Risk Management, Operational Risk, Compliance, Issues Management
Resume:
KENNETH EISENMAN
Birmingham, AL 35242
****@*****.***
PROFESSIONAL EXPERIENCE
USAA (Bank), San Antonio, TX (permanent WFH employee) 2020 -
Business Risk and Controls Advisor I
Responsible for all aspects of the issues management lifecycle, from policies, procedures, controls to supporting evidence documentation and validation across multiple business lines to ensure adherence to guidelines, laws, regulations, and rules to govern operations and mitigate risk exposure to prevent member harm while facilitating the risk framework within the organization. Oversee all facets of the risk management process pertaining to support of business lines and upward to advise senior managers of activity both positive and negative. Handle issues monitoring and facilitate producing system information for the overall reporting structure. Devised improved triage contact with business lines to reduce time spent and accelerate completion of team process for triage, issue input and system upkeep of record as it applies to issue management.
CardWorks Servicing, Woodbury, NY 2017 - 17
Risk Management-Manager (Contract Assignment)
Interpreted and executed policies and procedures created by others. Developed and implemented new policies related to front line servicing. Coordinated the ERM program, including monitoring, reporting, assessment, testing and governance. Oversaw risk management activities to ensure compliance with best practices and internal procedures. Performed risk assessments; managed reporting related to enterprise risk management. Implemented risk controls, processes, and risk reporting to provide governance across the business lines. Advised critical stakeholders on matters relating to operational risk analysis. Provided awareness to employees regarding current risk mitigation practices and regulatory requirements.
BANK of NEW YORK MELLON, New York, NY 2017 - 17
Business Process –Risk Analyst (Contract Assignment)
Accumulated risk data from various applications for compilation into ERM reporting. Tested and analyzed operational risk results covering multiple lines of business. Prepared business process information for operational risk functions, liquidity risk assessments, stress tests, regulatory guidelines (CCAR) and procedural manuals. Monitored scheduling of risk process scans and results, reviewed progress reports and dissected relevant enterprise risk management and internal process flows pertaining to specific business units and global bank organizations. Facilitated system preparation of subnet data to register accounts, maintain security drivers and severity levels with added focus on high priority issues.
J.P. MORGAN CHASE BANK, New York, NY 2014 - 14
Sr. Risk & Internal Controls Analyst- CIB Operations, Global Emerging Markets (Contract Assignment)
Gathered, analyzed, and prepared MIS reports regarding operational risk business activity for LATAM & NA for upper management. Analyzed and reconciled information between systems for both regions. Discovered variances between KRI’s & KPI’s, developed/coordinated action plans to resolve differences/discrepancies relating to CCAR. Established culture of compliance, risk avoidance/mitigation/tolerance towards firm accountability. Implemented operational risk business plan to improve Enterprise Risk Management. Monitored business resiliency plan across NA for emergency procedures and stress testing. Oversaw non-feeding book sign offs for LATAM & NA regions ensuring compliance with CCAR regulations. Solely completed coordinating database recertification for trade booking/risk management systems; obtained 424 replies to complete project before deadline. Performed stress test programs to comply with both liquidity & regulatory requirements. Spearheaded various initiatives to support analysis of regulatory and self-identifying issues, key risk trends, process/policy violations to facilitate RCSA. Performed RCSAs, served as FLOD in risk management to ensure compliance with all ERM requirements.
KENNETH EISENMAN PAGE TWO
U.S. GENERAL SERVICES ADMINISTRATION, New York, NY 2010 - 2013
Senior Business Analyst- Office of Client Solutions (Contract Assignment)
Provided enhanced account management for all GSA clients. Managed strategic real estate needs for other Federal Agencies. Used qualitative and quantitative analytical techniques to research and gather statistical information. Tracked trends applicable to organizational decision making. Generated reports for branch chiefs and senior level managers. Charted aggregate data from analyses to garner financial results pertaining to complex real estate transactions. Verified agencies were compliant with U.S. risk regulations & provided risk solutions and financial analysis of all transactions.
CLS BANK, New York, NY 2008 - 2010
Deputy Service Control Manager
Resolved Member banks operational, technical, and financial issues for all aspects of the business. Ensured timely completion of analysis relating to funding and settlement against deadlines. Cleared service support issues for Members on live and UAT systems. Reconciled 17 currencies, interacting with Central Banks and internal groups. Monitored CLS infrastructure outside core operating hours for stress test needs of clients.
CITIGROUP, INC., New York, NY 2000 – 2007
Senior FX Specialist – Global Corporate Investment Business (GCIB) 2005 – 2007
Handled FX investigations from zero to 90 days across multiple currencies. Updated senior management on closed cases for all entities. Point of contact on business, corporate action, risk and compliance issues tied to federal regulatory situations. Led stress test initiatives to conform to mandates. Trained all new staff members hired in FX investigations on all aspects of the business. Reduced risk and exposure & accelerated fund recovery by initiating contact with correspondent banks and corporate clientele to eliminate time consuming paperwork, resulting in substantial cost savings. Monitored all audit requirements for multiple entities related to derivative deals.
Derivative Product Specialist – GCIB 2000 – 2005
Oversaw portfolio of derivatives, including all types of swap transactions, futures, options and swaptions. Financed all settlements & reviewed related documentation for derivative products. Handled customer inquiries, maintained relationships with major overseas private clients and reviewed ISDA documentation on all deals. Managed all Citigroup portfolios for derivatives, ensuring risk compliance with all CCAR regulations tied to trades. Trained staff during implementation of Murex for trade support across various products. Improved reconciliation reporting process of all departmental G/L and cash break items for senior management.
CERTIFICATIONS
Anti-Money Laundering, Bank Secrecy Act, Compliance Policy for Control Groups, Risk Awareness, Business Resiliency, Global Sanctions, Anti-Corruption Compliance, Office of Foreign Assets Control (OFAC), ITIL v3-Achieving Foundation, Six Sigma Certified.
COMPUTER PROFICIENCY
MS Word, Excel, PowerPoint, Salesforce, SharePoint, Asana, ServiceNow (SNOW), Jira, WFT
EDUCATION
Masters & Bachelors dual degree coursework, Finance and Investments, Pace University, NY
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