Iris Lee Email & Phone Number

Toronto, On, Ca

* Worked with Canadian Banking units to ensure regulatory requirements and relevant controls are captured in Thomson Reuters eRCM system* Coordinated annual Compliance Risk and Control Assessment (CRCA) process* Supported the development of internal policies and procedures to reflect rule changes from various regulatory bodies* Liaised with Canadian Banking business units to develop, enhance and manage Canadian Banking compliance programs, to comply with applicable regulations* Delivered over 400 customer files and various exam packages to OSFI/FINTRAC as part of Exam team

Toronto, Canada Area

* Managed oversight of the RCM program for RBC Investor & Treasury Services* Identification of policies and processes within the 1st & 2nd lines of defence * Identification and documentation of relevant regulations and controls in 1st & 2nd lines of defence* Performed risk assessments of relevant regulations* Evaluated adequacy of 2nd line of defence monitoring and testing programs based on risk levels* Documentation and ongoing maintainance of RBC I&TS RCM Program

Toronto, Canada Area

* Managed TDS Regulatory Change Library by summarizing proposed and finalized regulations* Led the development and production of key reports, including subsidiary board reports* Built reporting processes which involves working with the Office of the Chief Compliance Officer and TDS Operational Risk Management on various risk dashboards (i.e. KRIs)* Acted as primary point of contact for enterprise and department-wide projects, which includes representing TDS Compliance on various working and advisory committees* Developed and maintained strong working relationships by means of understanding and communicating Compliance's key strategies, priorities and objectives* In conjunction with the OCCO, led the development and implementation of an effective strategic planning framework for TDS Compliance Canada* Influenced CCOs, AVPs and project teams to align activities to business strategies and objectives* Monitored progress against strategic plan priorities and assist Compliance executives with work efforts to meet these priorities* Accountable for TDS Compliance Canada's risk-based forecast and budget, including the and monitoring of results on an ongoing basis* Managed recruitment and development of co-op students in TDS Compliance Canada

Toronto, Canada Area

* Administration of monthly operating expense analysis for Wholesale Bank including review and investigation of significant variances against benchmarks * Provided reporting and analysis on Wholesale Bank FTE statistics * Developed ad hoc expense reports as required to support business decisions of Senior Management * Liaised with business line analysts to complete expense commentaries * Calculated monthly contribution to profit results for administering Variable Compensation accruals * Administration and daily approval of the Web-Based Global Daily P&L Report – a key management tool used throughout TD Securities to monitor revenues on a daily basis * Liaised with Middle Office and Front Office groups to ensure that the structure of Daily P&L Reports reflects current build of businesses by specific book or revenue stream * Coordinated with Middle Office for reconciliation of Daily P&L Report to GL at month end * Identified opportunities for green-dollar savings for the Wholesale Bank * Preparation of Trading Income and VaR histogram for shareholder reporting * Assisted in planning and forecasting processes * Followed up on outstanding processing entries, reconciliation items or other tracking issues to ensure proper resolution and to minimize errors * Ensured efficient and accurate operational processes are in place to meet all business partner needs and/or established guidelines as applicable

Toronto, Canada Area

* Facilitated business heads with development and maintenance of 160 Business Continuity Management Plans* Acted as Subject Matter Expert for all BCM plan related issues and the new Enterprise BCM Gateway functionalities (e.g. creation of 40 new BCM plans)* Led and assisted with the testing, training and implementation of the new Enterprise BCM Gateway (e.g. Member of Gateway Deployment Committee and Pilot project, one-on-one training sessions with over 100 business unit coordinators)* Assumed leadership role and providing guidance to Associates in various BCM initiatives and projects (e.g. 6-months project on intranet re-launch)* Completed Lean Orange Belt training and project (i.e.1 year project that reduced redundant signoffs in the Reputational Risk and New Product and Business Approval process) * Acted as project manager for small projects and initiatives (i.e. avg. 3-6 months projects)* Developed and maintained solid relationships with senior management teams to ensure seamless flow of information* Managed the Global Business Services intranet portal (i.e. intranet portal accessed by all GBS staffs)* Actively involved in the Reputational Risk and the New Product & Business Approval processes (e.g. preparation of pre-mails, drafting of minutes, monitoring of conditions)

Toronto, Canada Area

* Communicated with front office and counterparties to finalize confirmation details* Ensured legal confirmations are documented accurately and sent to clients on a timely basis (avg. 35 Vanilla deals and 5 Structured deals per day)* Analyzed trade details in various derivatives support systems to identified potential booking errors (e.g. Atlas, Calypso, Bloomberg)* Identified and investigate discrepancies throughout the confirmation process* Prepared weekly and month-end reports to front office

Toronto, Canada Area

Toronto, Canada Area

Toronto, Canada Area

Mba

Bba

Activities and Societies: Co-operative Students' Association - Co-President (2001-2003) Golden Key National Honour Society - Social Events.