Dan Tambolas Email & Phone Number

Frankfurt Am Main, Hessen, De

Financial Crime Operations Managero Managed 25 full time and 60 external staff in FCO Application & Scenario Testing (FAST): a control function which prevents faulty software through User Acceptance Testing (UAT) as well as Transaction Monitoring coverage gaps through Below-the-Line (BTL) and Above-the-Line (ATL) Testing.o Redesigned processes and procedures to improve efficiency, effectiveness and control.o Ensured adherence to testing discipline through requirements analysis, complete testing coverage and traceability, defects management, thorough documentation, and appropriate/timely escalations.o Provided constructive challenge to IT and Modeling partners to optimize solutions.o Assisted user adoption of solutions through demonstrations and creation of training materials.o Successfully completed the largest ever BTL testing effort undertaken by FCO to meet accelerated regulatory commitments.

Frankfurt Am Main, Hessen, De

Financial Crime Operations Managero Managed 25 full time and 60 external staff in FCO Application & Scenario Testing (FAST): a control function which prevents faulty software through User Acceptance Testing (UAT) as well as Transaction Monitoring coverage gaps through Below-the-Line (BTL) and Above-the-Line (ATL) Testing.o Redesigned processes and procedures to improve efficiency, effectiveness and control.o Ensured adherence to testing discipline through requirements analysis, complete testing coverage and traceability, defects management, thorough documentation, and appropriate/timely escalations.o Provided constructive challenge to IT and Modeling partners to optimize solutions.o Assisted user adoption of solutions through demonstrations and creation of training materials.o Successfully completed the largest ever BTL testing effort undertaken by FCO to meet accelerated regulatory commitments.

Frankfurt Am Main, Hessen, De

Program Manager – Anti-Financial Crimeo Established US remediation scope in response to a Federal Reserve Board Cease and Desist Order as it pertains to Financial Crime Operations (FCO) Investigations and Case Management.o Oversaw successful execution of established scope from inception through closure approvals by Delivery Assurance and Group Audit.o Managed Project Managers and Business Analysts on all aspects of execution, including building and maintaining plans, requirements gathering, status reporting and issue remediation related to manual controls and/or systems development and user adoption.o Ensured all projects ran in accordance with governance standards and methodologies.o Liaised with applicable stakeholders, including global and regional Operations, Data, Technology, DFS 504, and Business teams, to ensure appropriate ownership of deliverables, risks and issues.o Managed the US FCO Capacity Model to identify any additional resource needs in both change and run-the-bank teams to support US remediation efforts.

Frankfurt Am Main, Hessen, De

Project & UAT Manager – Anti-Financial Crimeo Summarized delivery options for reengineering correspondent banking transaction monitoring regime and obtained buy-in from all stakeholders.o Led daily meetings to draft, pilot, and refine changes to investigations process/procedures to increase overall monitoring effectiveness and decrease handoffs/duplication.o Maintained overall plan to migrate roles from offshore to onshore.o Reviewed resumes and interviewed candidates to fulfill over 300% growth in Jacksonville.o Created/implemented plan to train new and existing staff on system and procedure changes.o Built and managed team of 15 dedicated UAT resources to support system enhancements, upgrades, migrations and refine monitoring scope.o Organized firm-wide in-scope entity and account review to ultimately submit Deutsche Bank’s 2018 Report of Foreign Bank and Financial Accounts (FBAR) filing to FinCEN.

Frankfurt Am Main, Hessen, De

Project Manager – Global Markets Central Managemento Designed and implemented centralized/business-led process to document controls, ensure and document testing of controls, administer business head sub-certifications, and ultimately obtain the annual CEO certification for SEC Rule 15c3-5 (the “Market Access Rule”).o Analyzed and updated Pricing Model Risk Governance Key Operating Procedures in conjunction with Global Model Validation & Governance group and Business Controllers to make clear expectations around model controls and red flagging disciplinary actions, where necessary.o Designed, administered and automated enhanced Volcker reporting suite to summarize activities at a more senior product-management level (distilling materials from over 100 meetings into 15) to increase control and inform the CEO attestation process (a requirement of the Volcker Rule).o Delivered dedicated regional/divisional instance of electronic communications surveillance software along with streamlined central review model which: improved control, simplified escalation processes/audit trails, and ultimately reduced false positives by 66%.

