Head of Technology & Functional Implementation Practice with current focus on:- Establishing and enhancing rule based, Compliance Testing Programs for Swap Dealers and Security-Based Swap Dealers- Triennial Auditing of CFTC 23.603 Business Continuity and Disaster Recovery plans for Swap Dealers- Client Onboarding process review and Target Onboarding Model implementation providing a comprehensive E2E process across all impacted functions in Capital Markets.- M&A pre-close planning and post-close integration execution for Broker Dealers- QFC Recordkeeping for IHCs- SEC Securities Based Swap Dealer rule analysis and implementation for CFTC regulated Swap Dealers or de novo registrants- SEC rule 18f-4: Use of Derivatives by Investment Companies and BDCs- CFTC Swap Dealer Capital and Financial Reporting rule analysis and implementation- SEC OTC Derivatives Dealer Registration: Market and Credit Risk Capital Calculations, Monitoring Notification & Reporting (Stress VaR, Backtesting, Model Proxies, RNIVaR)- Fundamental Review of the Trading Book (FRTB)

Operating as an independent contractor, I provide consulting services to the Financial Services industry to ensure the delivery of strategically aligned and regulatory compliant initiatives. I was recently engaged as a "Coach", assisting senior executives at a global bank on how to execute Operational Risk Control Self Assessments ensuring that all risks are assessed and mitigated effectively. I have significant experience in all aspects of the Operational Risk framework and leverage that knowledge to provide best in class guidance to clients.