Ellen Piazza Email & Phone Number

Dresher, Pennsylvania, United States

Designed, implemented and managed the risk-based testing program to evaluate effectiveness of controls and assess regulatory and operational risk associated with activities across all business lines, including retail distribution. • Established protocols and testing standards for regulatory required testing of the organization’s three Broker Dealers, including more than 480 annual branch inspections. Testing activities for the Broker Dealers include FINRA 3110 (Branch Office Inspections) and 3310 (AML Compliance Program), as well as Separate Accounts testing in accordance with SEC Rule 38a-1.• Developed annual test plan and inspection schedule, in collaboration with Audit, Risk Management and local business Compliance. Approved scope of each test plan ensuring they were risk based and met broker dealer requirements.• Supervised and supported the testing team of approximately 20 compliance professionals day-to-day, including review and approval of final workpapers/test results to ensure testing methodology was followed and all issues raised have been appropriately risk rated. • Reported inspection results to senior management and key business stakeholders, validated the adequacy of corrective action plans, and ensured testing results were incorporated into the Compliance Risk Assessments (CRA).• Developed and provided metrics and dashboard reporting to proactively communicate to business partners and the Chief Compliance Officers (CCOs) the status of testing, identified control gaps, issues trends and themes and areas of increased risk.• Drove implementation of automated testing for common scope areas, including Intelligent Process Automation (IPA). • Coordinated and led the AML review for Prudential’s retail distribution broker dealer (Pruco Securities) with vendor provided off-shore testing resources.

Implemented and managed the program for the completion of compliance independent inspections of Prudential’s retail distribution broker dealer (Pruco Securities) Offices of Supervisory Jurisdiction and Branch Offices. The inspections focused on the evaluation of the state of risk and controls of the first line of defense.• Established annual inspection program and led staff of 18 associates to ensure inspections were completed properly and timely. • Conducted quality assurance reviews of work papers, validated issues and observations and reported inspection results to senior management and key business stakeholders.• Completed performance feedback for 12 direct reports. Interviewed and hired new team members. Completed budget and staffing analyses and projections.• Completed the Annual Compliance Risk Assessment determining inherent risk ratings, reviewing associated controls for validity and effectiveness, determining residual risk rating and collaborating with first line of defense to formulate action plans to further mitigate residual risk. • Developed and implemented compliance surveillance reviews of business activities to assist business partners with identifying potential risks or trends warranting further supervision.• Managed and completed independent sales practice investigations based on new or emerging risks (e.g., fraud, trade order integrity, compensation manipulation).• Collaborated with control and business partners on the continual self-assessment of policies and procedures and enhancement of controls for emerging issues.

Bs, Mathematics, Computer Science

Ms, Statistics