back office operations on data integrity for unusual profits and losses derived from transaction processing systems

SAC Capital, Stamford, Connecticut

Portfolio Management Reporting & Analysis (Contractor) (November 2009 - January 2010)

Analyzed and assisted in preparation of Portfolio Manager P&L statements for specific trading groups and strategies

Researched and verified allocation of expenses such as Bloomberg, FactSet, employee services, etc. to specific trading groups

Verified and calculated deferred compensation schedules for applicable employees

GE Capital, Norwalk, Connecticut

Asset Based Loan Portfolio Analyst (February 2008 - July 2009)

Analyzed client financial statements, asset liquidity, write-offs and payment of client’s liabilities

Forecasted & budgeted potential client ability to borrow through their EBITA, prior collateral positions and publicly traded financial instruments to comprehend client financial health and borrowing risk to GE

Was Team Leader for group project involved in constructing template to reconcile and calculate fees, accruals and amortizations from GE Healthcare loan acquisitions

Discovered additional revenue from GE Healthcare loan acquisitions via research of credit documents and internal memos

JPMorgan Chase, Mount Vernon, New York

Personal Banker (September 2006 – February 2008)

Analyzed customer financial needs for deposit products, collateralized loans, place trades for fixed income investments and mutual funds

Trained in retail AML and KYC

Assisted in managing daily branch operations and P/L for bank’s quarterly goals

EDUCATION:

Iona College, Hagan School of Business, New Rochelle, New York

M.B.A., Financial Management, 2008 Cumulative GPA: 3.8 in 4.0 scale (Financial Concentration GPA: 4.0 in 4.0 scale)

University of Dayton, Dayton, Ohio

B.A., Communications, Electronic Media, 2002 Cumulative GPA: 3.3 in 4.0 scale

COMPUTER SKILLS:

Usage of ACBS sub ledger system for commercial banking, use of Peoplesoft G/L system

Ability to use advanced Microsoft Excel functions, working knowledge of MS Access & Project

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