ENTERPRISE COMPLIANCE RISK MANAGEMENT
Experienced Senior Business Analyst/Project Manager with expertise in scoping and implementing Enterprise Risk Management projects focused on Operational, Credit and Compliance Risk. Effective at challenging the business to enhance risk management and decision-making processes. Inclusive, collaborative, enthusiastic team builder.
Skills and Expertise
Enterprise Risk Management
Prioritize Portfolio of Projects
Control Testing/Ongoing Monitoring
Policies & Procedures Alignment
Business Process Improvement
Issue Management & Escalations
Compliance Risk Consultant 8/2019-10/2019
Citi, Independent Compliance Risk Management (ICRM), Jersey City, NJ
•Performed Check & Challenge controls evidence review for ICRM Comprehensive Strategic Plan Regulatory requirement including oversight of Corporate Policy Group and Regulatory Change Management functions.
•Successfully documented sustainability findings highlighting areas of compliance and weaknesses.
•Organized and managed meetings with stakeholders to review evidence and project deadlines.
Vice President, Enterprise Risk Management 5/2016-6/2019
Apple Bank for Savings, New York, NY
•Implemented ERM framework based on Bank’s risk appetite and strategic plan for regulatory requirements.
•Created business line RCSAs identifying key processes, risks and controls.
•Conducted control testing and prepared detailed documentation for audit, FDIC exams and ongoing monitoring.
•Created business line charter, policy and procedures templates and assisted with writing charters and policies.
•Prepared documentation for monthly Board Risk Committee and Board of Directors meetings.
•Implemented ERM learning to develop risk knowledge and skills.
Consultant, Risk and Compliance, Data Governance 3/2015-3/2016
Bank of New York Mellon, New York, NY
•Member of the Data Governance team responsible for managing business unit’s identification of critical data elements for data glossary, data tiering, metering, lineage and implementation of bank’s Data Governance tools.
•Enhanced the BCBS 239 Risk Data Aggregation and Reporting Framework and Bank Data Governance Policy.
Lead Consultant, Risk Practice 10/2012–2/2015
Capgemini Consulting, New York, NY
•Member of IHC PMO team responsible for setting up the PMO to monitor the status and progress of the IHC program for FBOs. Created an issue tracking list and assisted with IHC workstream’s project plans and Technology management reporting of IHC progress. Interfaced with multiple Business Units.
•Documented evidence findings, gaps and recommendations for ongoing Operational Risk Management validation process for workstreams: Policies and Procedures, Governance, Model Validation, Key Risk Indicators, Internal Loss Event Data, Scenario Analysis, Business Environment and Internal Controls.
•Performed BRCM role supporting business lines to ensure strict compliance with regulatory requirements and identify effective controls and monitoring plans to mitigate risks. Develop master plans based on compliance identified risks, execution of internal controls testing, reporting and escalation of testing results.
•Performed business analysis and project planning for Risk Capital, Stress Testing, CCAR, Risk Appetite regulatory requirements for the Federal Reserve Bank and OCC. Collaborated with business partners and technology teams.
Consultant, Enterprise Risk Management 1/2012 – 4/2012
Hudson City Savings Bank, Paramus, NJ
Developed Enterprise Bank Vendor Management and Records Retention Policies and Master Records Retention Schedule for OCC Regulatory Requirements to protect banks assets and reduce risk for regulatory inquiries.
Interfaced with business and operational units to analyze current processes.
Vice President, Credit Risk Management 6/2010-12/2011
Societe Generale, New York, NY
Conducted business analysis and project management for Credit Counterparty exposure monitoring initiatives. Created business requirements, UAT plans; interact with business and technology teams.
Managed Counterparty risk reporting review with Promontory Financial Consulting Group. Identified global reporting requirements for enhanced CP Credit reporting transparency for regulators and senior management. Performed Regulatory Reporting requirements for New York, Washington, DC FRB.
Vice President, Risk Management 4/2005-11/2009
Citi, New York, NY
Developed a strategy for a common integrated technology platform for the Global Consumer Bank SME (Small Medium Enterprises) Credit approval process in Europe and Asia.
Developed and implemented the U.S. Agency Lending Disclosure (ALD) 2006 Industry Project measuring risk exposure for Citi’s 35 Agent Banks and 8,000 Principal Lenders.
Managed business requirements process and user acceptance testing for Institutional Credit monitoring system, Loan Loss Reserve and Risk Capital applications, GMI futures implementation, Basel II.
Requirements Manager, Trading Systems 12/2003-4/2005
Bloomberg LP, New York, NY
Managed multiple projects for fixed income, equity ticketing applications, equity futures and order management client implementations. Business Analysis skills and project management skills.
Consultant, Global Securities Internet Strategy Group 1/2003-4/2003
Citibank, New York, NY
Performed business analysis for Global Transaction Management Portal in the Custody Business leveraging current functionality and identifying a client focused service model for new products.
Previous held positions at Merrill Lynch, New York, NY as Vice President in Institutional Technology and Global Operations
B.S., Business Management, Ladycliff College, Highland Falls, New York
Dale Carnegie Public Speaking, Highest Achievement Award
Member of the Risk Management Association 2016-2019
Thrive for Life Prison Project, NYC 2018-Present
Ranger Rosary Group, St Ignatius Loyola, NYC 2015-Present