Benjamin Querubin Email & Phone Number

California, United States

Oakland, California, United States

San Francisco Bay Area

Drove awareness and consistent application of risk management and vendor/third-party risk management standards across Digital Investor Services organization. • Collaborated with product owners and risk oversight groups across 3 lines of defense to assess risks, develop controls, and remediate issues impacting digital products, services and platforms.• Prepared and presented executive-level reporting to provide leadership with updates on key initiatives, projects, emerging risks, vendor performance, issues and business metrics.• Managed vendor integration plan with internal stakeholders to negotiate, execute, and terminate agreements identified as dependencies or cost saving opportunities.

San Francisco Bay Area

Launched and managed an enterprise-level risk management function responsible for mitigating third-party risk for 26 business units across Operational Services.• Supervised Business Process Outsourcing team that oversees contract with India-based critical vendor and manages firm Offshore contingent workforce program consisting of 900+ offshore workers supporting 20 lines of business.• Responsible for enterprise oversight of vendors, contracts, and remediation of risk issues while ensuring controls were performed in accordance with corporate vendor management program and third-party risk management standards.

San Francisco Bay Area

Supervised a cross functional team supporting all broker-dealer operations for Schwab’s affiliate funds and money market products.• Responsible for daily oversight of trading, pricing, corporate actions, dividends, settlement, and cash & stock reconciliation for over 100 funds totaling $500+ billion in assets• Collaborated with portfolio managers, fund accounting and product management teams as the Operations lead and subject matter expert to execute over 30 product initiatives and new fund launches on broker-dealer and transfer agent systems.• Performed and enhanced controls within plan of supervision and RCSA. • Developed and wrote procedures, policies and business requirements.

San Francisco, California, United States

Acting Director responsible for leadership and supervision of multiple operations and risk control teams supporting Mutual Funds and Alternative Investments businesses across San Francisco, Denver and Phoenix locations.• Responsible for controls and oversight of daily aggregated trade activity ($ billions) for over 5,000 mutual funds and ensuring quality execution and timely placement with fund companies in accordance with regulatory rules and requirements.• Worked with Compliance, Legal and Corporate Risk to develop and continually refine asset acceptance policies and standards for Alternative Investments. Managed escalations from client facing groups to accommodate advisors and resolve client complaints.• Led and coordinated with auditors, risk and technology teams to mitigate risks and continually strengthen control environment through process enhancements and automation.

San Francisco, California, United States

San Francisco, California, United States

San Francisco, California, United States