▪ Business Manager responsible for oversight of the FCC Advisory, Governance, and Strategy teams. ▪ Responsible for delivery of the data driven Financial Crime Risk & Control Assessment, quantifying risk and measuring control effectiveness for senior management. ▪ FCC Member of the Private Bank Product Due Diligence Committee, responsible for periodic Product Risk Assessments and review of new and updated products.▪ Secretary of the US Private Bank Financial Crime Risk Management Committee, responsible for developing key reporting metrics and issue and escalation management. ▪ Provide FCC policy and procedure input (Anti-Money Laundering, Sanctions, Bribery & Corruption, Tax Evasion, and Fraud). ▪ Partner cross-functionally from the impact assessment phase through operational implementation to achieve compliance with FinCEN’s Customer Due Diligence Rule.

▪ Design and implement HSBC’s Payments Transparency Program, a global initiative to design appropriate controls to mitigate the higher risks of money laundering and terrorist financing associated with wire transfers. ▪ Direct data scientist to develop technical testing programs to examine funds transfers for compliance with FinCEN’s Travel Rule.▪ Perform thematic reviews of issues to identify common themes, risks and process improvement opportunities.▪ Provide advisory services and training support to the first line of defense delivering guidance and training for business requirements.▪ Lead the development of an Archer based workpaper system used for documenting the full lifecycle of financial crime assurance reviews while enabling management information and reporting. ▪ Travel internationally to provide training on assurance best practices in Spanish to expand capability of QA testing teams in Latin America.

▪ Responsible for development of policies and procedures regarding the authorization and approval of transactions with related parties.▪ Implement process enhancements to mitigate risk related to business relationships and transactions for firm investments via KPMG Capital, focused on investments in data and analytics.▪ Research transactions with related parties, identifying potential conflicts and ensuring appropriate safeguards implemented to mitigate independence compliance risk. ▪ Evaluate entity structure of business affiliates to determine permissibility of business relationships pursuant to AICPA and PCAOB regulations.

▪ Responsible for the US Legal Risk & Control Assessment; execute departmental reviews to define operational and legal risks (e.g., adequate staffing, external legal spend; dispute risk, litigation risk, and legislative risk) and design the requisite controls. ▪ Perform top risk analysis in collaboration with US Legal Executive Committee to determine inherent and residual loss exposure of operational risks.▪ Implement the Legal Risk Management Assurance Framework embedding the OCC Heightened Standards for risk governance; developed the US Legal Risk Management Procedure. ▪ Collaborate with each line of business (Commercial Banking, Global Banking & Markets, Private Banking, and Retail Banking & Wealth Management) and shared function (Corporate, Litigation, Regulatory and Law Enforcement Investigations, and Supplier Contract teams) General Counsel to coordinate departmental processes and procedures.▪ Enhance metrics for calculating Key Risk Indicators (i.e., statistics on Business Continuity, Customer Complaints, Human Resources, and Vendor Risk) for reporting to regional and global risk committees.▪ Perform SOX entity-level control testing of legal disclosure controls and procedures in relation to Forms 10-Q and 10-K as well as those related to litigation and liabilities reporting.

▪ Lead the development of reports and presentations for senior management, executive committees, and regulatory exams. ▪ Supervise compliance audit programs and preparation of internal control questionnaires, responsible for scheduling, selection, and determined scope of audit for random and judgmental compliance audits.▪ Develop process documents, procedures and provide training for the offshoring of Independence Compliance programs.▪ Implement quality enhancements that improved compliance processes; reduce processing time for management reporting of audit detected exceptions by 50%; reduce processing time of combined self-reported and audit detected exception reporting by 66%.▪ Collaborate on development of risks and considerations as well as policy requirements for firm’s Third-Party Labor (fiscal 2013 spending on Third Party Labor exceeded $310 million).▪ Analyze tax documents including Schedule K-1s, Schedules A-F, Forms 1040, 1065, 1099B, 1099INT, 1099DIV, 1099MISC, 1099B and 1098 in fulfillment of PCAOB agreed procedures and produce audit reports detailing methodology and findings.

▪ Support large range of business units in securing vendors, software, hardware, real estate etc., ensuring contract integrity and observation of appropriate compliance safeguards▪ Produce and revised legally binding confidentiality agreements for potential capital market investment banking opportunities ranging from energy and real estate to electronic trading.