Operational Risk Management, Compliance, Process Excellence

Rachel Sirois

Menlo Park, CA 415-***-****

**************@*****.*** https://www.linkedin.com/in/rachelsirois/

Risk Management & Compliance Leader

Deliver effective & pragmatic solutions to prevent company losses

Collaborative problem solver and enthusiastic educator who uses process improvement, control identification and risk assessments with business to tackle challenging situations, meet regulatory requirements, and encourage productivity. Expert in identifying root cause issues and translating complex processes into clear, understandable, and actionable steps. Strong interpersonal skills, encouraging people to approach with concerns, collaborate with staff to ensure deliverables are met. Adaptable, quickly understand end-to-end workflow / process, including technology and business activity to identify key areas for improvement.

Policy & Governance

Operational & Business Analysis

Data Analysis

Process Development & Control Design

Risk Management Framework

Data Privacy

Change Management

Operational Audit

Regulatory Compliance

Professional Experience

AXA ROSENBERG INVESTMENT MANAGEMENT LLC., Orinda, CA 2004 to 2020

Global Asset Manager

Compliance Director 2014 to 2020

Executed annual monitoring and testing program to measure effectiveness of policies, procedures, and operational internal controls to protect clients and firm from policy and regulatory violations. Designed Compliance Program in collaboration with Chief Compliance Officer (CCO) with focus on enhancing risk culture, setting policies, issues, and actions management, risk assessments and governance. Appointed Data Privacy Officer for office.

Managed and established Compliance Monitoring Framework and Methodology, measuring, quantifying, and evaluating program and communicating with executive teams.

Delivered oversight and governance of Compliance program including including trade surveillance, marketing material review, fiduciary/ethical standards, privacy standards, conflicts, information security and record retention in order, maintaining overall competency of program for client’s staff, and meeting regulatory requirements, enabling SEC regulatory examination conducted to be successful and no deficiency letter.

Collaborated with CCO, designing compliance program, enhancing risk culture, issues, and actions management, control design, risk assessments, and governance, undergoing SEC audit with no deficiency letter.

Implemented privacy program, aligning with parent company, and educating 80+ staff on General Data Privacy Regulations (GDPR).

Championed development of culture of compliance, risk awareness, and data privacy, becoming point of contact for staff.

Established communication between business and regional compliance teams, creating comprehensive oversight approach to meet global regulatory requirements.

Defined and conducted annual policy review for 100+ staff and collaborated with business teams on amendments, ensuring strong governance.

Manager, Business Risk 2005 to 2014

Managed operational and business risk covering Singapore, Japan, London, and US offices. Implemented mitigating solutions to provide efficiencies, protection to firm, clients and align with parent company. Administered life cycle of Service Operation Control 1 (SOC1), annual assessment of operational and IT controls conducted by external auditors. Owned process for reported incidents. Determined root cause, resolution, and preventive measures.

Received successful Service Organization Controls (SOC 1) Report (on annual basis), informing firm and clients controls were operating effectively.

Rachel Sirois **************@*****.*** Page Two

AXA ROSENBERG INVESTMENT MANAGEMENT LLC. (Continued)

Implemented global procedures for trading activities with regional offices in US, London, Singapore, and Tokyo by collaborating and negotiating with senior management, cross-functional and cross-regional business teams. and developers.

Established process and workflow tool for reporting and managing Operational Risk incidents, improving transparency, creating additional mitigating factors, and producing metrics for senior management.

Recognized for critical role in third-party outsourcing launch for control identification and development and implementation of procedures.

Identified discrepancy with third-party provider by discovering root causes and implementing process changes which prevented cash shortages and saved firm money.

Advised senior management and stakeholders on risk and control management, addressing culture improvements and control design and implementation, improving internal processes, facilitating growth, operational activities, and meeting regulatory requirements.

Administered global life cycle of SOC 1, annual assessment conducted by external auditors on internal operational and IT controls to produce SOC 1 Report by collaborating with offices in Tokyo, London, Singapore, and US.

Management Consultant (Converted to FTE at AXA Rosenberg), London, UK 2004 to 2005

Conducted thorough review of bespoke post-trade compliance tool to confirm data was captured correctly and algorithms were operating as expected. Coordinated workshops and interviews with staff members to determine responsibilities and interactions among business units. Defined, developed, and documented detailed local operational processes and procedures and provided record management recommendations to senior management.

Completed post-trade compliance tool review and provided recommendations to business, leading to implementation.

Documented business procedures for London compliance needs, becoming template for capturing global procedures, convincing company to move me to head office and start larger SOC 1 project.

Education, Professional Development & Certificates

Bachelor of Arts (BA), Communications, University of Calgary, Canada

Artificial Intelligence for Everyone, Deep Learning AI

US Privacy Training Course, International Association of Privacy Professionals (IAPP)

Crucial Conversations, VitalSmarts, University of California, Berkeley

Management Course, University of California, Berkeley

Statistics, University of Berkeley, CA

Project Management, IPS Learning, Orinda, CA

Project Management Certificate, IPS Learning, Calgary, Canada

Technical Skills

Software:

My Compliance Office (MCO) CRM (Salesforce) and Workflow Systems (Metasolv and Teamtrack); Administration in ORS (error reporting tool)

Applications:

Microsoft applications: Visio, Excel, Project, and Word; Knowledge of Latent Zero (post-trade compliance tool); Familiarity with support / ticketing systems

Professional Affiliations

Member of International Association of Privacy Professionals (IAPP)

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