Lee Marks Email & Phone Number

New Jersey, United States

New York, New York, Us

Senior leader within the second line risk function reporting directly to the Group Chief Risk Officer and responsible for overseeing all aspects of Technology, Cyber Security and AI risk management globally.• Lead the design and implementation of a consistent and comprehensive global operational and enterprise risk framework across key risks to support informed decisions through effective risk identification and assessment.• Establish a risk culture based on clearly defined and embedded risk appetites and tolerance metrics across key technology risks including resilience, cyber security, third party, data, AI, and access management.• Chair of the Moody’s AI Governance Committee charged with establishing global standards for AI and overseeing activities across the businesses to support effective practices to identify, assess, and decision AI adoption.• Provide strategic insight into continually evolving stakeholder and regulatory requirements such as the Digital Operational Resilience Act; coordinating and supporting internal and external technology control assessments.

New York, Ny, Us

Senior leader within the second line risk function reporting directly to the Chief Risk Officer and responsible for overseeing all aspects of Technology, Cyber Security and Data risk management globally.• Directing strategic risk as part of an end to end technology platform transformation requiring full transparency into legacy platform risks and material changes introduced by new technologies and employee behaviors.• Significantly improved transparency into the risk profile through a comprehensive operational risk management framework, including introduction of tolerance metrics and risk assessments across key processes and controls.• Member of the Digital Finance leadership team focused on new technologies being introduced in the industry including strategies for Block Chain, digital finance products and Artificial Intelligence. Secretary of the company’s Artificial Intelligence governing body overseeing new initiatives being proposed and potential risks introduced.• Leadership role in meeting regulatory requirements, assessing and implementing regulatory changes such as the Digital Operational Resilience Act, responding to assessment requests and liaising directly with regulatory bodies.

Santa Clara, California, Us

• Transformed risk practices establishing comprehensive strategic vision for risk management at all levels. Included bringing together disparate risk frameworks and teams such as Business Resiliency, Third Party Risk Management and 1st line Business Controls, recruiting a team of high performing risk professionals, and introducing enhanced Private Equity Board level and Executive Management governance to gain support and provide continued transparency of both risks to the company and progress implementing risk practices and controls.• Won Board and Executive Committee support to create “Top Risk Program” which included Cyber, Third Party Management, Technology, and Sales Practices. Program encompassed assessment against an agreed appetite, increased transparency into control enhancement strategy, and KRIs to monitor progress against tolerances.• Spearheaded Cyber Security risk management and elevated Board/Executive engagement. Accomplishments include hiring a new CISO and Cyber Security team, performing an industry benchmark assessment to identify key areas of focus, and greater transparency and discussion with leadership based on succinct reporting and metrics.• Optimized Internal Audit practices enhancing stakeholder understanding of value proposition, improving collaboration and methodology being applied, and focused on value delivered through control enhancements.

London, England, Gb

• Spearheaded integration of five independent teams to create company’s first ever Risk function, enhancing risk’s presence and supporting resolution of multiple outstanding regulatory concerns in the U.K. (separate entity with 20,000 employees) regarding operating model and resourcing.• Introduced global New Product Development process, ensuring full assessment and mitigation of risks prior to launch; approved 30+ new products for clients annually. • Won Board and Executive Committee support to create “Top Risk Program” which included Cyber, Third Party Management, Resiliency, and Sales Practices. Program encompassed assessment against an agreed appetite, increased transparency into control enhancement strategy, and KRIs to monitor progress against tolerances.• Successfully created an integrated and collaborative risk management community across the company bringing together businesses, support functions, second and third line, leadership and Boards.

Brookfield, Wisc., Us

• Developed ERM framework including risk appetite, tolerance and top risk program with governance and reporting at business, executive and Board levels. Embedded practices globally and satisfied Board Risk Committee and regulatory requirements.• Closed 13 regulatory MRAs (matters requiring attention) to position company for IPO and acquisition.• Reduced operational losses due to billing errors by $100M+ following identification of thematic control weaknesses across all major clients. Established team of business stakeholders to enhance controls; served as front line leader in negotiating directly with clients for under billed revenue.

New York, Ny, Us

• Designed and established second line ORM for Wealth and Investment Management, Operations and Finance.• Held additional responsibility for building ERM program for enterprise level assessment of critical risks such as AML, Data Management, Manual Processes and Product Suitability.• Partnered with key stakeholders across risk functions and business to lead initiatives across New Product Approvals, Incident Management, Scenario Analysis and Risk Assessments.

London, Gb

Promoted into senior leadership role managing Risk function in Operations division. Reported to Head of Operations and Shared Services, with oversight for Management team of eight across Tax, Settlements, Asset Services and Data Management. • Established first line ORM function to support Wealth Management and Investment Banking in the Americas, and Shared Services, Global Settlements, Asset Servicing and Tax globally (billions of dollars in daily transactions).• Implemented Governance frameworks including risk forums and reporting for regional management in the Americas focusing on legal entity/regulatory issues and global risk management for regions supported including EMEA, Asia, Americas and India.

London, Gb

• Spearheaded design and implementation of an effective ORM framework including Risk and Control Assessment program to define appetite and identify control gaps, key risk indicators, and incident escalation to manage issues in a timely and effective manner. Provided coverage to sales teams across 13 States and supervisory frameworks.• Directed implementation of governance and escalation process to ensure mechanisms were in place to understand, resolve and manage issues from internal and regulatory audits. Established strong relationships with regulators.• Led Product Office, including Capital Markets, IT and Operations, a key client-facing role involved with launch of new products. Conducted extensive due diligence of new products providing transparency of operational risk.

London, Gb

• Built and led team in Singapore on complex six-month project, responding to 52 regulatory issues. Created remediation program and oversight process to prevent loss of business license. • Directed eight-month project in Dubai, managing a region-wide audit which identified major fraud incidents. Revamped risk function to successfully address issues and improve sales process controls.• Following Dubai success, appointed Interim Risk COO for Middle East and Africa (department of 100) which included budget management, HR oversight, day to day management, and reporting.

London, Gb

Joined company to lead global SOX program for Wealth Management (business of 7,000). Reported to Global Head of Operational Risk, with oversight for team of 12. Partnered with stakeholders in successfully implementing systems and procedures to comply with Group and regulatory requirements.

London, Gb

Denver, Colorado, Us