Denise Brown, Mba work email
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With over 15 years in governance, risk, and compliance, I am a seasoned professional who excels in delivering high-quality solutions to the financial markets. I have a proven track record of leading and supporting supervisory control reviews, managing regulatory audits and examinations, and risk analysis and reporting projects for various clients and stakeholders.In my most recent role as a Principal Consultant at ACA Global, I acted as the primary liaison for risk, regulatory reporting, annual supervisory reviews, emerging trading and compliance regulatory issues. I successfully managed regulatory audits, facilitated the remediation of examination findings, and demonstrated expertise in financial crimes prevention. My leadership extended to leading stakeholder meetings across multiple jurisdictions, projects, and reporting key milestones and conclusions to external and internal stakeholders while mentoring, managing, and training various levels of associates.Prior to that, my role as a Supervision and Surveillance Advisory Consultant at PriceWaterHouseCoopers (PWC) allowed me to orchestrate a 15% surge in surveillance effectiveness. I provided comprehensive consulting services, addressed regulatory gaps, and facilitated transformative projects. My ability to cultivate seamless cross-functional collaboration and deliver strategic guidance on legal compliance significantly impacted operational efficiency and regulatory compliance.As a Corporate Compliance Specialist at the Federal Reserve Bank, I produced comprehensive reports for internal and bank management, led joint examinations with regulatory bodies, and offered strategic advice on the interpretation and implementation of diverse regulations. My role as Deputy Chief Regulatory Officer at the Jamaica Stock Exchange involved trade surveillance protocols, modifications to Exchange Rules, and pioneering initiatives in market efficiency and innovation.My extensive background as a Principal Regulatory & Operational Risk Coordinator at the Financial Industry Regulatory Authority (FINRA) and a Principal Examiner at FINRA/NY Stock Exchange has equipped me with the skills to navigate intricate regulatory frameworks and conduct rigorous examinations. I have a proven track record of shaping policies and procedures to bolster compliance, regulatory reporting, and risk mitigation efforts.I am currently pursuing a Doctor of Business Administration in Leadership at Walden University, Minneapolis, MN, showcasing my commitment to continuous learning.
Broad Street Capital Markets
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Director Of ComplianceBroad Street Capital MarketsNew York, Ny, Us
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Vice President, Finance And OperationsM & D Logistics Llc Oct 2023 - Present• Developed and formalized business strategy and operations for family-owned business.• Developed and formalized written policies and procedures.• Ensure compliance with various state and regional logistical transportation regulations.• Responsible for the day-to-day processing of information and logistical requisitions.• Responsible for the financial operations of the business.
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Principal ConsultantAca Group May 2022 - Aug 2023New York, Ny, Us• Served as the primary contact for risk, governance, and emerging trading and compliance regulatory issues, ensuring proactive client responses and the establishment of sound business practices.• Managed regulatory audits, played a key role in remediating examination findings, and conducted risk assessments for diverse non-compliant regulatory issues, leading to changes in controls aligned with applicable rules and regulations.• Conducted testing and monitoring of clients' annual supervisory controls' reviews, policies, and control procedures, ensuring adherence to relevant rules and regulations, thereby mitigating regulatory scrutiny for Broker Dealers, Investment Advisers, and Hedge Fund clients.• Orchestrated regulatory and process control consultations for financial institutions, optimizing financial performance and addressing regulatory reporting and operational processes, effectively mitigating compliance and operational risks for Broker Dealer, Hedge Funds, and Investment Adviser clients. -
Supervision And Surveillance AdvisoryPrice Waterhouse Coopers- Pwc Jan 2022 - May 2022Kolkata, In• Assisted clients in the implementation and optimization of technology solutions to enhance surveillance capabilities.• Fostered cross-functional stakeholder cooperation to align transformational projects, resulting in improved outcomes.• Provided consulting services, identifying operational and control weaknesses, addressing regulatory findings, and facilitating transformative initiatives.• Conducted technology solution assessments, leading to a 15% improvement in surveillance capabilities for remediating supervisory and risk assessment regulatory findings. -
