Responsible for owning the 3rd-party vendor management, business continuity planning, internal/external audits, and executing on risk and compliance related initiatives for across teams and leaders within our parent companies, Cover-More and Zurich located in US, UK, India, and Australia.

Proven track record in obtaining and maintaining NIST, ISO 27001 certifications. Responsible for running KTG Risk Management Programs. Other current duties include: Vendor Management, BIA analysis, Phishing simulation, overseeing external audits (KPMG, A-lign, ect), and Risk Management.This position works closely with the operational, technical, and corporate function personnel to foster a technology risk management culture, challenge assumptions and to assist in communicating a holistic risk profile of technology risk to Executive management and various stakeholders. This position is part of the team responsible for establishing and maintaining an enterprise Information Security Governance, Risk and Compliance vision, strategy and program for the Kiewit Technology Group (KTG).The GRC Audit and Risk Analyst provides technical knowledge over the Kiewit Information Technology Governance, Risk and Compliance program. I assist in the identification of, and respond to, organizational information security risks and/or concerns, and develop, implement, and documents improvement to correct deficiencies and mitigate risk. I assist in identifying, prioritizing, monitoring and reporting technology risks and controls including performing risk and controls assessments for the Kiewit Technology Group (KTG).

Risk auditor for Orion Advisor Solutions a holding company for nine subsidiaries which manage and service financial assets and institutions with $498 billion in assets under management and administration.Assisted in developing testing plans and performed multiple risk-based internal control evaluations of a registered investment advisory firm with over $7 billion in assets under management.Performed multiple internal reviews in preparation of successful ISO 27001 certification process.Planned and performed multiple Bank Security Act and Anti-Money Laundering audits for a trust services company, broker/dealer, and investment advisory firm. Led internal assessments in preparation for receiving successful SSAE 16 reviews for both a trust services company and financial services back-office company.Reports to senior management and the Board regarding audit findings and recommendations in a diplomatic and professional manner.Worked as liaison with external auditors during external assurance reviews.

Responsible for providing various transfer agency functions and maintaining accurate records for approximately 120 mutual fund families.Assisted with the successful on boarding and transition of over 20 mutual fund families and two State 529 plans to Gemini.Processed complex time-sensitive financial transactions amounting to millions of dollars daily; such as redemptions, purchases, transfers, and exchanges. Secondary duties included back office financial processing of death distributions, trade corrections. opening of new accounts, and check depositing. Served as the direct point of contact with investment clients, financial advisors, fund managers, and back-office brokerage firms. Create, analyze, and upload daily files and reports. Monitor activity for fraudulent red flags such as anti identity theft and money laundering. Performed compliance and auditing functions as needed.

Provided customer service to clients with fixed and variable annuities. Explained, riders, death benefits, step-ups, and other complex concepts in the annuity world to both clients and financial representatives.Placed trades, created model changes, and performed all maintenance related items to variable and fixed annuity products.

Held a variety of positions and received three promotions in the fourth largest independent broker dealer in the securities industry. Positions included from the back office day-to-day activities of the operations and customer service areas to implementing a new department. Worked closely with the money managers and the advisors who business model consisted mainly of fee based business. Duties included the depositing of new funds in the appropriate model; redemptions, model changes, rebalancing of accounts, and other administrative duties that pertain to the complexity of fee based accounts. Reported directly to the various money managers and implemented all requests on their behalf. Assisted in creating the Securities America Orphan retail department. The newly developed department worked with clients without financial advisors and attempted to retain the most viable accounts. The department also became a valuable tool in identifying potential compliance issues with abandoned accounts and clients transitioning from different financial advisors or firms.