Kellie Hart Email and Phone Number
New York, NY, US
Kellie Hart's Location
New York, New York, United States, United States
Kellie Hart's Contact Details
Kellie Hart work email
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Kellie Hart personal email
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Kellie Hart phone numbers
About Kellie Hart
Kellie Hart is a Head of Regulatory Affairs and Compliance Practices at Commerzbank AG. She possess expertise in risk management, financial risk, internal controls, financial analysis, auditing and 4 more skills.
Kellie Hart's Current Company Details
Kellie Hart Work Experience Details
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Head Of Regulatory Affairs And Compliance PracticesCommerzbank AgNew York, Ny, Us
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Enterprise Regulatory Obligations Program DirectorScotiabank Apr 2022 - PresentToronto, Ontario, CaEnterprise Regulatory Obligations Program Management for global banking organization. Responsible for managing a team of professionals, designing the GRC system, architect of program methodology and oversight reporting. -
Head Of Regulatory Affairs And Compliance PracticesCommerzbank Ag Mar 2020 - Jul 2024Frankfurt Am Main, Hessen, DeRegulatory Affairs and Developments:* Manage, oversee and organize regulatory examinations and communication. which includes supporting all areas of the Bank with response preparation and tracking, provide guidance on corrective action plans, track exam findings and prepare official responses to exam reports.* Serve as central point of contact and liaison for the FRB, DFS, and CIMA and other relevant regulatory agencies.* Implemented a RegTech solution for the Bank to ensure legal inventories are captured at the obligation level and mapped to risk mitigating policies, procedures and controls.* Facilitate inter-departmental coordination and communication with Legal and Compliance on regulatory matters and/or applicable new or updated regulations.Policies and Controls:* Oversight of the Compliance policy coordination for the North America Region, which includes supporting the global and local policy development and revision processes.* Ensure that there is an appropriate process for aligning local policies and procedures with the respective global policies, and ensure the timely escalation and resolution of any identified gaps.* Ensure that the control framework is appropriately linked to the local regulatory requirements, and policies and procedures.* Coordinate with local departments/business areas and global counterparts to enhance compliance risk management strategies to provide a holistic picture for the region in accordance with local regulatory expectations.Compliance Training:* Managing the US Compliance Training Program.
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Central Compliance - Head Of Policy And ControlCommerzbank Ag Dec 2017 - Apr 2022Frankfurt Am Main, Hessen, De
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Line Of Business Compliance Officer Fee Based ServicesAmerican Express 2012 - 2016New York, Ny, Us• Implemented all elements of the compliance program for FBS which included compliance risk assessment, testing, monitoring, and issue management. • Advised business partners on compliance risks and provided guidance on designing effective controls. • Collaborated with businesses to design a complaint capture and reporting process for supported businesses. • Led efforts to ensure all third-party vendors were subject to American Express Third-Party Lifecycle Management processes and any identified risks were mitigated.• Tailored enterprise compliance risk management policies for businesses covered which included an e-commerce joint venture, vente-privee, a white-labeled reward program management business, LoyaltyEdge, and a co-branded marketing agreement with Inspirato. -
Director Enterprise Compliance Risk ManagementAmerican Express Jul 2011 - Dec 2012New York, Ny, Us• Performed chief of staff duties for Global Head of Enterprise Compliance Risk Management which included supporting year-end review activities, preparation for meetings, as well as drafting responses to regulators.• Drafted Enterprise Compliance Risk Management policies and supported the multi-layer review process.• Trained Line of Business Compliance Officers on risk assessment methodology and integration of compliance risk assessment into pre-existing enterprise risk management system.
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Director Of Research ComplianceCiti 2004 - 2008New York, New York, Us• Managed team of four professionals, whose primary responsibilities included compliance monitoring, testing, and providing guidance for the Citigroup Investment Research (CIR) business. • Oversaw internal audit and regulatory examinations including the Independent Monitor review mandated by the Global Research Analyst Settlement and annual regulatory examinations. • Co-led, with Regulatory Affairs, the analysis of proposed Financial Industry Regulatory Authority (FINRA) principle-based research rules, which included providing language for Securities Industry & Financial Markets Association (SIFMA) comment letters. • Performed extensive analysis on third-party research distribution and foreign research analyst exemption rules, which resulted in a change to the department’s practices. -
Citi Policy Compliance Assessment GroupCiti 2003 - 2004New York, New York, Us• Selected for a newly formed team within Citi Audit and Risk Review (ARR) that reported monthly to the CEO on high profile risk exposures. Developed and executed monthly testing of both the Initial Public Offering allocation process post Voluntary Initiative and the Equity Research business post the Global Research Analyst Settlement. • Worked with Equity Capital Markets and Equity Research to develop policies and procedures to implement changes mandated by the Voluntary Initiative and the Global Research Analyst Settlement.
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Audit ManagerCiti 1994 - 2004New York, New York, Us• Managed audit teams with members of varying skill sets from market risk specialists to junior staff. • Provided opportunity to work abroad in Milan, Italy with responsibility for audit coverage of Corporate Bank businesses and control groups throughout Southern Europe. • Performed Global Quality Assurance Reviews of ARR workpapers in US, Europe and Asia. • Developed business monitoring programs for businesses supported which included the identification of key risk indicators and channels for staying abreast of changes in the businesses and regulatory environment. • Businesses and control functions covered included treasury, corporate loan origination, securitization, cash management, securities settlement, trade, financial control, compliance and independent control.
Kellie Hart Skills
Risk Management
Financial Risk
Internal Controls
Financial Analysis
Auditing
Enterprise Risk Management
Internal Audit
Sarbanes Oxley Act
Aml
Kellie Hart Education Details
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Marist CollegeAccounting -
Lancaster UniversitySemester Abroad
Frequently Asked Questions about Kellie Hart
What company does Kellie Hart work for?
Kellie Hart works for Commerzbank Ag
What is Kellie Hart's role at the current company?
Kellie Hart's current role is Head of Regulatory Affairs and Compliance Practices.
What is Kellie Hart's email address?
Kellie Hart's email address is ke****@****oup.com
What is Kellie Hart's direct phone number?
Kellie Hart's direct phone number is (800) 528*****
What schools did Kellie Hart attend?
Kellie Hart attended Marist College, Lancaster University.
What skills is Kellie Hart known for?
Kellie Hart has skills like Risk Management, Financial Risk, Internal Controls, Financial Analysis, Auditing, Enterprise Risk Management, Internal Audit, Sarbanes Oxley Act, Aml.
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