Anthony G. Email & Phone Number

Menlo Park, California, Us

Directing business development and client engagements that exceed business and client expectations. Provide subject matter expertise to address the risk, regulatory, operational and strategic challenges of the financial services and technology sectors. Specializing in all aspects of governance, enterprise risk management, regulatory compliance, and process and system optimization, including helping clients prepare and navigate the regulatory oversight process and mitigate and remediate regulatory supervisory and enforcement actions.Protiviti is a global business consulting firm composed of experts specializing in risk, advisory, internal audit and transaction services. Our highly trained, results-oriented professionals provide a unique perspective on a wide range of critical business issues for clients.

Chicago, Il, Us

Northwestern Memorial Hospital is one of the country’s premier academic medical center hospitals. As a community volunteer, I support establishing and maintaining a safe environment conducive to effective team functioning, positive patient outcomes and provide a compassionate presence to patients, their families and visitors.

Providing enterprise risk management and regulatory compliance advisement and engagement execution to the financial services industry. Specific services include: assessing enterprise and compliance risks and building optimized risk management systems; providing internal audit and other testing function expertise and support; addressing supervisory and operational issues; preparing and managing through regulatory examinations and consent orders; temporary management of risk and compliance functions; and providing a variety of special projects providing strategic leadership, project management, and/or executive management team augmentation. Focus on solving complex operational problems and developing practical and sustainable solutions based on deep technical regulatory expertise and extensive financial services products and operational experience.Recent engagements include the following: acting as advisor, subject matter expert and workstream lead to address federal regulatory supervisory and consent orders across most risk management areas at a Fortune 100 bank; supporting remediation and restitution consent order efforts at a mortgage servicer; building a compliance management system for a mortgage servicer; addressing regulatory supervisory matters at a captive auto lender; and developing a document management framework for an insurance company to ensure compliance with regulatory and business requirements.

New York, Ny, Us

Alvarez & Marsal (“A&M”) is a leading independent global professional services firm with more than 2,400 professionals that excels in problem solving and value creation.Responsible for business development and engagement execution exceeding new business and engagement execution goals, including cost and profitability targets. Supported clients to address the risk, regulatory, operational and strategic challenges of the financial services sector. Specialized in all aspects of governance, enterprise risk management, regulatory compliance, and process and system optimization, including helping clients prepare and navigate through the supervision process and supervisory examinations and their aftermath for all regulatory agencies. Key member in the creation and advancement of client service offerings and business development activities. Reflecting outstanding performance as Senior Director was promoted to Managing Director in less than one year.

Washington, Dc, Us

The Consumer Financial Protection Bureau (CFPB) is a Federal agency established under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The CFPB is dedicated to making consumer financial markets work for consumers, financial service and product providers, and the economy as a whole.Hired as the first Midwest Regional Director of the newly established agency responsible for ensuring that depository financial institutions and non-depository consumer financial services companies comply with consumer protection laws, regulations, established policies and employ strong Compliance Management Systems. Provided leadership to management and staff of 120, coordinated activities with other regions, headquarters staff and other regulatory authorities and participated in development of national policy on supervision and consumer compliance-related issues. The Regional Director is the face of CFPB Supervision activities to stakeholders, boards of directors of regulated entities, other federal and state regulatory agencies, and community and civil rights organizations. As the first Midwest Regional Director for the CFPB, was responsible for building the regional function and organization and a key member of the national team to develop the overall CFPB supervision, enforcement and fair lending program.

Chicago, Il, Us

Regulatory compliance consulting

London, Gb

Appointed to an ex-pat assignment to transform business functions and support the newly consolidated private banking operations of Europe, Middle East and Asia (EMEA). In this deputy CEO role, responsible for supporting all responsibilities of the EMEA CEO, including optimizing governance, regulatory compliance (including AML), Executive Committee communications, reporting, performance management and other activities in a consistent, effective and efficient manner.Successfully re-designed and re-aligned the governance, performance management and executive reporting for all EMEA Private Banking. Worked with the CEO and executive team, developed the strategy, devised the long term, medium term and annual plans to deliver on the strategy. Developed and managed all executive level internal and external communications.

London, Gb

Leadership responsibility for all aspects an effective compliance program, ensuring adherence to laws and regulations, and mitigating compliance risks for eight business lines: Visa/MasterCard, private label credit cards, mortgage and finance lending, auto lending, UK finance company, IT servicing unit, tax refund anticipation lending, and insurance. Directed the activities of CCOs and 160 compliance professionals located in the U.S and the UK.Directed all compliance program responsibilities including Board and management compliance risk reporting, maintenance of compliance policies and procedures, ensuring appropriate compliance training, compliance risk assessments, monitoring and testing, issues management and regulatory change control. Worked closely with leadership to provide strategic guidance and oversight to executive management on compliance matters, collaborating closely with the business, risk functions and legal counsel to navigate regulatory challenges and drive business objectives.

London, Gb

Chief Compliance Officer for the Auto Finance subsidiary. This newly acquired company required substantial compliance re-engineering which was accomplished within 18 months. The role was responsible for ensuring full compliance of the business to all regulatory requirements and all aspects of managing the compliance function, including a team of 30 professionals.Successfully established a compliance function that achieved all objectives as validated by senior management, auditors and regulators. Improved Internal Audit results from failing to passing grades. Established the compliance function as an enabling, not inhibiting, core business capability while maintaining a strong compliance culture and controls across the company. Improved state regulator examination results significantly and achieved recognition from some states as best in class compliance function. Identified multimillion-dollar opportunities to increase revenues where legacy customer accounts were incorrectly established.

London, Gb

Responsible for full-scope of internal audits from annual risk assessment, audit plan, and budget through execution and reporting for business units across all major financial industry products and services. Prepared, directed, and managed operational, compliance, system, and financial audits. Recruited, motivated, supervised, developed, and evaluated staff. Coordinated internal audit activities with those of the independent public accountants and regulators.

Gb

Planned, coordinated, supervised, and conducted audits of various financial statements, disclosures for debt, and investor and regulatory filing requirements. Prepared financial statements and footnote disclosures. Analyzed client’s overall control environment and risk management procedures. Presented findings and recommendations to senior client management.

Mba

Bcomm, Economics And Accounting