• Scope and conduct risk and control assessments• Identify potential business risks, operational and regulatory process deficiencies and improvement opportunities• Gather and synthesize data; present conclusions and offer risk mitigation, remediation and process improvement solutions to senior management• Lead specialized risk assessment and testing lifecycles of business activities, processes, policies and procedures for operational effectiveness and compliance with regulatory requirements• Maintain effective communication with other business units and support teams to remediate errors and assist with implementation of corrective actions related to non-compliance with policies and procedures• Analyzes the impact of changes to federal and state regulations and makes recommendations for changes to policies, procedures and practices to ensure compliance• Serve as primary point of contact and subject matter expert in meetings, committees, and major projects related to the development and improvement of processes and controls

• Perform validation reviews of high and medium risk models.• Present validation results and findings to model governance leadership group including CRO.• Maintain model inventory and governance documentation.• Coordinate the mitigation of validation issues.• Lead ad hoc projects to support business units by identifying process improvements.

• Performed risk assessments of workflow processes to identify risks in back-office processes.• Created reports for performance metrics for consulting with leadership on necessary process improvements.• Tested internal controls and consulted on findings and mitigation plans.• Updated operating procedures to tune processes in preparation of annual audit.• Completed ad hoc projects for leadership teams to take on new processes and implement new controls.

-AML consultant focused on processes related to maintaining relationships with the firm’s highest risk clients. Duties include initial enhanced due diligence, client risk rating, identification, control and remediation of the high risk client population.-Areas of focus include Enhanced Due Diligence, PEPs, International Business Structures, Foreign Private Interest Foundations, FATCA, Off-shore Holding Entities and Trusts.

-supports the channels with ongoing monitoring of conformity with internal policies, applicable laws and regulations-provides support to management for client account approvals-assists with oversight of risk/fraud management as it pertains to asset movement/account transfers-supports Anti-Money Laundering, Compliance, Central Operations and Risk teams by reviewing escalated account transactions-reviews the opening of new accounts, option and margin agreements, various asset movement approvals, security removal approvals, account update approvals, letter of authorizations approvals; ACH/Banklink approvals-troubleshoots inefficiencies in workflow processes and formulate viable solutions to meet stakeholder goals-actively identifies opportunities to mitigate risk and collaborate with teams to reduce impacts of risk