Bank ExaminerCommissioned bank examiner and member of the Supervision & Regulation Division focusing on Large, Regional and Community Banking Organizations. Planned and executed examinations of large and community banks and holding companies. • Focus on operational risk including model risk management and third-party risk.• Served as Examiner-in-Charge evaluating risks in conjunction with regulatory guidelines to determine the appropriate scope and objectives.• Managed a team… Show more Bank ExaminerCommissioned bank examiner and member of the Supervision & Regulation Division focusing on Large, Regional and Community Banking Organizations. Planned and executed examinations of large and community banks and holding companies. • Focus on operational risk including model risk management and third-party risk.• Served as Examiner-in-Charge evaluating risks in conjunction with regulatory guidelines to determine the appropriate scope and objectives.• Managed a team of examiners with safety and soundness and risk specialty skills, which includes risk scoping and supervisory conclusions and providing performance feedback.• Led examinations over information technology.• Identified weaknesses and prepared and communicated all supervisory findings to Reserve Bank Management, bank senior management and boards of directors.• Member of Examiner Committee and IT Examiner Committee, influencing change in examination approach and documentation standards.• Worked effectively with representatives of other regulatory agencies and presented findings of joint examinations in a clear and concise manner. Show less

As the Director of Operational Risk I lead the following risk teams: Enterprise Risk Management, Operational Risk Management, Model Risk Governance and Third Party Risk Management. My team and I assist business lines as they mitigate and discourage actions that may expose the Bank to regulatory, operational and/or reputation risks associated with its business activities. As part of the Risk team at Chemical Bank, I assist with:- setting strategic risk direction and implementing… Show more As the Director of Operational Risk I lead the following risk teams: Enterprise Risk Management, Operational Risk Management, Model Risk Governance and Third Party Risk Management. My team and I assist business lines as they mitigate and discourage actions that may expose the Bank to regulatory, operational and/or reputation risks associated with its business activities. As part of the Risk team at Chemical Bank, I assist with:- setting strategic risk direction and implementing operational and compliance policies for business divisions in the Bank,- on-going development and implementation of model risk policies and procedures,- third party risk management policy and procedures, - corporate risk profile including risk appetite statement, on-going risk assessment, monitoring and testing,- risk mitigation, escalation and reporting processes, and- development and implementation of operational risk management activities. Show less

Member of Executive Leadership Team for Retirement Plan Services business with significant responsibility for operations and risk and control functions. Leadership over teams for the operational elements of retirement recordkeeping and bank / trust services including ERISA Compliance and Internal Control & Reporting. Increased span of control from 75 to 300 team members as a result of acquisition and allocation of additional responsibility. • Provided leadership for risk-related… Show more Member of Executive Leadership Team for Retirement Plan Services business with significant responsibility for operations and risk and control functions. Leadership over teams for the operational elements of retirement recordkeeping and bank / trust services including ERISA Compliance and Internal Control & Reporting. Increased span of control from 75 to 300 team members as a result of acquisition and allocation of additional responsibility. • Provided leadership for risk-related initiatives and programs including Operational Risk and Sarbanes-Oxley. • Developed a risk mitigation process focused on identifying and resolving most significant compliance and regulatory risks facing the business. • Served as group representative on the Corporate Operational Risk, Information Security & Privacy, Model Governance and Bank Secrecy Act & Anti-Money Laundering committees.• Worked closely with partners in Schwab Bank ensuring bank and trust products conformed with regulations.• Defined and implemented Absolute Quality program designed to eliminate errors and ensure an effective system of internal control, along with accurate and timely service to clients.• Instilled a culture of continuous improvement resulting in improved client metrics.• Executive leader over audit relationships.• Designed and implemented successful offshore initiative for Retirement Plan Services.• Established culture of employee engagement and attained Gallup scores above 90th percentile for 5 consecutive years.• Served as Executive member of an acquisition team charged with due diligence and integration of acquired company. • Established a continuous improvement process for Retirement Plan Services including development of a scorecard and business review process.• Highly active in recruiting process. • Leveraged client promoter score survey process to source feedback from clients, identify areas for improvement and implement change to improve level of service to clients. Show less

Provided leadership for Client Services Department and bundled 401(k) product, representing 650 retirement plans. Led client services managers and support staff responsible for overseeing a plan’s daily administrative functions and working closely with clients to meet immediate and long-term needs.• Retained 95% of clients with 0% leaving for Client Services related issues.• Conducted 479 client meetings utilizing redesigned Service & Strategy Review with enhanced materials to… Show more Provided leadership for Client Services Department and bundled 401(k) product, representing 650 retirement plans. Led client services managers and support staff responsible for overseeing a plan’s daily administrative functions and working closely with clients to meet immediate and long-term needs.• Retained 95% of clients with 0% leaving for Client Services related issues.• Conducted 479 client meetings utilizing redesigned Service & Strategy Review with enhanced materials to provide a professional look and improved consultative experience.• Hired 18 client service managers and 5 client service analysts with over 170 combined years of experience supporting plan transitions, maintaining servicing needs and improving new sales opportunities.• Conducted 2 client surveys improving overall Client Service rating.• Responded to increased client expectations regarding availability and responsiveness by providing laptops, cell phones and mobile devices resulting in improved service responsiveness scores by 5%.• Developed and facilitated plan increasing client feedback on the Plan Sponsor Magazine Annual Survey resulting in increased client response rate by 30% and attainment of 20 “Best in Class” awards.• Orchestrated two successful conferences for 90 most valued clients with attendees providing record high feedback. Show less

