Ensure successful outcomes through expert industry and market acumen while creating an exceptional service experience for the customer.

­Ensure successful outcomes through expert industry and market acumen while creating an exceptional service experience for the customer.

• Directed external audit engagement and created SOC 1 Readiness program:- Resulted in multi-year zero-defect/exception rate.- Oversaw vendor relationship with external audit firm, reduced spend rate by 15% over three years.- Coordinated with Operations and Vendor Management to quantify, assess, and mitigate TPR.- Rolled-out controls analysis and control owner training.- Implemented Emerging Technologies and Automated Controls Approach (e.g. UDA, RPA, AI).- Provided client support including exception response and client SOC discussions.• Provided Risk Lead coverage for Client Workplace Investing with responsibility for:- DC, DB, H&W, SPS, Trust Services, Workplace Consulting, Implementations and Configuration, Communications, Plan Testing and Reporting.- Business planning risk prioritization and ongoing risk mitigation.- Presented monthly risk report to executive leadership team, highlighting key risks and issues.- Sarbanes-Oxley reporting and certification- Worked with Enterprise Risk Management and Operations to conduct SOX BURA’s• Led cross-functional team in client escalated incident remediation to successfully correct and mitigate issues while balancing the needs of the client with the requirement to protect Fidelity’s interests.• Created Process Assurance Quality program to institute ongoing risk oversight, business attestation, overarching control deployment for activities representing highest risk to the organization and our clients.

• Created and oversaw Retirement Services Key Risk Indicators Program to monitor risk.• Centralized and oversaw Incident Management, responsible for triage and mitigation of incidents which have potential for significant adverse client, reputational, financial, or regulatory impact.

• Managed Cash team whose primary client was the Massachusetts Municipal Depository Trust with responsibility to service the funding and disbursements of the multi-billion-dollar account. • Created Quality Assurance team whose purpose was to monitor controls’ effectiveness.

• Oversaw Rollout of Seamless-Service model providing one-and-done corrections of client and participant issues with 95% resolution within 24 hours for the Tax-Exempt market.

Time Period: 1994 - 1998, then returned in 2000• Owned the relationship for multiple clients, providing Transfer Agent, and Corporate Action Services.

• Marketing support for successfully introduced Merrill Lynch, one-billion-dollar REIT U.I.T.