Design second line of defense model for effective challenge of internal investigations, including framework for risk assessment and root cause analysis. Oversee execution of investigation strategy on whistleblower, employee relations, data privacy and security and Code of Conduct investigations. Conduct select high-risk investigations and coordinate investigations with legal counsel where necessary. Create reporting structure for delivering quantitative and qualitative investigation results, trends, lessons learned and corrective action to senior management. Develop training module for investigators including live content, job aides, templates and notifications.

Oversee operation of the SMBC Integrity Reporting (Whistleblower) Hotline in seven countries in the Americas. - Investigate concerns reported to the Integrity Reporting Hotline or escalated from within SMBC, including document review, data analysis and interviews of witnesses and subject matter experts - Coordinate with outside counsel regarding investigations conducted externally - Advise SMBC management regarding case progress and outcome, lessons learned and trends - Conduct root cause analysis on cases and coordinate with partner functions on remedial action - Engage with third-party hotline provider regarding Hotline operationPerform programmatic activities for development of SMBC Integrity Reporting Program - Draft Integrity Reporting Program policies and procedures - Prepare and deliver training on Integrity Reporting Program operation and reporting requirements - Develop awareness campaign to publicize Integrity Reporting Program

• Supported Citi’s business units in assessing risks due to potential legal or policy breaches raised by whistleblowers to the Citi Ethics Office. • Partnered with internal functions and external legal counsel to investigate and remediate whistleblower complaints.• Reported to senior management and Board committees on conduct, franchise, and headline risks.• Performed root-cause analysis and advise on best practices, internal controls, and training.

Represented U.S. and foreign companies and their officers in complex civil litigation (mostly class actions), arbitration, internal investigations, mediation and enforcement actions primarily involving the sale of securities, as well as in commercial, employment and ERISA matters.