Deidre Hicks Email & Phone Number

Norwalk, Ct, Us

Greater New York City Area

• Coordinated, planned and implemented large scale Conduct related programming (e.g., speaker series, events, panel discussions, workshops, etc.) related to GBM Conduct Program.• Partnered with regional Leads on Conduct Capability Work streams and drove forward implementation in close coordination with COO and CCO teams.• Led GBM Americas Conduct Management Information reporting initiative aligning regional and global requirements.• Engaged with GB and GBM business stakeholders to plan and promote the Conduct Agenda and events.• Supported training requirements related to the GBM Conduct Program.• Validated the landing of GBM Conduct Program milestones for Americas region across all lines of business.

Greater New York City Area

Client Coverage & Investment Banking (CORI) and Financial Institutions Group (2016-2018)Global Finance & Investment Banking (GFIB) (2012-2016)Capital Markets and Syndicate (CMS) (2007-2011)Chief Operating Officer in the Global Finance and Investment Banking division. Establish new procedures, lead process improvement initiatives, and enforce firm policy to create a strong first line of defense; chair internal and external audit reviews. Contribute to and drive strategic planning at local level aligning to global initiatives with coordination across all business functions. Execute tactical and strategic initiatives. Provide compliance training and coordinate global reporting efforts. Interact extensively with team members from accounting, operations, technology, legal, and compliance to resolve complex matters.• Develop and implement transactional processes designed to realize operational synergies across teams.• Drive profitability by controlling operational costs and maximizing individual productivity and systems automation. Formalized reporting processes to capture timely and accurate revenue targets across products. • Implemented Leverage Lending policy and monitoring of Leverage Lending portfolio. • Subject matter expert for global corporate and financial institutions clients on Know Your Customer (KYC) and Anti-Money Laundering (AML).• Enhanced supervisory structure and group project manager for automated solution.• Reduced annual market data expenses by $350K after identifying idle subscriptions to third party vendors throughout the group. Efforts eliminated unnecessary spending and enhanced individual accountability.

Greater New York City Area And Tokyo, Japan

Equity Capital Markets (ECM) DivisionSenior Business Manager & Supervising Officer (2003-2007)Managed the financial control, annual budgeting, and regulatory compliance functions of Bank of America’s Equity Capital Markets division. Responsibilities included junior resource allocation, staff recruiting, and business continuity planning. Ensured the accuracy and completeness of P&L reports and counterparty trade reconciliations. • Managed multiple ad hoc projects simultaneously while implementing transparent audit, research, and process improvement standards across the department. • Supervised the activities of the group to conform with bank policy and regulatory requirements. Escalated breaches of policy to senior management to limit firm exposure; coordinated protection efforts with colleagues in legal and compliance.Equity Financial Products (EFP) DivisionMiddle Office Manager (1998-2003)Managed a team of ten middle office associates instrumental in starting up the EFP middle office function in New York and Tokyo, Japan. Researched and hired external clearing brokers and support staff personnel to manage daily derivative and hedging activity. Relocated to Tokyo from 2001-2002 to provide on-site management, supervision, and support.• Monitored total foreign currency exposure and cross currency holdings to advise senior management on risk levels. Tested and validated internal and external trade reconciliation systems to ensure accuracy.• Oversaw the creation and distribution of all P&L, trade reconciliation, & collateral management reports (domestic and foreign currencies). Accountable for new system development, process integration, & strategy reviews; managed internal and external audits and tax reporting by client.

Greater New York City Area