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.
• 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.
• 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.
• 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.
• 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.

• 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..
• 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.
• Developed and implemented compliance surveillance reviews of business activities to assist business partners with identifying potential risks or trends warranting further supervision.

Bs, Mathematics, Computer Science

Ms, Statistics