Risk & Performance Analyst

Loc Nguyen

San Diego, CA ***********@*****.*** 619-***-****

LPL FINANCIAL San Diego, CA

Risk & Performance Analyst - Third Party Risk Dec 2024 - Present

● Managed a portfolio of 20+ third-party vendors, ensuring regulations to align with company policies and reducing vendor-related risks by 90% .

● Facilitate risk reviews and compliance reporting for various business units by reviewing deliverables to support regulatory audits and internal evaluations on an annual, quarterly, and monthly basis.

● Conducted & approved performance reviews, risk assessments evaluations, SOC reports, and remediation planning to meet regulatory standards.

● Collaborated with vendor and business owners to ensure seamless integration of communication, navigation, and relationship within OneTrust database.

● Responsible for diverse tasks supporting the development and scalability of AI integration ensuring readiness for partnership. Internal Auditor Oct 2024 - Nov 2024

● Conducted comprehensive internal audits to assess compliance and operational efficiency.

● Analyzed financial records and lead-sheets such as Test of Operating Effectiveness and Test of Design for quality assurance

● Developed audit plans and executed risk assessments to identify areas for improvement.

● Utilized advanced software tools such as Archer and Tableau for data visualization and reporting. Sourcing & Procurement Analyst Mar 2024 -Sept 2024

● Conducted market analysis to identify cost-saving opportunities in procurement processes.

● Managed procurement data using SAP Ariba and PowerBi for improved decision-making.

● Streamlined procurement processes, contributing to overall operational efficiency.

● Negotiated SLAs with 15+ key suppliers, increasing on-time delivery by 7-9% and reducing average lead times by 15–20%. Treasury Analyst - Cash Sweeps June 2023 - Feb 2024

● Monitored daily cash movements within Insured, Deposit, and CC accounts to ensure proper allocation and reconciliation.

● Reported daily, weekly, and monthly reconciliations of cash sweeps and maintained target leverage ratio of 1.5x.

● Ensured all cash sweep transactions adhere to internal policies and external regulatory requirements under SEC and FINRA reporting.

● Participated in bank and counterparty coordination by liaising with banking partners and internal teams to facilitate efficient movement of funds and optimize yield resulting in an increased balance sheet capacity for client cash to $75B. UNITED STATES CENSUS BUREAU Los Angeles, CA

Quality Control Analyst Jan 2020 - Dec 2020

● Interviewed over 40 residents daily, gathering essential personal information and ensuring accurate software transmission.

● Collaborated with teams to enhance data collection processes and improve efficiency.

● Prepared reports on population changes to support agency decision-making and strategic planning. THANH INCOME TAX SERVICE San Diego, CA

Tax Clerk Intern Mar 2019 - May 2019

● Compiled tax documents and analyzed client income sources for accuracy to meet deadlines.

● Developed problem-solving and planning skills that improved processes by 20%.

● Maintained accurate client records using database tools to facilitate efficient data retrieval. EDUCATION & SKILLS San Diego State University

Fowler College of Business - Bachelor of Science in Finance GPA: 3.43 Programs: Microsoft Office, Adobe, Database Management, PowerBi, OneTrust, SAP Ariba, Intellistor, Tableau, Archer, Teammate+, Kyriba, S&P Capital IQ

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