James Mathis Email & Phone Number

Baltimore, Md, Us

Baltimore, Maryland, United States

•Develop and implement data management strategies aligned with the organization's objectives and industry best practices.•Establish and maintain data governance frameworks, policies, and procedures to ensure data quality and compliance.•Design and optimize data workflows, data integration processes, and data quality control mechanisms.•Identify potential data-related risks and vulnerabilities, conducting risk assessments and gap analyses.•Develop and execute risk mitigation plans, including data security measures, disaster recovery, and business continuity plans.•Implement data quality standards and metrics, overseeing data profiling and cleansing efforts.•Ensure adherence to data privacy regulations (e.g., GDPR, CCPA) and industry-specific compliance requirements.•Collaborate with cross-functional teams to understand data needs, resolve data issues, and provide data-related guidance.•Establish and monitor key performance indicators (KPIs) related to data quality, operational efficiency, and risk management.•Maintain comprehensive documentation of data processes, risk assessments, and remediation efforts while providing regular reports to senior leadership and regulatory authorities.

Baltimore, Maryland, United States

•Leads the GIO Strategic Operational Risk Management Program focused on optimizing risk management capabilities, developing risk mitigation strategies, and cultivating a mature risk culture•Serves as the Privacy and Client Confidential Data (CCD) Lead for GIO and is accountable for the facilitation of Security by Design and Privacy Assessments•Responsible for effective Incident Management and Risk Oversight that is enabled through ongoing reporting, trend analysis, and strategic partnerships with Enterprise Risk, Internal Audit, and Compliance•Assist Investment Operations with completing risk assessments, proactively identifying risk issues, developing risk mitigation plans, and incident coordination•Ensure proper Access Management and Data Governance Models are effectively employed across GIO

•Lead the Process Improvement Program for GCAS by managing process improvement initiatives from inception to implementation that are aimed at enhancing operational efficiency and effectiveness, improving client satisfaction, and controls risk•Create and maintain strategic partnerships with business unit leadership to drive lean six sigma adoption and continuous improvement across the enterprise•Proactively mitigate risk by identifying the level of risk within GCAS Processes and develop a strategy to effectively manage risk•Present ongoing updates on the Process Improvement Program to the Lead Team and Risk Operations Steering Committee (ROSC)•Lead Risk Assessments and partner with Enterprise Risk on remediation efforts

Owings Mills, Maryland

•Utilize advanced business and operational expertise with the transfer agent business in order to oversee complex intermediary servicing functions•Implement process improvements and lead projects that improve operational effectiveness and mitigate risk•Effectively manage a team that is responsible for reconciling NSCC trade rejects and transfer agent responsibilities that are critical to the T. Rowe Price Mutual Funds•Ensure processes and procedures are reviewed and updated to stay within compliance guidelines•Manage the Internal Trade Team who assist with Retirement Plan Conversions, Multi-Sector Portfolio transactions, and trades that Finance sends for the T. Rowe Price Subsidiaries •Assist with the mutual fund Pricing oversight and communication to financial intermediaries

•Manage the Brokerage Operations team within RAM and ensure that we are following compliance and regulatory guidelines•Assist with escalated brokerage issues and serve as a point of contact for various FINRA and OSJ audits•Coach and develop associates by creating individual development plans for each associate to help them reach individual career goals •Provide guidance and constructive feedback to associates relating to their performance and career development•Supervisor Lead for the Private Asset Management Processing Team•Serve as a lead on the project to transition processes and functions from AWD2 to AWD10, which involved reviewing existing procedures and making improvements to streamline workflow•Manage the Quality Team and ensure we are following department guidelines while also ensuring the department is in line with industry benchmarks

Owings Mills, Maryland

•Headed the Brokerage Foreign Account Project from a senior perspective and provided updates to Group Manager •Manage and evaluate in conjuncture with the supervisor a high quality team of 9 associates that is FINRA licensed and trained•Assisted with the Abandoned Property Project and reported progress to Department Manager•Flex coaching style to promote the growth and development of a diverse team of associates•Collaborate with other departments and management on the resolution of escalated issues •Operate as an Access Person through assisting the Portfolio Managers by placing trades for Private Asset Management and their High Net Worth Clients

Owings Mills, Maryland

•Coached team of 10 to 15 associates and helped them work towards achieving their individual development goals•Monitored the manager queue and ensured that time sensitive items were addressed•Created and facilitated Joint Monitoring training sessions for RDS associates •Completed the Senior Leadership Development Program•Served as the RIS New Hire Lead Coach and facilitated the onboarding of the RIS New Hire Class

Owings Mills, Maryland

•Built shareholder confidence by providing outstanding customer service•Assisted the Personal Service Group and Brokerage Departments during periods of high call volumes •Successfully completed the Brokerage Pipeline•RMD/Specialist trained•Helped onboard new hires to the department by serving as a PAL and as a Coach

Master Of Business Administration - Mba

Bachelor Of Science - Bs, Political Science