Product Manager Risk Management

Carolina Rivas

TEL: 646-***-**** E-mail: *************@*****.***

Experienced leader skilled in designing operational strategies that align with organizational goals across business and technology. Proven record in integrating business operations with technology to ensure timely project execution, improve operations, reduce risk, and maximize profits.

Areas of Impact & Skills

Creative Problem-Solving Agile Scrum Product Lifecycle Management

Business Case Development Cross Functional Team Leadership Risk Management

Strategic Planning Road Mapping and Prioritization Stakeholder Management

PROFESSIONAL EXPERIENCE

DTCC (The Depository Trust and Clearing Corporation)

Enterprise Digital Solution - Product Manager Director June 2023 – Present

Appointed to oversee a $16 million project to develop a new digital self-service portal for DTCC clients, with an emphasis on streamlining, automating, and restructuring operational processes, as well as improving the client experience.

Led cross functional teams working on the design and implementation of digital capabilities focusing on innovation, efficiency, and risk reduction.

Developed a business case for the project, highlighting a $5M cost savings opportunity to influence executive decisions and drive strategic change.

Ensure continuous success of the program’s vision and targets by defining achievable product roadmaps and priorities, setting objectives, mitigating risks and dependencies, and managing financials.

Manage relationships with key vendors aligning to the company’s objectives and service standards.

Facilitate regular stakeholder meetings and communications to ensure transparency in the status of the program and address concerns and priorities.

Implement change management processes for internal teams and clients that minimize disruption and maximize adoption of new systems and processes.

Analyze user feedback and data to continuously improve product performance and user experience.

Enterprise Services – Product Manager Director October 2018 – June 2023

Managed a $6M project to create a self-service client onboarding platform, improving client satisfaction, reducing risk, and increasing operational efficiencies, resulting in a 40% reduction in labor costs. The application serves 16k users.

Led four squads focused on the successful implementation of client digital capabilities on time and within budget.

Conducted comprehensive research and analysis of competitors to create product strategy and roadmaps, ensuring the design met client and team requirements by integrating feedback with strategic objectives.

Managed stakeholder’s communications, ensuring alignment on product goals and milestones and proposing solutions to risk and issues.

Defined and monitored budget adjusting as needed to stay within scope and objectives.

Worked with UI/UX designers to improve application navigation and satisfaction scores.

Risk and Control Director January 2016 – October 2018

Led a team of Embedded Risk Managers supporting risk and control activities across six functions within the Client Services organization. Oversaw multiple Audit and Regulatory reviews, resulting in no major risk findings.

Developed and implemented a comprehensive risk management framework for the Client Services and Operations organization including the roll out of management controls testing, control reviews and assessments, risk and control reporting and training.

Achieved a substantial reduction in risk incidents and audit findings across the function by identifying and mitigating gaps in operational and technology controls.

Lead discussions with Board Committees and Regulators globally to provide insight into the company’s processes and risk framework.

Gained comprehensive knowledge of global regulatory requirements for the function/product and ensured alignment with these regulations.

Worked closely with the second and third line of defense functions to oversee the enterprise risk and control framework in line with the Company’s goals and objectives.

Deriv/SERV Internal Audit Manager August 2013 – January 2016

Led a team of senior Auditors to ensure compliance with the control environment for regulatory reporting, meeting the expectations of seven global regulators.

Managed and executed business and technology audits that evaluated both the design and adherence of controls while considering regulatory requirements, best practices, and technology control standards.

Led Internal Audit meetings with senior management to discuss control issues and action plans.

Prepared Audit programs, work papers and Audit reports, adhering to project timeliness and budget.

HSBC

Global Markets Internal Auditor December 2012 – August 2013

Performed Global Audit examinations of Product Control and Trading functions for Treasury and Credit products to identify risks and assess control design and adherence.

Reported Audit findings and made recommendations for the correction of unsatisfactory conditions, improvements in the control environment and reduction in cost.

BARCLAYS CAPITAL

Emerging Markets Credit Product Control November 2009 – December 2012

Monitored and controlled P&L and Balance Sheet reporting for multiple trading portfolios in the Latin America Emerging Markets sector with various structured and vanilla products.

Responsible for analyzing, compiling, and distributing reports on the overall trading desk performance and strategy.

Control and Exposure Management / Analyst January 2006 – November 2009

Monitored firm trading accounts to ensure trades and balances were accurately reported in daily P&L.

Worked with Senior Management and Technology to streamline and automate manual processes.

EDUCATION

CUNY Baruch College, New York

Bachelor’s in business administration (BBA), Finance, 2006.

SKILLS

Computer: Proficient using Microsoft Word, Excel, PowerPoint, Outlook, Salesforce, PowerBI, JIRA, APPIAN, OpenText.

Project Management: Strong understanding of Agile principles.

Languages: Fluent in Spanish.

Leadership: Experience in managing global teams across diverse cultures and time zones.

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