Daniela Frias Email & Phone Number

Chiyoda-Ku, Tokyo, Jp

London, Gb

▪ 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.

London, Gb

▪ 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.

New York, Ny, Us

▪ 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.

London, Gb

▪ 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.

Gb

▪ 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.

Toronto, Ontario, Ca

▪ 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.

Gb

Gb

Master Of Accountancy, Accounting

Bachelor Of Accounting

Education record

Education record