Corporate Compliance OfficerFederal Reserve Bank Of New York Apr 2021 - Dec 2021New York, Ny, Us• Provided assessments of risk management practices and guidance to internal and external stakeholders.• Planned, performed, and reported on joint examinations with the New York Department of Financial Services (DFS) and Federal Reserve Bank of New York.• Evaluated compliance programs to ensure alignment with regulatory and state laws, producing detailed reports for internal and bank management.• Offered strategic counsel on the interpretation and implementation of various regulations, identifying strategies, risks, and exposure levels within banking institutions. -
AdvisorAdvisorycloud Aug 2020 - May 2021San Rafael, Ca, Ushttps://www.advisorycloud.com/profile/Denise-Brown -
Deputy Chief Regulatory OfficerJamaica Stock Exchange Mar 2020 - Jan 2021Kingston, Kingston, Jm• Supervised trade surveillance protocols to safeguard the investing public's interests and maintain the integrity of the Jamaica Stock Exchange.• Developed and modified Exchange Rules to bolster the Capital Markets framework for a competitive edge.• Played an instrumental role in creating and guiding the Exchange in the development of Short Selling, Securities Borrowing and Lending, Direct Market Access, and Digital Assets rule-making initiatives.• Reviewed and approved Initial Public Offering and Secondary offerings applications and Prospectuses, ensuring compliance with Exchange requirements and International Financial Reporting Standards (IFRS). -
Principal Regulatory Risk Oversight & Operational CoordinatorFinra Jan 2014 - May 2019Washington, District Of Columbia, Us• Subject Matter Expert on various SEA 15c3-1, SEA Rule 15c3-3, and FINRA Rule 4210 issues.• Oversight of various FINRA member firms, ensuring compliance with regulatory requirements imposed by entities such as FINRA, FDIC, CFTC, FRB, NYSE, SEC, and other regulatory bodies.• Oversight and reporting on key risk standards, risk indicators, management guidelines, policies, and procedures, as well as providing guidance and approvals for business expansion strategies and new membership applications of FINRA member firms.• Conducted analyses and provided detailed reports mitigating operational, BSA/AML, credit, market, capital adequacy, liquidity, segregation of client assets, financial crimes, fraud, and business conduct risk exposures. -
Principal Examiner/Regulatory AuditorFinra Jul 2007 - Jan 2014Washington, District Of Columbia, Us• Conducted comprehensive examinations on financial, operational, and trading risks, as well as sales practices, among member organizations to ensure compliance with rules and regulations.• Executed focused examinations with emphasis on financial stability, customer protection, and operational efficiency.• Ensured accuracy and compliance of financial data with FINRA, FRB, NYSE, and SEC regulations, including conformity with GAAP, AML, KYC standards, SEA 15C3-1, SEA 15C3-3, and SEA Regulation SHO.• Led analysis of Value-at-Risk calculations and stress testing for various product categories, collaborated with member firms on internal controls effectiveness, and produced succinct examination reports with strategic recommendations for corrective actions.
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Principal Examiner/ Regulatory AuditorNyse Jan 2004 - Jul 2007New York, Ny, Us -
Compliance OfficerTiaa Jan 2002 - Sep 2003New York, Ny, Us
Denise Brown, Mba Skills
Denise Brown, Mba Education Details
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Long Island UniversityGeneral -
Walden UniversityOrganizational Leadership
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Northeastern Illinois UniversityFinance
Frequently Asked Questions about Denise Brown, Mba
What company does Denise Brown, Mba work for?
Denise Brown, Mba works for Broad Street Capital Markets
What is Denise Brown, Mba's role at the current company?
Denise Brown, Mba's current role is Director of Compliance.
What is Denise Brown, Mba's email address?
Denise Brown, Mba's email address is db****@****fed.org
What is Denise Brown, Mba's direct phone number?
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What schools did Denise Brown, Mba attend?
Denise Brown, Mba attended Long Island University, Walden University, Northeastern Illinois University.
What skills is Denise Brown, Mba known for?
Denise Brown, Mba has skills like Series 7, Hedge Funds, Aml, Asset Management, Broker Dealer, Capital Markets, Equities, Finra, Fixed Income, Investments, Mutual Funds, Risk Management.
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