Jim Steiner, Cfa, Cpcu, Prm Email and Phone Number
Jim Steiner, Cfa, Cpcu, Prm's Location
St Petersburg, Florida, United States, United States
Jim Steiner, Cfa, Cpcu, Prm's Contact Details
Jim Steiner, Cfa, Cpcu, Prm work email
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Jim Steiner, Cfa, Cpcu, Prm personal email
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Jim Steiner, Cfa, Cpcu, Prm phone numbers
About Jim Steiner, Cfa, Cpcu, Prm
Experienced CFO/COO with a demonstrated history of working in the banking and insurance industries. Skilled in Enterprise Risk Management, Data Modeling, Regulatory Compliance, M&A, and Finance. Strong operations professional with a Master of Science (M.S.) focused in Risk Management from NYU-Stern and a Master of Public Policy (M.P.P.) in Management from Georgetown University.
Jim Steiner, Cfa, Cpcu, Prm's Current Company Details
Jim Steiner, Cfa, Cpcu, Prm Work Experience Details
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Chief Operating Officer & Chief Financial OfficerNeptune Flood Insurance Jul 2018 - PresentSt Petersburg, Florida, UsResponsibilities include enterprise risk management, regulatory and binding authority compliance, corporate governance, risk and data modeling, geospatial analytics, and operations, including finance/treasury, accounting, HR and third-party risk management.
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Director, Risk Strategy & InnovationBank Ozk Aug 2016 - May 2018Little Rock, Arkansas, Us• Develop Corporate Risk Management Group and Corporate Board and management-level policies• Develop, implement and manage the Corporate Enterprise Policy Administration program• Drive Group efficiency and implementation of strategy through the introduction and/or incorporation of new technologies and processes • Provide advice and counsel for Group staff on a host of governance, risk and compliance matters, including integration of acquired staff• Support large Corporate projects ensuring risk is appropriately considered and addressed• Perform merger and acquisition diligence activities with respect to acquired bank governance, risk and compliance postures• Provide strategic guidance to the OZRK Innovation Labs software development team with respect to risk and regulatory change management• Oversee the Bank's Software Development Life Cycle (SDLC) risk assessment program -
Executive Vice President & Chief Risk OfficerC1 Bank & C1 Financial, Inc. May 2014 - Sep 2016St. Petersburg, Fl, UsPrimary responsibilities include:■ Oversight of the Bank's corporate governance, risk management and compliance (GRC) programs■ Provision of assurance to stakeholders that risk decision making in the Bank is balanced and within agreed risk appetite and that control processes are rigorously designed and applied■ Support of the Bank's business strategy through provision of efficient and effective delivery of risk management advice, challenge, and decision making■ Establishment and maintenance of a risk register with high level assessment of each top risk for likelihood and impact■ Evaluation of risk capacity and recommendation of an appropriate risk appetite and set of quantitative and qualitative metrics (KRIs/KPIs) for adoption by the board■ Communicating the risk management manual, risk policies and risk register across the Bank■ Ensuring that operational units report risk mitigation strategies periodically■ Management of regulatory exam process and periodic communication with regulatory bodiesOversight of the following functions:■ Enterprise risk management (ERM) & COSO 2013 implementation■ Consumer compliance/CRA■ BSA/AML compliance■ Third party risk/vendor management ■ Model risk management■ Physical & information security■ Fraud risk management & ethics/whistleblower program■ Regulatory exam management■ SOX 404 internal controls implementation, and ■ Internal audit coordinationSubject matter expertise in the following areas: ■ Financial risk/treasury investment portfolio management■ Quantitative and statistical/econometric methods■ Asset liability management (ALM)■ Interest rate sensitivity and duration risk ■ Portfolio credit risk management (including country transfer risk and stress testing)■ Credit charge off/ALLL modeling■ Operational risk management (including IT steering and business continuity planning)■ Basel III■ Federal banking regulations -
Senior Vice President, Director Of Risk Management & Chief Administrative OfficerC1 Bank & C1 Financial, Inc. Jan 2013 - May 2014St. Petersburg, Fl, UsMajor duties and responsibilities include:■ Preparation of refinements and updates to the bank’s management policies and guidelines to enable proactive risk management within the context of a dynamic business environment and best industry practices■ Participation in revision of the bank’s capital adequacy plan and implementation of the supporting models and systems■ Development and implementation of effective asset/liability management strategies that control the bank’s overall exposure to exchange and interest rate risk■ Identifies questionable actions, operational inefficiencies and collaborates with staffto resolve or improve them■ Establishment and utilization of quantitative analyses and models to support recommended changes in risk policies and guidelines as well as new bank initiatives, including local currency financing■ Monitoring and reporting of a broad range of advanced risk measures (such as stress testing, value-at-risk (VaR), risk factor sensitivity analysis, and other measures) to enable a comprehensive understanding of risk positions, market conditions and the impact of new initiatives■ Provides functional direction and supervision to the Internal Auditor, and reviewsmonthly audit reports■ Advises the Board and other members of Executive Management of emerging compliance issues and consults and guides the Bank in the establishment of controls to mitigate risks. ■ Serves as the Bank's BSA/OFAC Officer and oversees the Bank's BSA/AML program, including the monitoring program, SAR filing and 314(a) reporting; 314(a) and 314(b) inquiries, OFAC and criminal watch list hits and prepares required regulatory reports■ Ensures new product development as well as all loan and deposit activities include full AML consideration.■ Performs annual BSA/AML/OFAC risk assessment.■ Oversees and develops BSA/AML training for board, management and staff.■ Coordinates regulatory examinations and internal audit reviews
