Risk Management, Project & Programs, Operations

DEBRA TAGELDEIN

New York, NY 917-***-**** **********@*****.***

Financial Services Executive with in-depth Risk Management, Business & Compliance Change Management/PMO, Project Management and Operations Management for Swap Dealers and Buy Side in the Industry’s Most Competitive Firms. Lead risk analysis to remediate control/risk gaps for business, operational, program risks and Derivatives Compliance. Innovator and Influencer to champion awareness and accelerate adoption of change across the organization. Lead time sensitive programs/projects using Agile and Waterfall (PMI trained) methodologies in close liaison with Firm, regulatory, client and business requirements. Delivery of high caliber transaction banking solutions and time sensitive client-on-boarding implementations. Experienced Leader in building, training and mentoring high performing validated global teams. Adaptable expertise includes:

Risk Management and Control Program Development & Management

Industry Regulatory Requirements Implementation Lifecycle Management

Regulatory Reporting (NFRR, SEC) Change/Transformation Management

OTC Derivatives/Treasury Cash Management Global Client/Vendor Onboarding & Management

PROFESSIONAL BACKGROUND

SSGI, PMI Accredited Provider Present

Student – Obtaining Lean Six Sigma Green Belt Certification (Critical Problem Solving)

BANK OF AMERICA, New York, New York 11/2023 – 12/2024

Global Markets, Non-financial Risk Regulatory Reporting, SVP

Senior oversight and risk management/risk reduction for Derivatives Compliance reporting, identification and remediation of NFRR current and potential future risks, regulatory transformation projects, internal audits.

Consistent interpretation, problem solving, data sourcing, preparation and refining of the governance and compensating controls of processes, ensuring framework aligns with regulatory expectations.

Direct interaction with regulators for reporting issues (i.e. servers down) that impact submission cutoff times.

Modernize technology infrastructure of risk, clearing and data systems through OCC Renaissance Regulatory Project.

MORGAN STANLEY, New York, New York 10/2018 – 08/2023

Enterprise Technology & Operational Risk/Cyber Security/Insider Threat, VP

Insider Threat Governance Team – first line of defense controls (April 2022 – August 2023)

Information Security Incident Management and Investigations (ISIMI) – Risk Governance/PMO (October 2018 – April 2022)

Development, execution and leadership of a high priority Insider Threat Problem Management Program/governance framework, identifying vulnerabilities and anticipating data security/data leakage insider threats risks Firmwide.

Identified/implemented control strategies/identified suspicious heavier patterns (to reduce risk), provided continuous monitoring; 69% control gaps mitigated across divisions. Partnered with CISO/security Ops on continuous mitigation.

Delivered Insider Threat control design and documented related processes and procedures for audits/compliance.

Orchestrated the development of program system JIRA workflows/dashboards, and reporting tools for self-service use by key Stakeholders across multiple teams; provides immediate status reporting/progress against key risk indicators.

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DEUTCHE BANK SECURITIES, INC., New York, New York 10/2016 – 10/2018

Regulation, Compliance and Anti-Financial Crimes Chief Operating Officer Department, VP

Compliance Change Manager leading diverse teams, including technical groups, to deliver integrated client solutions that achieve measurable business results across numerous lines of business and strategic system design/implementation. Spearheaded delivery of compliance changes enabling Deutsche Bank to adhere to all regulatory expectations, change-the-bank and run-the-bank deliverables. Managed several workstreams/sub-workstreams/QA of all projects. Managed line of business Book of Work to ensure on target delivery.

Led change management for new Global Control Room system, overseeing business requirements, all testing and fixes to meet project milestones; new system delivered on time and within scope/budget.

PMO for Compliance Transformation Program, providing oversight of action plans, reported program status to stakeholders and identified/escalated risks and issues for resolution. Requested by the Business for PMO role.

Drove end to end program management activities, such as scope management, project planning, risk identification, tracking and mitigation, project documentation, user acceptance testing, project reporting and vendor on-boarding.

