Branch Manager Service Representative

NIDHI SHAH, MBA

Charlotte, NC 301-***-**** adj5qj@r.postjobfree.com

https://www.linkedin.com/in/nidhikshah-mba/

ACCOMPLISHED RISK AND COMPLIANCE EXECUTIVE

Driving significant results through dynamic foresight, strategy and leadership of teams and programs

§ Highly successful and committed management leader with broad-based expertise in building and leading effective strategies for governance, risk, and compliance, delivering groundbreaking advancements that safeguard enterprise organizations from loss.

§ Expertise in leading the implementation of strategies to strengthen, protect, and expand risk frameworks to meet the needs of enterprise organizations; with Equitable, developed an infrastructure of risk assessments, internal controls, reports, and notifications.

§ A demonstrated record of success establishing relationships and motivating teams to produce consistent results in a series of roles with Equitable, Morgan Stanley, and Fannie Mae. AREAS OF EXPERTISE

Seasoned Enterprise Risk Leader

Driving Success in Large Fortune 500 Organizations Skilled in Business Analysis/Process Improvement

Overseeing Risk Management Strategies and Execution Defining and Enforcing Risk Policies and Procedures Key Advisor to Executive Leadership

Training Employees on Areas of Risk

Builds and Leads Strong Teams

Skilled in Third Party Risk Management

Managing Compliance Programs

Professional Experience

2019 to Present • EQUITABLE CHARLOTTE, NC

Equitable is an independent financial services company. The company, through its subsidiaries, provides advice, protection, retirement strategies, and investment-management and research. Director of Operational Risk

Leads vision, strategy, and execution for all facets of operational risk, with a scope of authority that includes the development of processes, policies, and best practices, the implementation of risk assessments and internal controls, and the execution of system projects.

• Credited with building risk frameworks that continually minimize long-term exposure and safeguard the company from loss.

• Served as the architect of comprehensive risk assessments, internal controls, and reports and notifications that are triggered by multiple risk threshold levels. Additionally, introduced a risk and control self-assessment program.

• Designed and launched the RCSA module for the RSA Archer GRC tool.

• Authors summaries, reports, and presentations providing insight for the Board of Directors on risk incidents and response initiatives.

• Assumed a lead role re-engineering third party risk management processes to measure and track vendor risk, including formal documents outlining roles and responsibilities with respect to risk acceptance and remediations.

• Manages quarterly meetings of the Integrated Risk Management Steering Group encompassing the CEO, COO, CIO, managing directors, and the Credit Risk Officer. Convenes stakeholders to discuss high-level risk incidents and resolutions. Top Risk Strategist

Internal Controls

Third Party Risk

Regulatory Compliance

“Nidhi is a dedicated, hard-working,

detailed oriented leader who values

excellence, consistency, and

creativity in her work. As a subject

matter expert, Nidhi is leaned on for

her knowledge and experience while

she also works to educate and

develop other team members. As a

decision maker, she is a team player

who is able to build consensus to

move projects forward.”

NIDHI SHAH Page 2

• Currently revising the Severity Assessment Table, which is used to measure economic, reputational, and regulatory risk, to provide more effective insight into potential exposure. 2015 to 2019 • MORGAN STANLEY BALTIMORE, MD

Morgan Stanley provides diversified financial services on a worldwide basis. The company operates a global securities business which serves individual and institutional investors and investment banking clients. Morgan Stanley also operates a global asset management business.

Director of Operational Risk

Hired to manage and reinforce the firm’s risk environment within the Capital Markets Core Processing Division. Exercised responsibility for risk management, regulatory compliance, policy and process development, training, and risk assessment. Effectively managed a team of four interns.

• Partnered with key stakeholders throughout the organization to build and deploy risk governance processes and best practices to ensure alignment with company policy and federal regulatory requirements.

• Contributed to the success of internal and external audits, working with multiple teams to remediate findings.

• Supported new product launches through the review of data, identifying risk trends to bring to the attention of senior managers and decision-makers.

• Served as a trusted advisor and subject matter expert, providing training to colleagues and employees on risk management, internal controls, and mitigation programs.

• Executed comprehensive reviews of manual and automated tools, desktop procedures, and checklists to identify opportunities to improve risk management. Collaborated with process owners to identify and address gaps.

• Prepared teams for audits, developing process overviews and an audit tracking sheet to ensure compliance.

• Innovated a macro that extracted key information from three sources to identify soon-to-expire policies, procedures, and training with the potential to impact regulatory compliance with SEC and FINRA requirements. 2013 to 2015 • FANNIE MAE WASHINGTON DC

Fannie Mae is a United States government-sponsored enterprise created to expand the secondary mortgage market by securitizing mortgage loans as Mortgage-Backed Securities. Operational Risk Analyst

Fulfilled a critical role bolstering operational risk management and minimizing exposure to losses through a winning combination of strategic planning, gap analysis, root cause analysis, corrective actions, and training. Led data analytics to identify trends and risk events for integration into division-level board reports.

• Coordinated and led reviews of quality, risk incidents, and data trends, serving as the foundation for broad process and system improvements.

• Maintained compliance with Federal Housing Finance Agency guidelines and regulations through the adoption of standard operating procedures and policies. Developed a macro to automate the production of monthly reports for submission to the FHFA, lowering the production cycle from 50 hours to two hours.

• Led the training of staff members and new employees to build competencies in standards, RCSA, corrective actions, and remediation plans. Created a plain-language FAQ that simplified the explanation of operational risk incidents and response protocols.

Early Career

Branch Manager, Financial Advisor, Sales Assistant, Customer Service Representative, Sandy Spring Bank, Onley, MD Education & Professional Licenses

UNIVERSITY OF MARYLAND UNIVERSITY COLLEGE

Master of Business Administration

UNIVERSITY OF MARYLAND

Bachelor of Science Degree in International Business, Marketing, Communications & Finance FINRA Series 7

Contact this candidate