• Direct the governance and oversight for Commercial Real Estate and Commercial Credit Workout Independent Testing & Validation Team (IT&V) on planning and executing regulatory compliance and Risk and Control Self-Assessment (RCSA) related engagements for both business groups. • Manage a team of 7 Senior Managers and Officers and 16 indirect team members, verifying adequate business-specific controls are designed and mapped to the major requirements, significant risks, and key controls, and deployment of regulatory compliance testing per enterprise-wide standards. • Responsible for strategic annual test plan development to ensure comprehensive coverage of federal and state laws and regulations and enterprise-wide risk requirements.• Oversee and approve engagement review activities utilized to perform regulatory compliance/control testing and maintain testing procedures and narratives to ensure consistency, resulting in comprehensive and defensible test results.• Coordinate across lines of defense with key stakeholders to enable effective, credible challenge of covered business groups. • Partner with IT&V Strategy and Program leadership on developing program framework and standards, ensuring alignment with corporate expectations and industry best practices. • Member of IT&V extended leadership team and represent IT&V on the Commercial Real Estate Risk Council. • Integrated Risk Management (“IRM”) 2nd Line co-ordinator for Enterprise Wide RCSA Program. • Corporate Risk Diversity Equity and Inclusion (“DE&I”) Council Member, representing IT&V globally. 𝐊𝐞𝐲 𝐀𝐜𝐡𝐢𝐞𝐯𝐞𝐦𝐞𝐧𝐭𝐬• Managed the Corporate and Investment Banking team’s largest year-on-year reduction in overall review to report cycle times (~30%).• Assisted leadership in establishing and delivering against smart sourcing targets for the team one year in advance, capturing an additional year of run-rate savings.

• Engaged by the Chief Data Officer of a Fortune 20 global telecommunications firm to advise the senior leadership team on risk management practices for Big Data and Artificial Intelligence ("AI"), inclusive of Machine Learning ("ML").• Developed and governed the creation of an enterprise-wide Data Use Framework, inclusive of a risk rating methodology and implementation standards.• Advised C-suite on data risk management while ensuring constancy with the Firm’s enterprise risk management framework.• Retained by a Top 4 US advisory firm to supplement oversight of an RCSA implementation effort at a Tier 2 national bank and insurer.

• Accountable for daily management of the Operational Risk Function and oversight of the $1MM Program-Budget for Integrated Risk Management, composed of 2 teams comprised of 10 FTEs, reporting to the Chief Risk Officer with matrix reporting to FVP/COO.• Program lead for multi-year bank-wide resilience initiative, responsible for Integrated Risk Assessment program to harmonize risk assessment standards and methods across cyber, technology, compliance, fraud, and operational risk.• Developed and facilitated key operational risk programs and initiatives, including Risk and Control Self Assessments; Business Risk & Control Mapping; Risk Event capture and analysis; and Operational Risk Reporting.• Developed a new product review program to identify risks with new initiatives.• Reviewed and challenged New Product initiatives, RCSAs, Risk Events, and Issues/Actions to ensure that the details are appropriate to the business risk exposure and complete, accurate, and captured timely. • Designed and delivered annual Operational Risk Training and Job Aids for key internal and external stakeholders.• Advised senior and executive management on current and future operational risk issues.𝐊𝐞𝐲 𝐀𝐜𝐡𝐢𝐞𝐯𝐞𝐦𝐞𝐧𝐭𝐬• In consultation with senior stakeholders, prioritized a three-year strategic book of work, evaluating all risk owned policies, selecting 1st and 2nd line risk activities, deliverables, and tooling• Served as Risk Function Member on the Operational Services Sub-Committee of the Bank’s Management Committee.• Co-led workstream on multi-bn risk mitigation efforts related to end user-developed tools. • Participated in a working group charged with identifying a robust set of cyber risk scenarios that could impact bank operations and prioritized control initiatives to buy down related risk.

