James Carter Email & Phone Number

Frankfurt Am Main, Hessen, De

Frankfurt Am Main, Hessen, De

Managed both U.S. and Global efforts pertaining to Systems Continuity and other Infrastructure Shared Services (ISS) areas (Human Resources, Vendors, and Facilities) to ensure continued access of services in a resolution event. Led and managed project workstreams for HR, Intragroup Vendors, Operations, and Technology in identifying critical client and internal data fields to ensure both U.S. and European (E.U) are compliant with GDPR-related regulations. Partnered with Technology Data and Innovation (TDI) group to perform monthly assessment of completeness on essential data fields for internal and external systems to ensure resolution provisions are in place. Led refreshed efforts across various topic areas (Material Legal Entities, Infrastructure Shared Services, and Operational Continuity) narrative for 2024 U.S. Resolution Plan Submission Collected and reviewed Infrastructure Shared Services data for interconnection between ISS and Material Entitles and Core Business Lines Revised semi-annual Resolvability Assessment (for Operational Continuity for both Group and US to project plan timeline to improve resolution capabilities. Addressed data quality issues for the developing Enterprise Process Model for ISS data and validation coordination between IT developer and business to update database and address data integrity issues Created Key Operation Document for Systems Continuity that included a methodology of determining when an Intellectual Property Agreement (aka Quitclaim) was required for internal applications to ensure proper ownership Developed playbooks for Operational Continuity areas to provide a breakdown between Runway, Resolution and Post-Resolution both U.S and Global

Leading Consolidate Audit Trails (CAT) efforts regarding Phase 2e Reporting based on FINRA 2020 announcement where the Goldman Sachs must comply and report on FDID accounts that are classified as having Large Trading IDs. Managing between Regulation Operations and Regulatory Engineering on remediating data quality issues to escalate to business owners to risk accept Monitor the ongoing communications between the client, Goldman Sachs, and regulator: FINRA regarding on further defining the specific Phase 2e CAT Reporting requirements to submit and remediate by full compliance date of December 2022 Engaged data stewards from separate business divisions to help map and own the data for underline business report. Oversaw the completion, approval, and closure of a project involving TRACE (Trace Reporting and Compliance and Engine where the bank was able to deliver the reporting capabilities. Leading working sessions between Operations, Technology, and Product Owners on how specified data are defined between the G-S Bank and what the regulators seek.

San Francisco, California, Us

Monitored Technical and Product Teams developments of implementing production codes to successfully release code enhancements from a Client and Loan Onboarding perspective. Managed the Review Team (consisting of Operations and Process Engineers) on prioritizing 218 identified processes affecting (Operations, Front-Office, and Shared Services) where identified the impacts required to revise the process, procedures, and training to the new Accounting system: Loan IQ. Engaging Process Engineering and Operational Teams to create Target State Model based on priorities to ensure process design work is completed for development and delivery of procedures, training, and communications. Collaborating with Business Operational Support {aka Business Readiness (BOS)} on capability and conversion, key communications/trainings requirements are logged centrally for the LoanIQ Conversion Program. Coordinate with Change Implementation Team for both BOS and Credit Bridge Onboarding and Accounting (CBOA) Booking Services to define and deliver communications (both internal and external), users’ access, define post-conversion support plan. Developed Post Conversion Support Plan for BOS that included Day 1 Support for users, escalation path for issues, track temporary solutions, and track clients’ communications in readiness intake. Monitor the gathering and maintenance testing status during SIT Testing from Quality Assurance and Test Lead Resources and User Acceptance Testing (UAT) to provide test status to key stakeholders as required by program guidelines. Ensuring user-stories (in the form of Consolidated Document) are approved prior to deployment based on requirements. Lead weekly Core Team Meetings for CBOA Booking Service and provide meeting summary while assigning action items to appropriate parties while providing oversight to ensure closure.

Paris, Fr

Leading project activities that focus on how raw unprocessed data (I.e. DataLake and Fin Lake) is fed into another data source to migrate to a central financial data reporting tool. Managing strategic regulatory projects that will impact both the Americas (U.S. and Canada) and Global Finance groups that are a part of the bank’s Global Strategic Program. Overseeing of implementation and disciplined execution against regulatory timelines and agreed deliverables for various financial software implementation and migration projects affecting the inventory of bank’s products (I.e. loans, interest rate swaps, treasuries, etc.) financial accounts, and reports. Secure resources (staffing and software access) of project team(s), with the support of Managing Director and/or relevant governance body in charge of allocating resources. Leading close collaboration with Legal, Finance, Risk, and Compliance departments and global programs to gain a full understanding and buy-in of the U.S. GAAP and IFRS policies and their impact on the business. Creating projects’ framework that includes defining a sustainable governance process to lead the project to success, approval for closure, and transition to BAU, collecting projects’ requirements, developing and maintaining projects’ documentation.

Frankfurt Am Main, Hessen, De

Led and managed project workstreams for HR, Intragroup Vendors, Operations, and Technology in identifying critical client and internal data fields to ensure both U.S. and European (E.U) are compliant with GDPR. Reviewed dynamic and static data for critical Financial Market Instruments {FMI aka FMU (Utilities)} to provide tactical data solutions to how the bank can view counterparty information. Managed remediation efforts of Federal Regulators': (FRB and FDIC) to improve U.S. Resolution Plan’s credibility based on operational, financial, and front-line business capabilities. Also, responsible for presenting and highlighting RAG (Red-Yellow-Amber) status updates to U.S. regulators both the FDIC and FRB. Developed an operational cost model to show cost for critical services per material entity required for prefunding service entities per SR14-1 U.S. and Foreign Bank Organization (FBO) Guidance. Provided guidance on Shared Services and Operational Interconnectedness to various core business lines in drafting the U.S. Resolution Plan and managed the accompanying data to illustrate interconnections between the front-office and supporting business functions. Improved methodology process of identifying critical Shared Services and allocating both providing and receiving cost of those services for a resolution event. Reviewed all key operating procedures documentation to ensure governance structure, roles and responsibilities, and controls are established before transiting to Business-as-Usual (BAU) or Run-the-Bank (RTB). Ensured requirements for U.S. Resolution Planning were aligned with the Finance, Risk, and Technology's’ requirements for other key U.S. and European regulatory initiatives like CCAR, CSCO, and GDPR.

London, England, Gb

Provided project support to Country Compliance for U.S. in maintaining central database of rules and regulations, and assist uploading of detailed plans including tasks, milestones, in SharePoint sites pertaining Regulatory Reform issues particularly Dodd-Frank regulations. Managed all Regulatory Legal and Compliance (L&C) on any new regulations that had an impact on either the U.S. or Europe within the L&C program. Led and managed Regulatory Reform Working Committees in rule, analysis, gaps analysis, impact assessment in U.S./Global and assist Compliance Team in ensuring that the legal and regulatory requirements are delivered to various businesses and functions. Incorporated governance for each project within the Regulatory Reform Program to ensure smooth closure of each project and facilitate a seamless transition from a Change Activity to BAU status with each respective business line. Worked with various Directors to ensure the project risks and issues are managed in the transformation of the current regulatory Change model to the new Regulatory Compliance model and responsible for drafting the governance framework on the procedures and data governance. Managed and coordinated risk assessment review of both Banking and BSA/AML regulations.

Chicago, Il, Us

Chicago, Illinois, Us

Paris, Fr

Milwaukee, Wi, Us

Des Plaines, Illinois, Us

Chicago, Illinois, Us

Westlake, Texas, Us

Bachelor'S Degree, Communications And Business

Master Of Business Administration - Mba, Finance, General

Master Applied Science, Information Technology Project Management