Led client service and operational units of Northeast region of Invesmart. Responsible for three offices with 125 associates that manage 1,000+ relationships. Managed actuarial and traditional defined contribution practice teams. • Formed a traditional practice team. Recommended and received approval for traditional valuation system (ASC) to replace several unsupported platforms and negotiated favorable contract with ASC.• Introduced Invesmart to continuous improvement concepts… Show more Led client service and operational units of Northeast region of Invesmart. Responsible for three offices with 125 associates that manage 1,000+ relationships. Managed actuarial and traditional defined contribution practice teams. • Formed a traditional practice team. Recommended and received approval for traditional valuation system (ASC) to replace several unsupported platforms and negotiated favorable contract with ASC.• Introduced Invesmart to continuous improvement concepts through development of a Scorecard for Invesmart and established a monthly business review for senior management resulting in performance improvement.• Developed and implemented new loss write off policy which included required root cause analysis. Show less

Led operating unit of Retirement Plan Services responsible for the daily valued and balance forward recordkeeping for 1,500 plans with 325,000 participants. Managed 300+ associates responsible for administrative functions including recordkeeping, contributions, distributions, loans, plan conversions, compliance, participant call center and client reporting. • Developed and analyzed strategies for defined contribution business including extensive analysis with three primary alternatives… Show more Led operating unit of Retirement Plan Services responsible for the daily valued and balance forward recordkeeping for 1,500 plans with 325,000 participants. Managed 300+ associates responsible for administrative functions including recordkeeping, contributions, distributions, loans, plan conversions, compliance, participant call center and client reporting. • Developed and analyzed strategies for defined contribution business including extensive analysis with three primary alternatives and exploring opportunities with some of industry’s best competitors and vendors.• Executed exit of defined contribution business. - Participated in successor vendor selection and due diligence. - Planned and organized a structured conversion of plans to successor providers. - Implemented staff retention programs and practices ensuring staff stability during 12-month process. - Created White Paper documenting approach and protocol for successful exit strategy.• Implemented continuous improvement methodology including performance scorecard which improved team performance along financial, productivity, speed, quality and people perspectives.• Designed and implemented root-cause analysis for every incident of loss write off resulting in reducing incidents of loss.• Oversaw development and implementation of an automated tool balancing transactions on a daily basis at category level. Show less

Managed Division of 75 associates responsible for valuation of 134 funds.• Improved valuation accuracy.• Implemented the use of Fund/SERV and DCC&S for trading in non-proprietary mutual funds.• Converted trust accounts from SEI and TAAS trust accounting systems to AMtrust.• Developed and implemented a sweep vehicle conversion process resulting in significant savings to the organization.• Developed and implemented a defined contribution SAS 70 report resulting in audit… Show more Managed Division of 75 associates responsible for valuation of 134 funds.• Improved valuation accuracy.• Implemented the use of Fund/SERV and DCC&S for trading in non-proprietary mutual funds.• Converted trust accounts from SEI and TAAS trust accounting systems to AMtrust.• Developed and implemented a sweep vehicle conversion process resulting in significant savings to the organization.• Developed and implemented a defined contribution SAS 70 report resulting in audit efficiencies. Show less

Managed department of 25 accountants responsible for valuation, trust and custody of 70 funds.• Improved valuation accuracy through implementation of preventative control measures. Improved department’s performance from being an outsource candidate to best-in-class in the industry.• Converted 18 collective funds to proprietary mutual funds.• Internalized financial reporting process for 50 common and collective funds, resulting in significant savings annually.• Integrated… Show more Managed department of 25 accountants responsible for valuation, trust and custody of 70 funds.• Improved valuation accuracy through implementation of preventative control measures. Improved department’s performance from being an outsource candidate to best-in-class in the industry.• Converted 18 collective funds to proprietary mutual funds.• Internalized financial reporting process for 50 common and collective funds, resulting in significant savings annually.• Integrated KeyCorp (Albany) fund accounting responsibilities consisting of 25 additional funds. Show less

Managed audit phases for a diverse client base consisting of large bank trust operations, large and mid-size SEC manufacturing companies, insurance company, hotel and restaurant chain, trade union, dairy cooperative and its manufacturing subsidiaries, and non-profit organizations. Collaborated with various levels of trust management and developed proactive solutions to investment, accounting and reporting issues. Responsible for 2-25 direct reports based on engagement size.