Frankfurt Am Main, Hessen, De

Project Manager – Volcker Reporting Programo Served as overall execution lead to prioritize and fix data quality issues across the Inventory Turnover Ratio and Inventory Aging metrics calculations, bringing the share of reportable balance sheet in acceptable accuracy thresholds from 23% to 99.75% in advance of regulatory deadlines.o Directed analysis and requirements gathering, and performed central planning for strategic integration between metrics reporting platform and bank-wide book reference data repository.o Managed business analysts; worked with Business Managers, Finance Directors and Risk & P&L Services to define requirements; managed vendors across build and QA efforts and oversaw global UAT for tool required to assess charges where Inventory Aging metrics breached policy thresholds.o Worked with Legal, Compliance, Finance, and representatives from all Deutsche Bank corporate divisions to define requirements for strategic tool to monitor interests in Covered Funds.o Led business analysts to document requirements and coordinated UAT for Comprehensive Profit and Loss Attribution metrics to be reported to regulators.

Frankfurt Am Main, Hessen, De

Completed the Management Development Program (MDP) with international job rotations, formal classroom training and extracurricular projects sanctioned by the executive committee of the Global Business Services organization.o December 2013 – May 2014: Worked with team of five to define uniform global model to control, mitigate incidents and speed the decommissioning of End User Developed Applications (EUDAs) built using Excel and/or Access that have financial, operational, reputational or regulatory impact.o June 2012 – February 2013: Project managed team to recommend strategic approach for monitoring and controlling investment of customer collateral in compliance with change to CFTC regulation 1.25.

Frankfurt Am Main, Hessen, De

Project Manager – EMIR OTC Swaps Reporting Programo Directed team of business and functional analysts to document requirements and maintained end-to-end plan to deliver on global Credit and Rates OTC Swaps reporting requirements.o Centrally coordinated efforts with and provided regular status reporting to end-to-end stakeholders throughout lifecycle, including Legal, Compliance, application Developers, and support staff.o Attended industry-wide and internal market initiatives working groups to ensure deliverables met changing requirements and escalate issues or obtain clarifications where necessary.

Frankfurt Am Main, Hessen, De

Project Manager/Business Analyst – Global Loan Operationso Provided expertise for design and implementation of a global trade capture application and feed from prime record to risk system. Demonstrated proof of concept to senior stakeholders. Worked with end-to-end stakeholders to define support operating model to align with strategic architecture.o Composed BRD, coordinated UAT, and expanded utilization of DTCC Loan/Serv to include contract reconciliations and additional legal entities with unique requirements.o Devised strategy, obtained buy-in from senior stakeholders and coordinated teams from all regions to remediate identifiers in database and enable participation in DTCC Loan/Serv and Markit Clear.

Frankfurt Am Main, Hessen, De

Trader Assistant / Loan Total Return Swap Administratoro Generated and explained monthly TRS P&L statements for hedge fund clients.o Booked trades and reconciled position histories from clients’ blotters.o Prepared, reviewed and executed par and distressed commercial loan trade settlements.o Interpreted and accounted for complex restructurings, bankruptcies and CAM allocations.o Explained day-over-day changes in portfolio market value for collateral purposes.o Uncovered and resolved position, interest and fee breaks affecting client returns.o Reported to traders, auditors and senior management on transactions, records and team activities.o Trained newly formed team in Jacksonville, FL on trade capture functions for Loan TRS product.

New York, Ny, Us

Operations, Management Services & Technology program with 6-9 month rotations over two years:March 2007 – January 2008: Project Manager/Business Analyst within Global Reference Data Serviceso Composed business requirements, coordinated UAT, and trained over 500 users on new workflow tool scheduled to replace 32 tools via STP with an annual savings of $2.14MM.o Recommended improvements, obtained buy-in from senior management, and ultimately administered capacity model to gauge productivity within GRDS Delaware hub.o Implemented STP from bank-wide account setup application into Bloomberg system.July 2006 – March 2007: MasterSwap Loan Trading Settlements within Investment Banko Prepared, reviewed and executed par and distressed commercial loan trade settlements.o Delivered and received consideration amounts on settlement dates.o Interacted with trading desk, counterparties and clients to resolve sensitive account items.

Philadelphia, Pa, Us

o Provided dependable and consistent personal care for an individual with muscular dystrophy who was confined to a wheelchair.

New York, Ny, Us

o Member of the Kessler-Baker Group – then premier wealth advisory team on the eastern US coast.o Solicited roughly 100 cold contacts daily to obtain high net worth clients.o Created bond maturity calendars to complement clients’ overall view of investment strategy.

Harrisburg, Pa, Us

o Recruited members and counseled them on financial management options/products.o Created and delivered presentations at college orientations for students and their parents.o Returned upon request to speak at orientation for incoming interns from all branch offices.