John J. Caufield Email and Phone Number

Managing GRC (Governance, Risk and Controls) System, Business Continuity, and Risk Reporting.

Consultant (Sept 2018 to July 2019)Working with Trust Division at Amalgamated Bank to streamline paper intensive processes. Reviewing current works flows, designing new procedures and assisting in their implementation. Principal Consultant (Jan 2018 to June 2108)Team Lead for Operational Risk and document specialists providing operational risk consulting services to Pay Pal. Currently working on mapping critical processes, documenting controls and linking them to… Show more Consultant (Sept 2018 to July 2019)Working with Trust Division at Amalgamated Bank to streamline paper intensive processes. Reviewing current works flows, designing new procedures and assisting in their implementation. Principal Consultant (Jan 2018 to June 2108)Team Lead for Operational Risk and document specialists providing operational risk consulting services to Pay Pal. Currently working on mapping critical processes, documenting controls and linking them to legal obligations. Analyzing data to provide a risk profile of process with current controls. Senior Account Representative (July 2016 to Dec 2017)Working with various clients providing consulting services to small commercial businesses in need of capital. Analyzed lending potential, qualified business for loans and advised commercial companies on most cost effective funding. Show less

ACCOMPLISHMENTS• Introduced annual Risk and Control Self-Assessment (RCSA) through team of 10 to entire commercial bank fulfilling on an OCC requirement.• Initiated an Audit and Assurance team of 4 for the commercial bank. Team managed information flow to and from Audit/OCC and the business as well as tracked issues and events. Instituted annual calendars and managing findings. Eliminated confusion of responsibilities for Audits and Reviews. Provided a concise process of… Show more ACCOMPLISHMENTS• Introduced annual Risk and Control Self-Assessment (RCSA) through team of 10 to entire commercial bank fulfilling on an OCC requirement.• Initiated an Audit and Assurance team of 4 for the commercial bank. Team managed information flow to and from Audit/OCC and the business as well as tracked issues and events. Instituted annual calendars and managing findings. Eliminated confusion of responsibilities for Audits and Reviews. Provided a concise process of accountability and communication fully embraced by the business leads.• Oversaw automation of Issues and Events process for the commercial bank. Became the lead for company on implementing. Reduced aging of issues by 50%. Show less

ACCOMPLISHMENTS• Established process for new product governance for Retail and Commercial bank. Worked with product managers to insure risks were vetted and mitigated on various projects throughout the company. First area in Capital One to meet standards from OCC and Corporate required process.• Supported the Business Risk office in event collection, risk governance for horizontal support areas, and risk assessments to newly acquired banks. Provided much needed guidance and… Show more ACCOMPLISHMENTS• Established process for new product governance for Retail and Commercial bank. Worked with product managers to insure risks were vetted and mitigated on various projects throughout the company. First area in Capital One to meet standards from OCC and Corporate required process.• Supported the Business Risk office in event collection, risk governance for horizontal support areas, and risk assessments to newly acquired banks. Provided much needed guidance and clarity for new process. Successful in assimilating new areas to “mindset”. • Oversaw management of Business Continuity for all of Commercial Credit Risk Management. Realigned process to reflect critical business processes for the Commercial bank meeting OCC standards. Show less

ACCOMPLISHMENTS• Established and coordinated creation of Enterprise Risk Management Committee, meeting NYS/OCC requirements.• Chairman of Emergency Preparedness and Customer Information Security Committees – cleared NYS findings and revised and updated documentation process.• Revamped Privacy Officer to align with Customer Information Security requirements.

ACCOMPLISHMENTS• Assumed responsibility for back-office Y2K efforts including vendors and testing.• Managed migration to new ATM driver saving well over $450K.• Renegotiated check processing and printing vendor contracts saving over $800K on each.• Member of Client Advisory Boards for PC Banking (ORCC) and Teller's Checks Vendor (First Data). Represent Bank on regional Clearing House for Check processing.