Risk Manager

SUMMARY OF SKILLS & QUALIFCATIONS

**+ years of experience as a Senior Risk Manager with a versatile background in financial services and energy industries

High proficiency in the following areas: RCSA Process Mapping, Risk Reporting and Monitoring, Operational Risk, Risk Assessments, Middle Office and Issue Management

Superior problem-solving abilities and team building, staff and intern mentoring success

Solid trading process/middle office knowledge, policy enforcement and articulate communication skills

EXPERIENCE

ARM Division Risk Manager

MUFG Jersey City, NJ 2017 – Present

Provided subject matter expertise to ARM (Americas Risk Management) on risk quantification and control documentation in the execution of the bank’s risk management framework

Participated in firm wide initiatives and provided second line review and challenge on Third Party Engagements, Issue Management, and Risk Identification and Risk Appetite governance process

Documented Risk and Control Self Assessments (RCSA) including Visio Process flows, Open Pages risks and controls linkage, metrics, and control testing results

Opened, reviewed and closed Management Self-Identified (MSI), Internal Audit issues and Regulatory MRA’s from Federal Reserve and OCC supporting 6 business divisions consistent with the banks Issue Management Policy

Managed End User Computing (EUC) registration and review process for ARM. Worked with model risk to properly register and risk rate calculators and analytical tools in Archer inventory system.

Acted as Open Pages point of contact for issue management analysis and administration including monthly issue status updates, internal and external losses and metrics tracking

NRG Energy Princeton, NJ 2013 – 2017

Trade Confirmations Manager (2015-2017)

Completed daily position and MTM reconciliation on power, gas, coal, oil and emissions futures/options/commodity derivative portfolio and resolve discrepancies for margin accounts

Executed Dodd Frank regulatory reporting to SDR of swaps, exotics and deals with physically embedded options on a daily and annual basis for end user

Led team of two analysts in T+1 ISDA paper and electronic trade confirmations validation.

Implemented use of PC Span and ICE Span to predict daily initial margin/collateral requirements on ICE and CME to within 2% variance

Performed end-to-end process review of three Futures Commissions Merchant accounts and documented procedures, serving as primary point of contact for these accounts

Streamlined daily reconciliation process to provide system generated side-by-side comparison at the contract level of FCM and in-house valuations improved transparency between risk, treasury and accounting and shortened daily review time by 25%

Acted as liaison between trading and IT to incorporate new product descriptions in initial margin calculations and position reconciliations

Project Manager-Risk (2013-2015)

Managed CCRM system upgrade for credit team within set timeframe and set budget

Credit and Risk Manager

Gateway Energy Services Montebello, NY 2009 – 2012

Established appropriate segregation of duties around natural gas and power trading group in creating

middle office function

Led two analysts in client onboarding credit reviews and commodity trade confirmations

Examine and mitigate operational and trading risk throughout the firm

Implemented third party pricing verification process for gas basis and ERCOT, PJM and NYISO locations

Established credit review criteria for new sales territories to minimize receivable risk to the company

Director / Head of Quality Assurance, Transaction Products

UBS Financial Services Weehawken, NJ 2006 – 2009

Spearheaded the creation of a new QA function and structure for the Transaction Products division within Wealth Management. Formulated processes to ensure full alignment with the division-wide risk initiative

Provide leadership and effective management of all FINRA and SEC regulatory inquiries while serving as the point person for internal/external audits and semi-annual Sarbanes-Oxley (SOX) self-certification

Determine and mitigate risk by maintaining compliance of all trading activity and ensuring proper documentation of procedures within wealth management

Conducted comprehensive RCSA/risk analysis of six business areas. Evaluated written procedures, created extensive Visio flow diagrams, assessed controls standards, risk metrics and incident reporting

Developed and disseminated supervisory manuals for three business groups

Controller

IBA Bernardsville, NJ 2004 – 2006

Successfully managed middle/back office operations for this commodities trading/international gas-marketing firm with responsibility for daily and monthly financial reporting and month-end accounting close processes

Oversaw all aspects of Sarbanes-Oxley compliance and risk management

Monitored Value at Risk (VaR) exposure

Reconciled daily broker balances for the Nymex trading account

Served as the primary contact and go-to resource for all auditors regarding Sarbanes-Oxley compliance and

financial statement audits

Senior Middle Office Analyst

Amerada Hess Corporation Woodbridge, NJ 2004

Delivered support to the natural gas and electric trading division as team lead

Produced daily P&L reports and assisted with confirmation processing

Played a key role as a member of a special committee charged with drafting new company-wide risk policy and ensuring Sarbanes-Oxley compliance

Updated and maintained complex deal valuation spreadsheets in Excel

Trading and Controls Supervisor

NUI Energy Brokers Bedminster, NJ 2001-2004

Performed daily portfolio valuation, P&L and VaR reporting for speculative and hedging natural gas trading group

Maintained gas storage facility valuation

Completed weekly basis pricing curve verification using independent pricing for validation

EDUCATION

FAIRLEIGH DICKINSON UNIVERSITY Florham Park, NJ

MBA, Concentration in Corporate Finance

SETON HALL UNIVERSITY South Orange, NJ

BS, Economics

LICENSE SERIES 3, SERIES 7, and SERIES 66 (expired)

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