Compliance Risk Management

MARIE MERISCA ST. JUSTE

**************@*****.***

SUMMARY

Dedicated Compliance Risk Officer with over 9 years of experience in risk management and compliance within financial services. Expert in developing compliance metrics, KRI inventories, and streamlining compliance processes. Achievements include enhancing data integrity and audit readiness through robust compliance risk reporting and cross-functional initiatives. Effectively positioned to bolster organizational compliance frameworks and drive risk mitigation strategies in fast-paced environments.

EXPERIENCE

Morgan Stanley Purchase, NY 2022 – June 2025

Vice President, Compliance Risk Officer

•Facilitated a comprehensive end-to-end review of compliance metrics and key risk indicator (KRI) inventories, ensuring alignment with firm-wide risk appetite and mitigation strategies.

•Collaborated with Enterprise Risk Management (ERM) to confirm testing and monitoring processes adhered to the compliance risk governance framework and internal policies.

•Created and and maintained a centralized Compliance Risk Register and KRI inventory to ensure ongoing accuracy, completeness, and strategic alignment with business risk prioritization.

•Spearheaded the implementation of a maker-checker and attestation processes that enhanced data integrity and audit readiness, bolstering ongoing risk assessments.

•Developed senior management dashboards and quarterly compliance risk reports for senior leadership, enhancing visibility into top risk exposures, breaches and remediation progress.

•Conducted ad hoc risk analyses to identify control gaps, informing reporting to the Compliance Committee and enterprise risk leaders. Directed cross-functional initiatives aimed at streamlining critical compliance and operational processes, enhancing control environments and reducing overall risk exposureDirected cross-functional initiatives to streamline critical compliance and operational processes, enhancing control environments and reducing risk.

•Led the Lesson Learned Program by integrating root cause findings into actionable improvements for risk mitigation and compliance process enhancements.

•Engineered the design and rollout of KRI/KPI data collection and reporting standards, improving consistency and auditability of compliance reporting processes.

•Initiated and led the annual refresh of KRIs/KPIs, collaborating closely with KRI owners to validate metric relevance, accuracy, and completeness across all functional areas.

Credit Agricole New York, NY 2016 - 2022

eFX/Cash Application Management

•Oversaw the successful onboarding of clients onto our trading platform, ensuring comprehensive compliance with business requirements. Managed client onboarding on electronic communication networks (ECNs) platforms such as FXALL, Bloomberg, and 360TClient’s onboarding on ECNs platform such as FXALL, Bloomberg, and 360T.

•Investigated trade booking issues, including latencies, inverted/stale prices, ECN market data, and client disconnections, addressing these with urgency to minimize desk impacts.

•Monitored straight-through processing (STP) issues and ensured prompt resolutions to mitigate risk exposure to the desk

•Documented and updated internal support knowledge to guarantee adherence to global processes.

•Ensured robust connection stability for our business-critical applications and systems using monitoring systems such as ITRS and KDB.

•Assisted the sales desk with trade analysis for auditing purposes.

Royal Bank of Scotland Stamford, CT 2011 - 2016

FX Ecommerce Application Management Team Lead

•Managed and Support FX eCommerce and eFX platforms.

•Monitored and ensure data integrity by quickly identifying and resolving trading issues which includes, trade entries, deals booking, routing and position keeping.

•Conducted thorough investigations by checking various services and application logs, ensuring optimal approaches were implemented to improve turnaround times and reduce business impact.

•Supported users with real-time and historical trade analyses for auditing purposes.

•Maintained system upgrades for all application suites, ensuring correct release implementations and training of users on all production changes.

•Investigated issues related to trade latencies, inverted/stale prices, ECN issues, post-trade discrepancies, and client disconnections

•Liaison between users/traders and other technology groups such as Development, Market data, Networking teams and external vendors.

•Prioritized and resolved incident reports effectively while taking necessary steps to ensure resolutions were achieved.

•Analyzed client connectivity configurations to provide suggestions for improvements

•Developed training procedures for new support hires encompassing all aspects of daily duties.

•Built trust with traders through regular follow-ups, resulting in a higher level of support.

•Documented environmental changes to maintain and improve the support knowledge base.

Royal Bank of Scotland Stamford, CT 2008 - 2011

FX IT Support

•Supported internal settlement NDI/GFX system

•Provided internal users with real-time and historical trade details.

•Ensured book mapping are setup correctly for all of internal applications for proper risk routing management.

•Ensured End of Day batch jobs are completed successfully for timely downstream delivery.

•Setup new users with proper permissions access to our trading application suites and books.

•Ensured releases are implemented and ensuring appropriate contingency procedures are in place for all applications.

Nyfix, Inc. New York, NY 2006 - 2008

FIX Support Analyst

•Supported a system to track and analyze individual customer support needs and resolutions.

•Assisted clients with both real-time and historical analysis of application performance.

•Facilitated FIX counter-party connectivity and engaged in FIX testing to bring full system production live.

•Supported multiple versions of the FIX protocol and various various operating platforms.

•Ensured reliable FIX connections between clients and vendors

SKILLS

Visio

Tableau

Power BI

SharePoint

SQL

Oracle

HTML

Microsoft Excel

Outlook

TCP/IP Protocol Suite

Compliance Oversight & Monitoring

Enterprise Risk Management (ERM)

Process Improvement & Standardization

Data Governance & Accuracy Controls

Regulatory & Board-Level Reporting

Sybase

UNIX

Microsoft Word

Microsoft PowerPoint

FIX 4.X

KRI Data Collection & Reporting

Risk Identification & Assessment

Risk Appetite Frameworks

Policy & Procedure Development

Data Validation & Audit Readines

Project Management

EDUCATION

Sacred Heart University Fairfield, CT 2002-2005

B.S. Computer Information Technology

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