Risk Assessment Management

BRIAN P. FLYNN

AƩleboro, MA ***** 508-***-**** flynnb65@gmail.com

COMPLIANCE & RISK MANAGEMENT

Driven and detailed professional with global quality and compliance analyƟcal experience. Self-moƟvated with high standards for accuracy. Ability to project manage in cross funcƟonal, matrixed environments, work independently and as part of a team. Excellent communicaƟon skills to share informaƟon with all levels of an organizaƟon. SKILLS

• Audit Planning and ExecuƟon • Corporate Policies & Procedures • Data Privacy

• FCPA, AnƟ-kickback • CMS Open Payments • Risk Assessment & RemediaƟon

• Compliance & Risk Training • Project Management • Metrics ReporƟng & Status Dashboards PROFESSIONAL EXPERIENCE

NovarƟs Cambridge, MA May 2017 – February 2023

Risk and Compliance Manager

Researched and analyzed regulatory trends and new legislaƟon (e.g. transparency, FCPA, privacy) and communicated updates to internal business partners.

Coordinated annual Risk Assessment and controls tesƟng and risk review. Implemented a monitoring program to contracts (FMV, Sunshine Act, Legal review)

Coordinated internal/external audits and Ethics Integrity & Risk Program review, reported findings and proposed remediaƟons to senior management.

Created, presented, and managed compliance training for company employees on a variety of internal policies and external regulaƟons. Partnered with HR to administer in-person Ethics and Compliance training for all new hires. Provided training metrics to senior management (LMS system).

Developed and maintained company SharePoint site for Legal and Compliance Teams. Managed internal compliance communicaƟons (Systems used: SharePoint, Yammer, SCALA). HOLOGIC INC. Marlborough, MA 2015 – 2017

Commercial Contracts - Compliance Coordinator

DraŌed and negoƟated contracts. Partnered with Legal and other internal departments to support the negoƟaƟons of customer contract and RFPs, and to ensure consistency with Hologic’s terms, condiƟons, policies, and procedures.

Designed and implemented policies and procedures for the tracking and enforcement of compliance for all 2,000 surgical commercial contracts (regulatory requirements spend/volume etc.). IdenƟfied $1,2mm revenue shorƞall due to noncompliance.

Trained staff on contract compliance and remediaƟng performance deficiencies.

Provided detailed analyƟcs using Salesforce and Oracle Business Intelligence (revenue, TAT, complexity). STATE STREET GLOBAL ADVISORS Boston, MA 2012 – 2015 Compliance Analyst AVP

Compliance Subject MaƩer Expert for all client contracts. NegoƟated investment guidelines for coding into guideline management system.

Developed and administered annual compliance training for all SSgA employees (Code of Ethics, Code of Conduct, AnƟ- Bribery).

Prepared responses to Requests for InformaƟon and Requests for Proposals focused on data privacy, Managed AnƟ-Money Laundering (AML), Office of Foreign Assets Control (OFAC), and Code of Ethics adherence.

Conducted annual risk assessment. Reviewed data privacy control documentaƟon, including design assessment, and tesƟng performed by team to ensure adherence to the methodology. Page 2

CITIZENS BANK Cranston, RI 2009 – 2012

AnƟ-Money Laundering Analyst Team Lead

Supervised a team conducƟng reviews for anƟ-money laundering and Know Your Customer due diligence for all new clients and correspondent banking relaƟonships.

Streamlined process for new client onboarding and account closures. Improved efficiency and significantly reduced process Ɵme.

Conducted Office of Foreign Assets Control (OFAC), PoliƟcally Exposed Person (PEP) and World-Check Screening of new banking relaƟonship customers.

Trained and consulted with relaƟonship management team regarding AML and SancƟons compliance. ADDITIONAL EXPERIENCE

WELLINGTON MANAGEMENT COMPANY Boston, MA

Regulatory Analyst - Legal

STANDISH MELLON ASSET MANAGEMENT Boston, MA

Compliance Analyst

INTERAC Osaka, Japan

Cross-Cultural Business Consultant

EDUCATION

BOSTON UNIVERSITY Boston, MA

Master of Business AdministraƟon (MBA), CommunicaƟon PROVIDENCE COLLEGE Providence, RI

Bachelor of Arts (BA), Economics

Bachelor of Arts (BA), HumaniƟes, Spanish and Japanese ConcentraƟons KANSAI UNIVERSITY OF FOREIGN STUDIES Osaka, Japan Study abroad – Business, Japanese

Languages

• Japanese and Spanish

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