Janice Moore Email & Phone Number

New Milford, CT, US

New York, NY, US

• Created and lead the bank's Employee Conduct Compliance team that has positively influenced the bank's culture of compliance. Employees are now more cognizant of adhering to policy and self-reporting issues. Highlights.
• Globally accepted methodology and procedures for escalating and tracking employees’ breaches of Compliance policy (including assigning regulatory risk and conduct scores).
• Formalized governance structure that includes Human Resources (HR) and Legal to ensure appropriate and consistent investigations, escalations and treatment of employees.
• Created an enterprise system used for case management, generating metrics and feeding a supervisory dashboard and achieved global adoption of the program.
• Developed procedures, quality assurance testing and training for all Compliance and HR staff engaged in escalations.
• Lead investigations and escalations of high severity breaches with Legal and Human Resources.

New York, NY, US

Responsible for a team of Compliance professionals - managing the functions of Personal Account Dealing, Registrations, Outside Business Affiliations, Gifts & Entertainment, E-Communications Surveillance, Records Retention, Data Privacy, Information Risk Management, Global Escalations, and Large Holdings. Developing tactical and strategic solutions to.

New York, NY, US

Run the operations of Compliance, strategic direction, finance, recruiting, process improvement, management reporting -- and much more.Manage E-communications Surveillance and serve as the Accountable Executive for the firm's Dodd Frank work stream tasked with meeting the new records retention and voice recording requirements.

New York, New York, US

Manage a global team of people with responsibility for ensuring employees fulfill their compliance/regulatory responsibilities such as; obtaining and maintaining licenses, approving and monitoring outside brokerage accounts, obtaining approvals for private investments, gifts and entertainment requests and performing annual compliance certifications..

New York, New York, US

Led senior Compliance and IT managers in the creation of Regulatory Employee Profile Solution (REPS), a mission critical enterprise technology solution that supports numerous compliance functions such as registrations, outside brokerage accounts, private investments, trade pre-clearance, directorships, political contributions and annual compliance.

New York, New York, US

• Moved to London to rebuild and manage the operations of the European Learning and Professional Development department.
• Developed the business plan, stakeholders’ analysis, financial reporting and monitoring systems.
• Re-engineered processes and reduced costs by 70%, headcount by 60% over the prior year.
• Contributed to the design and implementation of firm-wide training courses and strategy development initiatives for Pine Street, the firm’s leadership training program for Partners and Managing Directors.

New York, New York, US

• Created the knowlEDGE exchange, the Fixed Income division’s continuing education program aimed at retraining our professionals to be successful in rapidly changing financial markets.
• Developed a curriculum with emphasis on the sales skills and value proposition products such as SWAPS, credit derivatives and distressed debt.
• Developed a global technology solution, brand and marketing campaign that was later adapted by the firm.
• Effected organizational change – went from no continuing education to over 85% of the division participating in an average of 15,000 hours in the first year.

New York, New York, US

• Initiated, developed and managed the firm’s Community Service Department.
• Developed a business plan, policies and procedures for charitable contributions and corporate volunteer programs. Provided regular high-profile briefings to steering committee of senior partners.
• Conceived and implemented a global volunteer program, Community TeamWorks (CTW) that mobilized 10,000 people in its first year. Introduced to concept of corporate volunteerism to communities in Europe and Asia.
• Implemented a ground breaking web-based technology solution, brand and marketing campaign.
• Made a lasting impact on the firm’s culture. CTW continues to engage 20,000 employees annually and built enduring relationships with our communities across the globe.

New York, New York, US

• Senior project manager of the in-house staff of project mangers responsible for the design and construction of the firm’s New York and US regional offices.
• Worked with business leaders to interpret business objectives and delivered creative solutions.
• Led teams through several crisis situations. Established temporary facilities and accelerated the reconstruction of permanent space following the flooding of our data center and burning of our Philadelphia office.
• Outstanding record of delivering projects on time and within 5% of budget on projects totaling over $70M annually.

Bfa, Interior Architecture, Architecture & Industrial Design

Bachelor Of Fine Arts - Bfa, Interior Architecture