CRAIG R. SPIELMANN

***** ****** *** *****, ****** LAKE, CA 92587

ad1p8z@r.postjobfree.com

951-***-****

HTTP://WWW.LINKEDIN.COM/IN/CRAIGSPIELMANN

RiskTao LLC 2017 – Present

CEO/MD Consultant

>Manages RiskTao business, sets strategy, and executes on all client assignments.

>Chaired major risk conference streams for the Center for Financial Professionals (CFP).

>Presented risk topics such as ESG, Scenario Analysis, RCSA, GRC, Technology Risk, and Multiple Event Simultaneous Scenarios.

>Advises firms on ESG, ERM, FinTech, ERM and GRC industry trends and best practices.

>Risk Intelligence Officer contracted by CNM LLP (2020 – 2023) for the following:

CNM staff to deliver superior risk management practices to its clients.

Oversees critical client risk projects to ensure client success.

Assist “C” suite clients to develop critical business strategies.

Develops ongoing and continuous ERM & ESG training to maximize client awareness.

Builds strong IT Risk & ERM practices that align risk to business goals.

Designs holistic risk frameworks to triangulate risk analytics, elements, and appetite.

Consults on all aspects of GRC solutions from RFP to post implementation.

Conducts efficiency and effectiveness assessments on risk organizations.

Provides specialized risk awareness training to senior management and staff.

Manages regulatory issues to ensure quality, completeness and 100% on-time metric.

Interviews senior executives to risk assess their business goals against risk appetite.

Conduct all aspects of risk assessments to create audit and risk group annual plans.

First Data Corporation 2015 – 2017

Global Head of Enterprise Risk Management Strategy

>Developed strategy for the Global ERM program, including ERM Framework, Technology, Training, and Board/Executive Communications.

>Conducted several “Top Risk Assessments” for which identified material risks and effective remediation plans for FDC’s senior managers, the Board, and Risk Committee. These included: Cyber, BCP/DR, Strategic Business Partnerships, Third Party Risk Management and Technology Management.

>Designed and managed GRC (Archer) development and production management. Built a client development committee to manage and prioritize development pipeline. In addition, developed advanced automated analytics and reporting based on Risk Data Aggregation (RDA) principles.

>Built the Enterprise Risk Framework; Risk Appetite, Issue Management, Risk & Control Self-Assessment, Scenario Analysis, Internal and External Loss Events, New Product Approvals & ERM Training Program.

>Advised two of First Data’s major joint ventures by developing a “business risk assessment process” which was “goal focused” and covered material risks to their business and P&L goals.

>Ran highly sensitive scenario analysis exercises to determine strategies for major client risk events such as credit defaults, cyberattacks, and liquidity risk.

>Recommended the creation and participated in the “Monthly Technology Risk Governance Committee,” which FDC’s President chaired to remediate material technology risks.

Royal Bank of Scotland. 2011 – 2014

Global Head of Operational Risk Systems and Analytics 2013 – 2014

>Developed and implemented an ORM reporting & analytics solution that supported Risk Data Aggregation (RDA) and was a key interface to the UK & US regulators.

>Created an automated risk analytics tool that delivered critical risk reports to all RBS businesses and central banks.

>Chaired the “Global ORM Technology Committee,” which managed the ORM development agenda.

Head of Operational Risk – Americas 2011 – 2013

>Successfully led the closure of the FRB’s Cease & Desist Order for Americas’ Operational Risk.

>Drove “cultural change” that enhanced senior management’s understanding of business risks.

>Successfully represented Risk on “RBS’s Compensation Initiative” which was approved by the FRB’s Board of Governors. This was a major project that identified covered staff and tied pay to risk and performance objectives.

>Provided governance and oversight for regional committees such as: Americas Compliance & Operational Risk Committee, Vendor Risk Management Committee, IT Risk Committee, Compensation Committee, Trading Control Committee, Basel II Capital Committee, New Product Approval Committees.

>Represented and managed the relationships for RBS ORM with all US regulatory agencies.

PCubed LLC 2009 – 2011

NA Financial Services Industry Practice Leader

Head of NY Office

>Hired to set strategy, develop sales, and project management practices, and risk programs.

>Advised firms on major risk, project management, and commercialization initiatives.

>Led the Financial Services sales and program management team for the Americas.

CITI 2006 – 2009

CAO/Head of IT Risk Management, Global Technology Operations

>Recruited to create and centralize the risk management function including setting strategy, develop risk governance programs and risk framework, and respond to internal audits and regulatory exams.

>Drove the organization to “perfect audit rating” and improved action plan performance latency to “0.”

>Chaired the cross-business “Electronic Communications Committee” that monitored CITI’s compliance with “Chinese Wall” restrictions.

Fitch Ratings/Algorithmics 2005 – 2006

Head of Global Client Services

>Recruited to manage client relationships, operational risk advisory, P & L, and quality assurance.

>Provided ORM consulting services to major financial institutions to improve their ORM programs.

>Consulted with major international institutions to improve the effectiveness of their ORM program.

J.P. Morgan 1989 – 2005

Risk Business Leader & Executive 2000 – 2005

>Founder and head of JPM’s Horizon’s Risk Business and responsible for leading all business aspects, including Sales, P&L management, software development, business & product strategy, and maintaining “C” level client relationships.

>Designed and commercialized Horizon’s software and methodology.

>Initiated and led JPM’s Horizon Operational Risk Advisory business that grew from an internal solution to a market leader and enhanced JPM’s brand as “Best Bank for Risk Management”.

>Cited in 1999 Chairman’s Letter to Shareholders as “model of innovation” and received a US patent.

>Developed and managed critical senior client relationships which included US Federal Reserve, Merrill Lynch, JP Morgan, The World Bank, Freddie Mac, Bank of China, HKMA, Swiss Re, Prudential, Bank of Tokyo – Mitsubishi, BP, Kasikorn Bank, QNB, Prudential, Credit Suisse, and Bank One.

Head of Information Technology Risk Management Group 1996 – 2000

>Selected by CIO to create JPM’s first Information Technology Risk Group that focused on IT governance, board reporting, and managing internal and external regulatory relationships.

>Designed and delivered the global Technology Risk & Control Self-Assessment (RCSA) program.

>Devised a key risk indicator daily report that measured technology’s risk performance.

>Chaired the “Global Business Technology Risk Committee”, charged with managing enterprise technology risk.

Head of Emerging Technology Audit Group 1989 – 1996

>Led innovative approach to auditing “technology as a business” by evaluating client and major vendor risks.

>Represented Audit & Controls in the Pinnacle Alliance selection for outsourcing a third of JPM’s technology, resulting in saving $200M per year, improved technical capabilities, and improved performance.

Education: Iona College, Bachelor of Arts, Double Major: Communications & History

Certifications: Certified Information Systems Auditor (CISA) (0977043)

US Patent Inventor: Method & System for Managing Risk (US7113914b1)

Advisory Boards: CeFPro Operational Risk and Fintech Advisory Boards

Other:2nd Degree Black Sash in Northern Shaolin Kung Fu & Tai Chi

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