• Led global enterprise-wide Operational Risk Management with oversight of Global Markets and Operations, reporting to the Global Head of Operational Risk of a Forbes Top 10 Australian financial services firm.• Directed a global team of 3 Regional Heads of Operational Risk for Global Markets and Operations and indirect oversight of 15+ FTEs, responsible for reviewing and advising on framework requirements, including risk assessments, new-product approvals, and operational risk incidents, control assurance, and operational risk capital. • Developed and enhanced Operational Risk Self-Assessments and Data Protection for key corporate processes.• Oversaw operational risk gap analysis involving front/middle/back office to identify and rectify compliance issues, identified and improved key controls and key risk indicators (KRIs), and assessed inherent and residual risks.• Assessed and monitored the design and operation of the Enterprise Risk Management Framework to provide assurance that risks were identified and managed.• Identified, assessed, and mitigated key risks to the global businesses coordinating globally to help develop, embed, and mature the RCSA process. • Conducted on-site risk assessments across the globe and published risk profiles, which were widely reviewed and referenced by executive management and the Board of Directors.𝐊𝐞𝐲 𝐀𝐜𝐡𝐢𝐞𝐯𝐞𝐦𝐞𝐧𝐭𝐬• Restructured the solely regional platform into a matrixed business model that has proven to streamline/ improve, and mitigate operational risk• Delivered team’s cleanest regulatory review in company history, boasting no requirements or penalties• Onboarded experienced local hires to support function in expanding its presence in EMEA and APAC• Program Director for an enterprise-wide initiative to establish best-in-class standards for operational control, having influentially advocated and secured C- Suite and Board of Directors sponsorship for the program.

• Responsible for oversight of the Group's enterprise operational risk management framework (second line) within the Americas through independent oversight of business-aligned risk managers. • Accountable for reviewing new business, product, and material transaction approvals, assessing material cross-group loss incidents, oversight of risk and controls self-assessments and control assurance, setting operational risk capital via capital scenarios, and Regular Board reporting.• Engaged in risk discussions internally and externally, challenging risks across the project and the effectiveness of mitigants and controls.• Managed controls assurance spanning the oversight of project controls, working alongside external parties.• Executed and monitored all risk management practices, operational issues, and control breakdowns, analyzed and reported risk information, and implemented Group-wide and Divisional policies and procedures.• Worked with the regional Finance and Regulatory teams on FINRA, SEC, and CFTC, to ensure clean reviews and any issues were remediated.• Implemented key control review plans based on RCSA results.• Enhanced operational procedures to improve efficiency and effectiveness of operations and addressed business concerns to reduce errors in the end-to-end processes and ensure the finance teams adhered to appropriate guidance and regulations.

• Performed as first-line Operational Risk Manager for Derivative/Loan/Commodity and Client Operations, Global Exchange, and Clearing Services (DLCCG), leading a global team tasked with executing the firm’s risk management framework for assigned businesses. • Managed a cross-product Global Market Operations Risk and Control team of 3 Control Officers to ensure succinct analysis of risk areas, ensuring effective key controls are implemented and, where not possible, escalating the control deficiencies and gaps for remediation.• Performed continuous risk assessments utilizing key performance risk indicators that proactively identify and resolve deficiencies in the people, processes, and systems throughout the operational life cycle preventing financial loss and reputational damage.• Oversaw compliance with STARC (Standards of Responsibilities of Control), performing a semi-annual review of administrators, staff, and management via a "Gap Analysis" to ensure the respective operations teams are compliant with the industry's regulatory requirements.• Responsible for implementing the infrastructure/framework for Operational Risk Management per the Basel II Accord for Global Equities (Cash Equities, Derivatives & Prime Services), Fixed Income, Global Credit Derivatives, Foreign Exchange, and all products.• Developed enhanced control practices for identified high-residual risk areas via a global process improvement project designed to impede problems rather than having to resolve subsequent issues.𝐊𝐞𝐲 𝐀𝐜𝐡𝐢𝐞𝐯𝐞𝐦𝐞𝐧𝐭𝐬• Generated 10% cost savings via selective smart-sourcing of team’s functions to near/off-shore service center locations