CREDIT SUISSE SECURITIES (USA), LLC, New York, New York 11/2015 – 09/2016

Governance Lead & PMO Manager/IB/Capital Markets Chief Operating Officer Department, VP

Business Change/Project Manager - Implementation of services and technology for the Contract Lifecycle Management Program (“CLM”) within the Investment Banking/Capital Markets Reference Data Change Group to increase the ISDA Master Agreements and other legal contracts time-to-market. Managed Business Analysts/Vendor activity.

PMO lead for CLM Program spanning the Client and Legal Documentation domains as well as Derivatives Compliance, Client On-boarding, Front Office and Risk Management. Successful set up of governance structure within 4-months.

Former High Performing CSFP Assistant Vice President; managed Derivatives Operations trade support/ISDA confirmation teams for Credit, Fixed Income, Commodity and Equity Derivatives products; automated a 100% manual ISDA documentation process to provide automated confirm delivery.

J.P. MORGAN CHASE & CO., New York, New York 03/2010 – 11/2015

OTC Equity Derivatives Operations Manager, VP (5/2012 – 11/2015)

Implementation Project Team Manager/Corporate Client Services, VP (3/2010 – 5/2012)

Led two separate product support teams based in New York, Tampa and India, covering Derivatives/Cash Management, performed trade and transaction reporting, managing BAU, Derivatives Compliance and ensuring implementation cycle times met. Partnered with Sales and external clients on KYC/AML requirements. Oversight of internal/external audits.

Oversight of project team responsible for equity derivative regulatory reporting to FED. Verified data submissions were 100% accurate.

Strategic management of regulatory projects for Equity Derivatives business impacting global JPMorgan lines of business, resulting in improved ability to meet regulatory targets and business automation.

Met or exceeded service level agreements for issuance/negotiation of ISDA Documentation to meet FED targets.

Led documentation straight through processing projects to meet internal and regulatory targets, drive home efficiencies and mitigate operational risk; increased equity option products from zero to 98%.

Provided successful on-boarding of clients to Treasury and Securities Services and clearing houses/exchanges, oversight of KYC/AML process and requirements, directly responsible for client satisfaction ratings. Consistently exceeded client satisfaction goal of 90%.

Effective senior manager for external and internal stakeholders; participated in Sales pipeline meetings, client RFPs with Sales to assist in teaming the deal/revenue wins; strong ability to cross-sell.

PACE UNIVERSITY CLC, New York, New York 09/2009 – 12/2009

Student; Obtained certificates in Hands-on Project Management and Business Analysis.

GOLDMAN, SACHS & CO., New York, New York 06/2006 – 04/2009

OTC Equity Derivatives Operations /ISDA Documentation, VP

Managed all functions and daily operational issues of three teams: Client Account Managers, Client On-boarding and ISDA Documentation, supporting Equity Derivatives business in accordance with established budget and quality standards.

Drove the initiation and completion of business analysis, testing, staff training requirements, service contracts and counterparty trade acceptance trouble shooting to support the implementation and delivery of SwapsWire.

Fulfilled commitments to the FED through creation and management of the NY Equity Derivatives Client On-boarding Team to process 55% to 80% of eligible trades through DTCC Deriv/SERV and/or SwapsWire.

Led onsite client visits to on-board equity products to DTCC/MarkitWire for North America to meet FED targets; initiation, negotiation and execution of ISDA Master Confirmation Agreements for product onboarding.

Partner in development and implementation of a business location strategy to migrate U.S. client coverage to Salt Lake City, Utah: all processes transferred within target dates ensuring control framework/standards of service intact.

EDUCATION

Project Management Certificate – Pace University CLC (December 14, 2009)

Master’s Certificate in Business Analysis – Pace University CLC (November 19, 2009)

Pace University, New York, New York

Major: General Business/Concentration in Finance (1995 – 1998) – GPA 3.62

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