Project Manager Risk Management

Hector Rivera, PMP

********@*****.*** • linkedin.com/in/hectorjrivera • 347-***-****

SUMMARY

Military Veteran - Honorably discharged with 3 years leading ancillary & annual compliance training and PMP-certified project manager with 10+ years in financial controls, independent testing, and reporting; highly skilled in risk management, regulatory compliance, documentation, data transformation, and cross-functional collaboration for large financial institutions with FINRA 7, 63, 65, SIE licensing. I thrive as a client advocate, excelling in stakeholder collaboration, requirements gathering, and technical problem-solving to deliver end-to-end solutions. KEY SKILLS

• Client Onboarding

• Quality Control

• Strategic Communication

• Contract Negotiations

• SDLC, Waterfall, Agile, SAFe

• UAT, Regression, UI/UX testing

• Team Training & Building

• Document Control

• Workflow & Root Cause Analysis

EDUCATION

• University of Buffalo - Buffalo, NY Bachelor of Science Finance & Management Information Systems CERTIFICATIONS

• FINRA – Series 7, 63, 65, SIE

• SCRUMStudy – Scrum

Fundamentals

• PMI Institute – PMP

• IBM – AI Fundamentals

• AWS Cloud Practitioner

Essentials

• Vanderbilt Univ – AI Prompting

PROFESSIONAL EXPERIENCE

AVP Project Manager - Global Operations, Bank Of America, REMOTE September 2023 – January 2025

• Designed, documented, and executed independent testing, regression analysis and validation plans for regulatory reports (HMDA, CFPB 1071, CESOP VAT), improving audit readiness and compliance with risk frameworks.

• Served as Product Manager for geocoding and reporting dashboards, expanding platform capabilities for CRA and HMDA compliance, potentially saving $10M+ annually, and driving agile global delivery through backlog prioritization and testing leadership.

• Developed and executed QA/QC process and validation workflows for non-financial regulatory reports, ensuring adherence alignment with enterprise KPIs.

• Developed and delivered internal training on independent testing processes to global teams, leveraging military-style documentation, adult learning best practices, and hands-on workshops

• Developed dashboards and reporting tools for financial and regulatory data using Microsoft Excel and SQL, enabling transparent KPI tracking and risk exposure analysis. MORGAN STANLEY E-TRADE (EEO)

AVP, Project Manager - US On-Boarding, REMOTE January 2022 – July 2023

• Conducted test design, execution, and documentation for Equity Edge Online implementations, ensuring alignment with financial reporting, compliance, and internal controls to ensure SOX compliance and regulatory accuracy.

• Provided technical guidance on EEO system capabilities, aligning integration plans with Jira workflows, and built scalable systems to enhance stakeholder collaboration and drive organizational key results alignment.

• Utilized Jira and Salesforce to monitor remediation actions, escalate risk findings, and track issue resolution.

• Led cross-functional stakeholder reviews and control testing for SEC Section 16, Rule 144, 10b5-1, and EDGAR filings to maintain regulatory and reporting accuracy.

• Conducted root cause analyses and presented risk mitigation strategies to management in accordance with the enterprise risk management framework.

• Partnered to create enablement content, employee platform training, and admin execution guides. PAYLOCITY

Project Lead - Payroll Implementation, REMOTE February 2021 – January 2022

• Led full-cycle payroll system implementations across industries; customized setups to meet complex labor laws and integrated with HR, Finance, and IT for timely compliant launches.

• Participated in independent validation of payroll system controls, ensuring alignment with audit, compliance, and regulatory testing standards for multi-state and multi-jurisdictional payroll.

• Built—cutting client errors by 15% post-launch.

• Designed and documented methodologies for review of process controls, prepared testing artifacts, and collaborated with internal partners on risk and compliance requirements. Hector Rivera, PMP

********@*****.*** • linkedin.com/in/hectorjrivera • 347-***-****

• Delivered standardized workflows for audit controls, payroll, taxes, time tracking, 401k, equity comp, and distribution reporting capabilities.

CHARLES SCHWAB

Sr. Specialist, Member Brokerage Services, Phoenix, AZ May 2019 – February 2021

• Provided comprehensive reviews covering life priorities and goals to deepen/create relationship opportunities, Initiated and processed ACATs, Client Agreements, Distributions, and plan specific documents to ensure compliance and build book of business.

• Supported compliance reviews and testing for client onboarding, ACATs, and financial transactions to ensure risk and control adherence.

• Researched, analyzed, and documented issue trends in client transactions to enable effective escalation and remediation.

• Assisted clients in full website navigation to include training, documentation, research, and financial instrument usage.

ADP LLC

Project Lead - Payroll Implementation, Tempe, AZ May 2018 – May 2019

• Led SaaS payroll system implementations across industries, integrating PTO tracking, e-learning, and multi-state tax compliance, managed scope, timelines, and stakeholder alignment.

• Oversaw partnerships and integrations with ancillary systems (workers’ comp, time & attendance, onboarding) to ensure seamless configuration and compliance.

• Developed payroll protocols, enhancing file transfer, confidentiality, and regulatory compliance

• Conducted UAT/testing of payroll controls, collaborated on remediation of process gaps, and documented evidence for audit readiness.

• Delivered admin training on platform use, system access controls, and troubleshooting; empowered clients to manage governance and data security post-launch.

• Authored and implemented SOPs and controls in compliance with financial reporting and risk management requirements

MERRILL EDGE / LYNCH

Enterprise Relationship Consultant, Chandler, AZ October 2015 – March 2018

• Collaborated with clients to align financial goals with life priorities, strengthening relationships, and identifying growth opportunities; developed investment strategies and connected clients to banking and retail solutions.

• Managed ACATs, client agreements, distributions, and plan documents, supported internal options-trading systems with SQL, Eagle, and Pioneer Workstation to improve efficiency.

• Trained clients to navigate platforms, empowering them to use research tools, financial instruments, and planning features confidently.

IRIDIUM SATTELITE COMMUNICATIONS (CONTRACT)

Business Analyst (CONTRACT), Tempe, AZ December 2014 – July 2015

• Implemented pricing, admin access, file communications, and billing system integration; tracked progress and issues via Jira to reduce costs and troubleshoot effectively.

• Led GUI setup, API validation, and regression testing to track and resolve issues, minimizing client costs.

• Reconciled inquiries, ledger accruals, and trial balances; tracked ad-hoc reports and queries to identify cost-effective solutions.

• As Product Owner (Scrum/Agile), led teams and managed roadmaps, deliverables, and business alignment, monitored logs and service status resolutions in Jira to optimize processes. SYSTEMS EXPERIENCE

• Siebel, Salesforce, Taskray

• ADP WFN / RUN, Paylocity

• SharePoint, Confluence

• PeopleSoft, SQL, TOAD

• Rally, JIRA/Jira Align, Remedy

• MS Office 365, SharePoint

• Teams, Slack, Discord, Zoom

• Power BI, Tableau

• RAG, ChatBots, LLM

• E-Trade (EEO), ShareWorks,

EDGAR, ICP, FDOT

• POP, DART, CIMA, ARIS

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