• Manage and execute the Control and Operational Risk Evaluation (CORE) program globally for AWM and JPMWM CCOR in collaboration with the Global CCOR team and other lines of business and regional teams, • Created and developed the CORE program for AWM CCOR - Launched in 2020• Identification of risks associated with processes owned by AWM and JPMWM and analysis of the impact and scope of those risks.• Collaborate with SMEs to establishment controls to address risks that have been identified• Own and execute the AWM and JPMWM CCOR Office of Legal Obligations (OLO) program involving the identification and analysis of rules and regulations established by Regulatory authorities (globally) and identifying potential gaps in coverage• Own and execute the AWM and JPMWM CCOR Resiliency program• Correspond with regulatory exam and internal audit teams, and examine and address regulatory and internal audit findings and queries. Provide recommendation and challenge for documentation provided to the Regulators and audit teams• Owner of the WEAVE applications access program managing info barrier, data access (MNPI), and regional concerns• Execute, advise and provide critical challenge on remediation of regulatory, internal audit, testing and self-identified issues• Coordinate, analyze and produce frequent reporting on high priority escalations, exceptions and metrics• Analyze new high severity issues raised across the firm and emerging risk events to determine potential AWM applicability

• Owned and managed the Issue and Action plan management program for AWM CCOR• Provide critical challenge on the actions taken and artifacts provided to address business owned issues • Addressed Regulator and Audit team queries and requests related to AWM CCOR and led meetings with the teams to address concerns.• Led and organized the re-design of the AWM RCSA process during the transition from the legacy Phoenix system to the new FORCE system, and partnered with Technology teams to analyze and troubleshoot potential errors and fail events• Conducted risk assessments along with the AWM Risk Assessment team to ensure goals were met and monthly/quarterly deadlines were not breached. • Conducted testing for the AWM Monitoring and Testing team to help ensure their yearly objectives were reached. • Manage New Business Initiative, User Tools and Models processes and perform UAT testing for AWM Compliance • Create and organize KEYs meeting materials that are presented to high level management teams in various functions across the firm (Legal, Risk, Business, Oversight & Controls, Global Financial Crimes)• Serve as member of several governance forums and committees for AWM, Asset Management and Wealth Management

• Conducted routine and special examinations of member firms’ financial, sales, trading, supervisory and AML practices to determine compliance with federal and FINRA rules and regulations• Analyzed member firms’ Net Capital status and made determinations if excess net capital levels were adequate with consideration to firm activities• Responsible for analysis of FOCUS reports including balance sheets, income statements, and net capital computations• Investigated potential money laundering situations involving both firm members and customers• Investigated customer complaints through interviews of member firm personnel and customers along with related reviews of firm records and customer supplied information• Consistently submitted assigned casework and examinations within 75% of the time allotted on average• Conducted On-the-Record interviews of registrants which led to formal disciplinary action taken by Enforcement Attorneys