Laura Rizzi Lee Email & Phone Number

Chicago, Illinois

Responsibilities include global fiduciary risk management metrics reporting, program and policy documentation and monitoring and testing. Subject matter except for ERISA plans and understanding of unique risks and regulations.

Corporate Fiduciary Risk Management & Compliance

• Monitors and reviews procedures and practices of partners to ensure compliance and adherence to internal policies and fiduciary related regulations
• Identifies and advises management of potential fiduciary (and other) risks and recommends changes and/or enhancements to improve efficiencies in control environment and procedures
• Contributes to development of policies, procedures, and business practices in support of various risk programs
• Participates in training partners and delivering communications on applicable risk/compliance regulations
• Responds to internal and external inquiries and requests for information regarding fiduciary risks, Risk/Control Self Assessment Program, Product risks and Scenario Analysis related issues
• Responsible for administering the Fiduciary Key Risk Indicator program including researching and developing analytical reports and data retrieval

Legal And Fiduciary Risk For Corporate & Institutional Services Business Unit

• Responsible for reviewing, preparing, processing, negotiating and completing legal documents relating to corporate and institutional trust and custody services and transactions- including authorized party.
• Secretary of the Employer Securities Committee and Rabbi Trust Review Committee
• Facilitator of Most Favored Nation Clause Working Group and ERISA 404(b) Advisory Council
• Earned an Absolute Quality Award for leading the effort to create the Rabbi Trust Review Committee

C&IS Risk Management, AML Risk & Regulatory Oversight

• Responsible for the monitoring, tracking and documentation of corporate client accounts relating to SEC, federal, state, ERISA, AML/KYC and Patriot Act regulations
• Training and updating of client servicing staff on current compliance and risk requirements
• Prepared daily, weekly and quarterly staff and management level reports and spreadsheets
• Project Manager for conversion of 800+ documents to integrated intranet tool

Corporate Communications / Public Relations

• Led annual meeting budgeting, planning and hosting for corporate and not for profit clients- included the management of a cross-functional team consisting of technology staff, dining room staff, board of directors and.
• Managed the monthly and quarterly media reports- including the daily transmission of top priority stories, organization of 100+ publications and multiple contact lists
• Management of corporate biography database - independently led and developed new employee tutorials, created bios and handled the management and maintenance of the database
• Collaborated with a cross-functional team to create and implement a standard formatted worldwide partner online biographical database
• Editing of content, final production proofing and electronic posting to both intranet and internet sites for the corporate annual report, corporate newsletters and press releases

Oak Brook, Illinois

• Prepared and organized seminar events for attorneys; including organization of direct mailings, venue location determination based on demographics and setting up client appointments
• General secretarial and receptionist duties for firm

Master Of Business Administration (M.B.A.), Economics, Managerial And Organizational Behavior And Human Resources Management

Bachelor Of Science (B.S.), Business, Management, Marketing, And Related Support Services