Brandon Rust Email & Phone Number

Los Angeles, Ca, Us

• Partner with the second and third line of defense colleagues as we build out the Enterprise Risk Governance Program corporate wide. This includes, RCSA, Operational Risk Programs, Audit and Compliance examinations, Regulatory interaction models and Self-Identified Issues Management. • Lead a team of Risk Managers, executing the Operational Risk Governance Program across Wealth Management, Capital Markets, Trade Services, Supply Chain Finance, Shared Services and Treasury/Collateral. • Liaison between our Line of Business Senior Vice Presidents and Internal and External Regulators, providing consultative and risk-based insights ensuring adherence to OCC Heightened Standards. • Oversee the implementation of new, corporate wide Risk and Control inventory design, upload and taxonomy alignment throughout all of Investment Services. • Successfully spearheaded the first end to end internal Audit within the Capital Markets division since inception, ensuring all relevant business partners were actively engaged throughout the process. Received a Satisfactory rating for the Audit overall, a rating only received by 30% of company-wide audits in the latest fiscal year. • Developing Divisional process maps across all of Investment Services to provide tactical and complete risk and control identification. This ensures more holistic gap analysis to provide clear reporting to the Senior Vice Presidents. • Designing a full scope KRI/KPI Program, to adhere to OCC Heightened Standards and provide deep, risk-based metrics within each line of business. These risk metrics will provide a monthly/quarterly health check and provide a better dataset for future control testing.

Cincinnati, Ohio, Us

• Manage the Enterprise Risk Programs across all Capital Markets. This includes RCSA, BCRA, Operational Losses and Process Mapping across Front Office, Middle Office and Operations. • Continue to build and maintain a Risk Management/Mitigation program across the organization. Providing daily review of open risks within all of Capital Markets, along with a transparent risk view, including handoffs and process sharing. • Lead new project initiatives across the organization, reviewing new products and processes to ensure not only regulatory compliance but Bancorp risk tolerance. • Manage a small team that specializes in FRM, Swap Dealer and Capital Markets Regulatory Compliance. • Lead monthly/quarterly Risk Exposure Reporting discussions that provide insight and risk development for the quarterly Swap Dealer Board Meeting with enterprise review. • Builds and maintains relationships across the Bancorp to ensure partnership in issue escalation and new project onboarding.

Cincinnati, Ohio, Us

• Acts as the Risk Liaison between Regulators, Auditors and Compliance Testing for the Capital Markets (Swap Dealer) Operations Team. • Built and maintains a Risk Management/Mitigation program for all of Capital Markets Operations. This helps to provide daily access to all open Risk Items, Risk focused projects, and on-going audit status for the team. • Provides leadership and oversight for all open risk items, including projects, external and internal audit findings, action plan design and execution planning within Capital Markets Operations. • Successfully created a Data Integrity Risk Mitigation program for a large multi-billion-dollar pooled collateral client. Ensured both short- and long-term data integrity issues surrounding client on-boarding and authorized signer maintenance were successful for both the Bancorp and the client. • Leads a monthly discussion with all levels of the Risk organization presenting the Financial Risk Management dashboard that is provided directly to the CFTC (Commodity Futures Trading Commission) as well as the NFA (National Futures Association). • Lead Project Manager for a Regulatory and Reconciliation technological enhancement to gain both better visibility to our regulators as well as provide better insight into our daily trading activity and daily reconciliations.• Provide risk reviews and risk process and control mapping for the Capital Markets Operations space.

Cincinnati, Ohio, Us

• Collaborated with Process Owners when implementing RCSA procedure review and mapping. • Acted as a liaison between Line of Business and Operations to ensure full end to end process risk review. • Ensured quality, consistency, and sufficiency of RCSA implementations.• Coordinated business ownership of processes, risks, controls, and testing.• Partners with Process Owners, Compliance and Legal to identify all relevant risks and controls are assessed accurately.• Oversight of issues management activities for 1st line of defense. Including review of issue classification, remediation plan and issue closure, conducting analysis of Complaints, Operational losses, Key Risk Indicators and Self –Identified Issues.• Coordinated root cause and action plan analysis with the Line of Business managers to remediate control gaps.• Escalated KRI breaches and performed annual review of KRIs with the Line of Business in collaboration within the Enterprise Risk Management Program. • Monitored Risk for Agile Projects and Business Change Risks which include - acquisition Integration, the development of new products and services, the implementation of new business initiatives or changes to existing products or services and processes that are critical to remaining competitive in the market and achieving sustained, profitable growth.

Cincinnati, Ohio, Us

• Completed and reviewed Institutional administrative account documentation to meet both Federal and internal compliance under account administration requirements. • Collaborated with Client Consultants to create individual advisory management strategies to comply with Federal & regulatory requirements. Results: Each relationship met all internal and federal guidelines under review. • Acted as a liaison between the Client Consultants and bank compliance leaders to provide subject matter expertise of bank and Federal compliance regulation. This expertise provided the Client Consultants with greater document knowledge and better communication with the client or organization. Collaborated with internal partners to maintain account accuracy throughout the execution of the account life cycle. • Proactively stay up to date on regulatory and federal regulation changes in the Wealth and Asset Management division.• Successfully completed both an internal audit as well as a federal audit, scoring a Satisfactory rating under both reviews.

Cincinnati, Ohio, Us

• Managed portfolio of 500+ client relationships with account types including Charitable Management, Individual Retirement Accounts, Institutional Investment Services and Irrevocable trusts. Subject matter expert on Individual Retirement Accounts, Retirement Plan Services and plan document analysis.• Conducted periodic in-depth client reviews to ensure accuracy for Federal IRS and Bancorp compliance.• Business Development: Pro-actively recruited new business for affluent clients by offering premier banking services offered only through Fifth Third’s Private Client Group resulting in an average of $300,000 in revenue per year (top 25% of Trust Officers.)• Collaborated with internal and external partners to ensure seamless onboarding and implantation for new, affluent clients. Client satisfaction surveying averaged 97%.• Lead creation of a new customized portfolio and administrative product called Preferred Banking. Responsibilities consisted of operational guidelines, product attributes, compliance, regulatory requirements, and marketing material design. Project implantation resulted in an additional $800 million in new assets under management.

Cincinnati, Ohio, Us

• Conducted audit process for 30 Trust Officers covering eight states, executing consistent completion times under service level agreements.• Acted as a liaison between the Administrative Officer and the Risk and Compliance division to maintain all standards and regulations throughout the footprint.• Continually maintained knowledge base encompassing all IRS trust tax laws and Individual Retirement Account regulations. • Engaged with management to simplify processing the opening and closing of trust accounts firm wide. Collaborated on the development of a new software program designed to manage the onboarding process which continues to be utilized throughout the firm.

Boston, Ma, Us

• Processed client needs based upon overall business size and the needs of each individual customer.• Reviewed plan documents to ensure all available options were provided to each client. • Maintained the high level of customer and client satisfaction that has become a standard with Fidelity Investment Services.• Organized and optimized each customer experience to gain understanding and ensure each customer is aware of all available options and restrictions pertaining to their 401(k). • Continually kept up to date of all certifications and IRS regulations that coincide with all 401(k) and investment standards for 2007 and 2008. • Trained and coached others, working to maintain all document and record keeping standards required for audit and compliance review.