Project/Risk Manager with global design, development, testing and implementation of Commercial and Retail Banking Systems and Governance, Risk, and Compliance control frameworks. Recent experience includes GRC, ERM, RCSA, SOX, Data/Privacy and Cybersecurity frameworks. Management and remediation of MRA’s

Enterprise Risk Manager with global Financial Transformation, Governance, Risk, and Compliance experience. Change Agent with a record of success in managing teams and PMO’s including: Financial, Operational and IT risk systems and controls. Design, development and implementation of a firm-wide RCSA program. Experience includes: establishing integrated IT and Process control frameworks (SOX, RCSA, COBIT, COSO, 3LOD, Info Security, Cybersecurity and Third-Party Risk Management).

Global Bank Project Manager  Global ERM Project Manager. Responsibilities included evaluation, documentation and testing of operational risk compliance with CCAR, AML, KYC, BSA, OFAC and FinCen requirements.• Design, development and implementation of Operational Risk Controls for LATAM Structured Financing and Derivatives sales and trading and remediating qualitative CCAR deficiencies.• Development of risk evaluation and control processes utilizing Reuter’s Accellus system, RASAR and implementing 3LOD for LATAM.• Qualitative audit of CCAR related data, systems and operational controls.JPMorgan Chase, Project Manager  AML/KYC Regulatory Project Manager. Responsibilities included Risk, Quality Control and compliance with AML, KYC, BSA, OFAC and FinCen requirements.• Due diligence research pertaining to Bank Secrecy, USA Patriot Act, KYC, AML, MIFID, and OFAC compliance using industry standard and regulatory guidance sampling methods. • Managed BAU review of transaction alerts to refine and implement a risk-based approach to identify suspicious activity for customers who engage in international wire transfers.• AML/BSA/KYC/On-boarding systems/process design, development and implementation.• Qualitative review of AML and KYC Data, Systems and Processes. Cohn/Reznick LLP, Project Manager  Development of a Capital Regulatory Allocation Trading Engine designed for analysis of proposed trade allocations and determining the impact on target capital requirement levels for Fairfax Financial a global Insurance Holding company.  Responsible for data analysis, and the design, development, testing and implementation of a consolidated financial reporting database.

$130 billion global financial services firm; Managed a wide range of regulatory governance projects in support of Domestic and International Treasury Services including: COBIT, COSO, ITIL, ITSM, SOX, and RCSA (Risk Control Self-Assessment) compliance. Developed Incident and Change Management, Operational Risk standards, a Global PMO and a controls strategic plan for Global Treasury Services including AML, On-boarding and KYC system controls and SDLC compliance tollgates for treasury systems to meet regulatory requirements.Performed SOX, SAS70 and Risk Controlled Self-Assessments for financial reporting, operations and technology including outside vendors as part of an overall BPR controls review. Performed detailed data analysis using SQL for development and reporting of KPI’s and KRI’s.

Mid-size (16th nationally) public accounting and consulting firm; Directed the risk management practice, conducting Financial and SOX404 audits, controls reviews and SAS70 audits for a diversified client base in compliance with AS5, COBIT, COSO ERM Framework, PCAOB, and SEC guidelines. Established COSO, COBIT, ITSM, ITIL and RIMS ERM risk control frameworks for client operations including: Operations, Sales, HR, Financial Reporting and IT. Directed internal controls reviews and training for manufacturers, hedge funds and financial service clients including 10K and 10Q reporting.

Mid-size (11th nationally) public accounting and consulting firm; Performed a SOX controls review of financial reporting capabilities for AIG insurance. Developed a BPR and Change Management plan for migrating from a spreadsheet-driven system to an integrated, financial reporting and consolidation system. Global Sarbanes-Oxley Project Director for an $18+ billion retailer/manufacturer, Estee Lauder. Led Governance, Risk and Compliance technology assessments, including the testing, remediation and compliance certification efforts in accordance with COSO/COBIT/ITIL standardsReviewed Sarbanes-Oxley controls, assessed current state, and managed the remediation of global IT operations at Morgan Stanley. Established a PMO, risk management and an ongoing compliance program in accordance with COSO/COBIT/ITIL standards.

Led $30 million bank-wide Y2K project for critical banking, general ledger, loans, operations, and financial reporting systems. Established a PMO and reporting standards. Directed 150+ consultants, completed project on-time and within budget. Oversaw $90 million Operations budget.Developed scorecards, regulatory controls, procedures and MIS reporting.$25 million increase in annual income through bank-wide revenue enhancement and cost reduction initiatives. Saved $2.2 million annually by reducing ATM Branch Cash, Reserve Costs and Check Fraud as part of a Strategic and Operational Business Process Review.Trimmed $2 million in annual costs through outsourcing and contract renegotiations, establishing manageable Vendor (SLAs), ITIL, ITSM and Risk Standards. Reduced by 25% call center wait time, and check processing errors by 50% through Strategic and Operational BPR projects. Established Six Sigma, KPI’s and KRI’s as part of an overall Security and ERM Risk Framework.Established Governance, Risk and Compliance Controls regarding AML/KYC/On-boarding. Wrote policies, procedures and controls to meet regulatory requirements. Monitored AML activities and reporting.