Financial Services Data Privacy

Robbi D. Nagel

New York, NY 917-***-**** **********@*****.***

EXPERIENCE

Global Growth, New York, NY October 2022 – March 2023

Global Growth is a $2 billion-dollar global investment firm operating in more than 20 countries and employ more than 7500 people worldwide.

Chief Compliance Officer

Hired to develop and oversee the entire global corporate compliance department.

Wrote and rolled out the code of conduct, global corporate policies, and required live training.

Responsible for all areas of data privacy and record retention to ensure compliance with all country/state regulatory and legal requirements.

Completed corporate-wide compliance risk assessment.

Responsible for building a group and program.

Created a taxonomy for all areas of corporate policies.

Guided CEO through potential compliance issues throughout litigation.

Trained the Global team on compliance matters.

AmTrust Financial Services, New York, NY May 2014 – September 2022

AmTrust Financial Services is a $6.08 billion-dollar multinational property and casualty insurance company with over 6000 employees worldwide.

Deputy Chief Compliance Officer

Responsible for global regulatory and compliance organization and in support of all regulatory and compliance functions.

Created the company's first centralized ethics program to ensure a culture of integrity, which resulted in the following sanctions group, investigations group third party group, hot line program, data privacy group and all required policies, processes, and code of conduct.

Executive lead for the data privacy project to ensure compliance with all country and state data privacy laws.

Developed record retention policy and schedule. This initiative led to “best business practices” for a corporate wide retention program.

Developed and created the company first data privacy group, and established processes and procedures to ensure compliance with all state and global laws and regulations.

Responsible for all sanctions compliance and clearance of any potential hits/violations

Implemented enterprise-wide risk-based approach to oversee asset management compliance controls, including ongoing assessment, and compliance with securities and related laws.

Led the development of a comprehensive third-party due diligence program, including assured coordination with compliance in all underwriting, payments, and M&A transactions.

Hess Corporation, New York, NY November 2000 – March 2014

Hess Corporation is a $6.35 billion dollar leading global independent energy company engaged in the exploration and production of crude oil and natural gas worldwide.

Senior Compliance Officer, Global Compliance December 2008 – March 2014

Worked directly with Executive Team to write, and formalize a new Code of Conduct, which was approved by the Board of Directors and distributed to all employees globally.

Co-chaired a successful proposal for a Corporate Ethics and Compliance program reporting directly to the Audit Committee of the Board of Directors.

Partnered with Internal Audit to conduct targeted audits and risk assessments in order to continually refine the global compliance program agenda and address identified gaps.

Directed the corporate-wide anti-bribery/anti-corruption program.

Conducted global training in China, India, Indonesia, Singapore, Thailand, the United Kingdom, and the United States.

Centralized all corporate policies into a repository, developed a taxonomy of all essential policies, and wrote and developed any missing and/or outdated policies.

Ensured external payment approval processes functioned in line with corporate directives related to global anti-corruption laws (FCPA, UK Bribery Act) and global sanctions.

Led transactional and third-party due diligence Know Your Customer (KYC) and Customer Identification Programs (CIP), including anti-money laundering procedural assurances.

Administered global training development and deployment programs on general corporate compliance and ethics issues, including antitrust, anti-boycott, privacy, and "speak-up" programs as well as code of conduct training and certification process. These programs directly resulted in <fill in>

Managed global hotline oversight, investigation, and reporting processes.

Managed a team based in Bangalore, India, in developing original and interactive online global training programs in Anti-boycott, Antitrust, and Social Responsibility and developing an online interactive version of the new Code of Conduct.

Acted as corporate compliance liaison for export control review and case coordination.

Supervisor, Internal Audit December 2006 – December 2008

Tasked with reintroducing internal audit back in-house and leveraging relationships across the corporation to ensure the transition from the prior outsourcing function was seamless.

Led operational and compliance audits for Marketing & Refining and Corporate divisions, including international and domestic activities, FCPA, and Sarbanes Oxley compliance.

Completed the design of audit programs for all divisions, including both the upstream and downstream businesses.

Issued audit reports identifying possible areas of weakness and presented findings to Executive Senior Management.

Senior Compliance Analyst February 2005 – November 2006

Identified, mapped, and documented key processes in the Corporate, Trading, and Marketing & Refining division.

Interviewed key members of senior management and business unit leads to determine deficiencies for Sarbanes-Oxley purposes.

Supervised three external auditing consultants.

Identified and tested financial controls and processes to support compliance audits.

Implemented process improvements throughout the entire enterprise.

Senior Contract Analyst November 2000 – January 2005

Responsible for developing strategic master trading agreements and General Terms and Conditions together with drafting and maintaining various transaction confirmations for physical and derivatives energy commodities.

Negotiating and drafting ISDA's and NAESB's master agreements.

Whiteman Breed Abbott Morgan, New York, NY January 1999 – December 1999

Corporate Bankruptcy Attorney

Congressman Barney Frank, Washington, D.C January 1992 – December 1993 Congressional Aide

EDUCATION

Widener University Delaware Law School

Juris Doctor

University of Massachusetts Amherst

Bachelor of Arts in Political Science/Legal Studies

Bar Admission – New York

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