Operational Risk & Compliance Leader with Banking Expertise
Resume:
KENNETH EISENMAN
Birmingham, AL 35242
****@*****.***
PROFESSIONAL EXPERIENCE
USAA (Bank), San Antonio, TX (permanent WFH employee) 2020 - 2025
Business Risk and Controls Advisor I
Responsible for all aspects of the issues management lifecycle, from system input, policies/procedures and controls to supporting evidence documentation, action plan/closing package initiation, remediation and validation across multiple business lines. Ensured adherence to guidelines, laws, regulations governing operations and mitigating risk exposure to prevent member harm while facilitating risk framework within the Enterprise organization. Oversaw all facets of risk management pertaining to issue support of various business lines/stakeholders reporting upward to advise senior managers of activity, as well as audit and regulators of related results. Handled issue monitoring and facilitated producing system information for the overall reporting structure throughout the Enterprise (Bank). Streamlined triage methods to support business lines by reducing time spent, thereby accelerating completion of triage, issue input and upkeep of system record as it applies to issue management. Served as primary point of contact for both issue owners and risk managers to address inquiries, solve complex problems and resolve outstanding matters thereby facilitating the continued progress of transactional processing.
CardWorks Servicing, Woodbury, NY 2017 - 2017
Risk Management- Business Support
Interpreted, implemented 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; reviewed 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 - 2017
Business Process –Risk Analyst
Accumulated risk data from various applications (i.e. Archer) 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 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.
KENNETH EISENMAN PAGE TWO
J.P. MORGAN CHASE BANK, New York, NY 2014 - 2014
Sr. Risk & Internal Controls Analyst- CIB Operations, Global Emerging Markets
Gathered, analyzed, reconciled and prepared MIS reports regarding operational risk business activity for LATAM & NA regions for upper management. Discovered/addressed 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 LATAM & NA regions ensuring compliance with CCAR regulations as part of risk management. Solely completed coordinating database recertification for trade booking/risk management systems; obtained 424 replies to complete project before deadline. Performed stress testing to comply with liquidity & regulatory requirements. Spearheaded 11 initiatives that improved analysis of regulatory and self-identifying issues, key risk trends, enhanced policy compliance and increased efficiency by 20%, optimizing the RCSA process. RCSAs conducted across varied lines of business & served as FLOD in risk management to ensure compliance with and adherence to all ERM requirements.
ADDITIONAL ACCOMPLISHMENTS
Provided enhanced account management for clients.
Utilized qualitative and quantitative analytical techniques to conduct research and deliver actionable statistical insights enhancing strategic organizational decision making.
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.
Resolved operational risk issues for all aspects of the business.
Point of contact on business, corporate action, risk and compliance issues tied to federal regulatory situations. Trained all new staff members hired in FX investigations.
Reduced risk exposure & accelerated fund recovery by over 30% by initiating contact with correspondent banks and corporate clientele which eliminated time consuming paperwork, resulting in substantial cost savings.
In charge of all Citigroup portfolios for derivatives, ensuring risk compliance with all CCAR regulations.
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 & SKILLS
Anti-Money Laundering (AML), Bank Secrecy Act (BSA), Compliance Policy for Control Groups, Risk Awareness, Business Resiliency & Continuity, 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, Archer
EDUCATION
Bachelors/Masters dual degree coursework, Finance and Investments, Pace University, NY
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