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Chief Project Management Officer, Vice PresidentC1 Bank & C1 Financial, Inc. Sep 2012 - Jan 2013St. Petersburg, Fl, UsMajor duties and responsibilities include:■ Reviews project proposals or plans to determine time frames, funding limitations,procedures for accomplishing project, staffing requirements and allotment ofavailable resources to various phases of projects.■ Confers with project staff to outline work plan and to assign duties, responsibilitiesand scope of authority.■ Directs and coordinates activities of project personnel to ensure project progresseson schedule and within prescribed budget.■ Reviews status reports prepared by project personnel and modifies schedules orplans as required.■ Prepares project reports for Executive Management.■ Confers with project personnel to provide technical advice and resolve problems.■ Establishes work plan and staffing for each phase of project and arranges forrecruitment or assignment of project personnel.Plans and oversees activities in the following areas related to the Bank's mergers and acquisitions activities, including:■ Acquisition due diligence and valuation■ Corporate research ■ Project management■ Market and economic research■ Regulatory communication■ Pre- and post-merger core conversion/deconversion■ Workforce/organizational optimization■ Product integration■ Product line management■ Management information centers integration
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Senior Registered Associate - Rule 144 SpecialistMorgan Stanley Oct 2003 - Aug 2010New York, Ny, UsGlobal Wealth Management Division■ Managed private client investment portfolios using asset allocation principals including scenario analysis and Monte Carlo simulation modeling■ Researched products and developed portfolios for high net worth & individuals and businesses ■ Specialized in retirement plans, restricted securities transactions, managed platforms and 1035 tax-qualified fixed and variable annuity exchanges ■ Developed individual and institutional Investment Policy Statements (IPS)■ Prepared client review performance reports and serviced client accounts.■ Performed credit quality analysis on fixed income and CD instruments■ Executed equity, fixed income, managed futures, hedge fund, foreign currency, and variable and fixed annuity transactions■ Modeled and executed income and hedged options strategies and other concentrated position strategies including the execution of preset diversification (10b5-1) plans■ Established qualified and non-qualified stock option (ESOP) and purchase (ESPP) plans for public companies■ Subject matter expert in Rule 144 Restricted Securities transactions (firm certified), including seller's representation, non-solicitation, legal opinion and transfer agent processes■ Modeled and invested college savings (529) plans■ Ensured compliance with IRA required minimum distribution (RMD) and 72(t) rules■ Evaluated and selected wrap account (SMA) managers based on client IPS and manager strategy/performance■ Performed various supervisory compliance functions, including trade review, compliance approvals, and electronic correspondence monitoring■ Maintained proficiency in NASD/FINRA and SRO regulationsFINRA Licenses: Series 7, 9/10, 66, 31State Life/Health/Variable Insurance License
Jim Steiner, Cfa, Cpcu, Prm Skills
Risk Management
Portfolio Management
Financial Analysis
Financial Risk
Banking
Finance
Credit
Enterprise Risk Management
Strategic Planning
Asset Management
Policy Analysis
Securities
Commercial Banking
Investments
Economics
Loans
Internal Audit
Mergers And Acquisitions
Bloomberg
Credit Analysis
Project Management
Fixed Income
Executive Management
Public Policy
Econometrics
Stata
Data Analysis
Strategic Financial Planning
Corporate Finance
Anti Money Laundering
Statistics
Project Planning
Asset Managment
Risk Assessment
Bank Mergers
Qualified Retirement Plans
Equity Capital Markets
Information Security Management
Policy Writing
Jim Steiner, Cfa, Cpcu, Prm Education Details
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Nyu Stern School Of BusinessRisk Management -
Georgetown UniversityManagement
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University Of OxfordInternational Management
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The George Washington UniversityFinance
Frequently Asked Questions about Jim Steiner, Cfa, Cpcu, Prm
What company does Jim Steiner, Cfa, Cpcu, Prm work for?
Jim Steiner, Cfa, Cpcu, Prm works for Neptune Flood Insurance
What is Jim Steiner, Cfa, Cpcu, Prm's role at the current company?
Jim Steiner, Cfa, Cpcu, Prm's current role is COO & CFO at Neptune Flood Insurance.
What is Jim Steiner, Cfa, Cpcu, Prm's email address?
Jim Steiner, Cfa, Cpcu, Prm's email address is js****@****ood.com
What is Jim Steiner, Cfa, Cpcu, Prm's direct phone number?
Jim Steiner, Cfa, Cpcu, Prm's direct phone number is +172789*****
What schools did Jim Steiner, Cfa, Cpcu, Prm attend?
Jim Steiner, Cfa, Cpcu, Prm attended Nyu Stern School Of Business, Georgetown University, University Of Oxford, The George Washington University.
What skills is Jim Steiner, Cfa, Cpcu, Prm known for?
Jim Steiner, Cfa, Cpcu, Prm has skills like Risk Management, Portfolio Management, Financial Analysis, Financial Risk, Banking, Finance, Credit, Enterprise Risk Management, Strategic Planning, Asset Management, Policy Analysis, Securities.
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