𝐷𝑖𝑟𝑒𝑐𝑡𝑜𝑟 / 𝑅𝑒𝑔𝑖𝑜𝑛𝑎𝑙 𝐻𝑒𝑎𝑑 𝑜𝑓 𝐷𝑒𝑟𝑖𝑣𝑎𝑡𝑖𝑣𝑒 𝑂𝑝𝑒𝑟𝑎𝑡𝑖𝑜𝑛𝑠 & 𝑇𝑟𝑎𝑑𝑒 𝑀𝑎𝑛𝑎𝑔𝑒𝑚𝑒𝑛𝑡 𝐺𝑟𝑜𝑢𝑝 𝐷𝑖𝑟𝑒𝑐𝑡𝑜𝑟 / 𝑅𝑒𝑔𝑖𝑜𝑛𝑎𝑙 𝐻𝑒𝑎𝑑 𝑜𝑓 𝐴𝑚𝑒𝑟𝑖𝑐𝑎𝑠 𝑂𝑇𝐶 𝐷𝑒𝑟𝑖𝑣𝑎𝑡𝑖𝑣𝑒 𝑆𝑒𝑡𝑡𝑙𝑒𝑚𝑒𝑛𝑡𝑠• Served in dual capacities with accountabilities that entailed overseeing near-shore service center function and cross-functional responsibilities, including trade capture, client relationship management, and settlement for all OTC derivative transactions in credit/equity and rates products.• Managed multiple teams (100+ FTE) with cross-product (credit, rate, and equity) and cross-function responsibilities (trade capture, client relationship management, and settlement) for OTC derivative products while retaining regional responsibility for OTC derivative settlements for the Americas and global oversight of OTC rates settlements.• Global Change and Bank Strategy Lead for Clearing and Market Initiatives and OTC Derivatives in NY/London, governing a multi-year $10M+ budget and a team of 10 responsible for delivering the firm’s tactical business architecture for OTC derivatives clearing and OTC market initiatives.𝐊𝐞𝐲 𝐀𝐜𝐡𝐢𝐞𝐯𝐞𝐦𝐞𝐧𝐭𝐬• Over 24 months - Built out, transitioned and managed 125+ global roles into a near-shore service center facilitating operative support for Americas OTC Derivative Trading businesses• Member of the Jacksonville Operations Committee with supervision responsibilities for operations of the near-shore location (1000+ FTE) and member of the Global OTC Settlements management team. • Americas steering committee member responsible for transitioning roles from multiple global locations to near-shore locations.• Invited speaker on new products and operational control (ISDA 2008).

• Responsible for OTC derivative settlements for credit, rates, and equity products for the Americas (35 FTE). • Strengthened key relationships within the Firm with sales, trade capture, client service, and legal teams. 𝐊𝐞𝐲 𝐀𝐜𝐡𝐢𝐞𝐯𝐞𝐦𝐞𝐧𝐭𝐬• Restructured team and reduced outstanding settlements by 90% in 2008 while reducing headcount in increasing volume.• Oversaw the Firm’s implementation of its strategic settlement platform for the equity settlements team, enabling an off-shoring project of 75% of the team.

• Control Officer for cross-product (credit, rate, equity, and commodities) and cross-function (structured drafting and settlement) derivative operations for the Americas, managing a team of nine, with control responsibilities for approximately 100. • Responsible for maintaining the control infrastructure through applying rigorous internal and external standards, control and incident reporting, and providing guidance on a broad range of issues encountered in day-to-day operations.• Liaised globally with internal and external audit, compliance, industry regulators, front-office, legal, and industry associations on market initiatives, and manage market-driven events. • Managed the project team responsible for run-the-bank and change-the-bank project workstreams, from the creation of business requirements documentation through to UAT and implementation.• Member of the global operations control team, responsible for reviewing the control infrastructure and creating and implementing new mandates.

• Derivatives trading assistant to the lead derivatives trader, responsible for confirming daily trading activity, assisting treasury with trade P&L and payments, as well as reconciling derivatives positions among the Firm, broker dealers and the Firm’s custodian. • Manage all aspects of the derivatives documentation work-flow, including reviewing incoming documentation, resolving discrepancies and approving of confirmations prior to execution. • Par / Near Par loan trading documentation specialist for both proprietary and alternative financed loan trades. • Liaise with dealers, swap counterparties, counsel and third party service providers in negotiating transfer documentation and settlement of high yield debt trades. • Project coordinator for the loan and derivative portfolios. Assist in examining and implementing third party service provider packages such as derivatives prime brokerage and Wall Street Office.

• Supervise and train members of the broker dealer confirmation team, with one associate reporting to myself.• Draft confirmations for credit default swap transactions with other broker dealers, including TRAC-X and DJ CDX products. • Research non-conforming documentation and liaise with clients, as well as middle and front office to resolve discrepancies.• Extensive knowledge of the confirmations process, including risk management and reporting, and also working knowledge of the 1999 and 2003 ISDA Credit Derivative Definitions and 2004 Novation Definitions.• Attend industry conferences, as well as continuing education classes specific to the derivatives industry.• Special projects group representative for risk and compliance.

• Senior Drafter for LSTA (Domestic) and LMA (European) standard confirmations for par /near par loan trades.• Trained fellow team members on LSTA (Domestic) and LMA (European) documentation.• Reviewed, drafted and amended transfer documentation, as well as obtained necessary consents for transfer.• Researched trade compliance with credit agreements and internal credit requirements.• Liaised daily with front offices (New York & London), clients, and counsel to negotiate non-conforming trades and alternative settlement methods.