Led the RCM Governance Team – key activities included:Managed the annual RCM Self-Assessment process and created the final report for the Bank’s Global Chief Compliance Officer (CCO). For 2021, an agile approach was utilized to redevelop and deliver the Self-Assessment over a 10-week period.Developed a suite of in-depth, interactive RCM Governance Analytics covering a broad array of topics, including Risk Assessment, Issues Management, and Monitoring & Testing.Championed… Show more Led the RCM Governance Team – key activities included:Managed the annual RCM Self-Assessment process and created the final report for the Bank’s Global Chief Compliance Officer (CCO). For 2021, an agile approach was utilized to redevelop and deliver the Self-Assessment over a 10-week period.Developed a suite of in-depth, interactive RCM Governance Analytics covering a broad array of topics, including Risk Assessment, Issues Management, and Monitoring & Testing.Championed several initiatives including:- Chaired the RCM Roles, Responsibilities and Training subcommittee. Key outputs of this initiative were refreshed RCM Target Operating Model, revised First Line of Defence RCM Operating Manual, and updated RCM training materials / website, covering all core RCM modules. - Represented RBC and was an active contributor in the interbank Corporate Function RCM working group. - Ongoing and complex Bank-wide stakeholder management of our RCM Functional Partners who represent several dozen discrete risk areas covered by the RCM Reliance Model. - Owner and custodian of RCM Reliance Model methodology and standards, which included developing key templates and tools for standardization and efficiency.Supervised core RCM Governance activities including:- Updated the RCM Framework Assessment in the quarterly CCO Opinion to the Audit Committee.- Performed quarterly trending analysis of the RCM Data Dashboards, a collection of key RCM metrics and analytics shared with Compliance Senior Leadership. - Developed materials for, and chaired, RCM Governance Committee meetings.- Conducted the quarterly RCM Trigger Event Assessment process, as a backstop measure to help ensure that all material trigger events are being identified and addressed. - Ongoing review and assessment of RCM Reliance Model Risk Areas, to measure their degree of alignment to RCM standards. Show less

Re-designed and launched the following Board-level reports presented by the Chief Audit Executive to the Audit Committee:- Annual Internal Audit Report on Anti-Money Laundering (AML)- Triennial Report on Global Compliance (also presented to the General Executives and OSFI – Office of the Superintendent of Financial Institutions)- Quarterly platform summaries and related reports on AML and Global Compliance.Active participant in and/or led meetings with regulators (e.g.… Show more Re-designed and launched the following Board-level reports presented by the Chief Audit Executive to the Audit Committee:- Annual Internal Audit Report on Anti-Money Laundering (AML)- Triennial Report on Global Compliance (also presented to the General Executives and OSFI – Office of the Superintendent of Financial Institutions)- Quarterly platform summaries and related reports on AML and Global Compliance.Active participant in and/or led meetings with regulators (e.g., OSFI), including responding to queries.Championed the ongoing Internal Audit review of the RBC’s updated RCM Program.Dynamic member of the annual audit planning process, including completion of risk assessments; developed dashboards to display past and projected audit coverage in a concise and easy to understand manner for Senior Management. Worked collaboratively with key stakeholders to update the Compliance Standard Audit Programs and Continuous Monitoring Program, both of which were subsequently reviewed by OSFI. Steered the development of analytics and continuous monitoring processes and tools for the Global Compliance and AML functions – in August 2018, coverage expanded to I&TS and achievements included:- Text mining-based analytics (e.g., a Sanction City Scanning Algorithm)- Pattern recognition-based analytics (e.g., automated review of client identification data to obtain assurance regarding onboarding quality) – client displayed interest in adopting similar analytics- Several interactive dashboards.Conducted a project to develop an inventory of regulatory requirements applicable to Internal Audit. Show less

Completed compliance-focused audits across multiple platforms (Capital Markets, Wealth Management, Banking, Investment and Trust Services) and regions (Canada, US, Europe, APAC, and Caribbean). Limited experience leading audits, however, my efforts achieved significant cost and hour savings for audits led. Directed and managed the development of analytics and continuous monitoring processes and tools for the Global Compliance and AML functions, to glean insights into the… Show more Completed compliance-focused audits across multiple platforms (Capital Markets, Wealth Management, Banking, Investment and Trust Services) and regions (Canada, US, Europe, APAC, and Caribbean). Limited experience leading audits, however, my efforts achieved significant cost and hour savings for audits led. Directed and managed the development of analytics and continuous monitoring processes and tools for the Global Compliance and AML functions, to glean insights into the quality of risk mitigation across several functions.Collaborated with the Internal Audit Compliance Senior Director to respond to regulatory inquiries.Awarded the 2017 recipient of the Chief Audit Executive Award of Excellence.Led team to victory at the inaugural 2017 Internal Audit Data Hackathon, which was a team competition with peers to develop the most creative analytics based on real business use case. Show less