Lee Marks Email and Phone Number
New Jersey, United States
Lee Marks's Location
New York City Metropolitan Area, United States, United States
Lee Marks's Contact Details
Lee Marks work email
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Lee Marks personal email
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Lee Marks phone numbers
About Lee Marks
GLOBAL RISK MANAGEMENT EXECUTIVE & LEADERAccomplished and results-focused senior executive with a unique combination of Global Risk Management, Finance and Technology experience in diverse financial services environments including Wealth and Investment Management, Insurance, Broker-Dealer, Payments and Rating Agency. Effective problem solver with a deep understanding of risk and hands-on experience managing a vast array of risk types from cyber security to third party management. Continuously engaged with industry groups to keep abreast of emerging risks and evolving industry and geographic practices.Areas of expertise include: Relationship-Focused Leadership, Strategy & Vision, International Perspective, Thought Leadership.Specialist Risk Areas Include: Cyber Security - Technology - Business Resiliency - Third Party Risk Management - ESG - Sales Practices - Data Privacy - Compliance - Emerging Risks - Fraud - Artificial Intelligence
Lee Marks's Current Company Details
Prudential Financial
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Global Head of Technology, Cyber Security & AI Risk Management
New Jersey, United States
- Website:
- prudential.com
- Employees:
- 28358
Lee Marks Work Experience Details
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Prudential FinancialNew Jersey, United States
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Global Head Of Technology, Cyber Security & Ai Risk ManagementMoody'S Corporation Aug 2024 - PresentNew York, New York, UsSenior 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. -
Global Head Of Technology, Cyber Security & Data Risk ManagementMoody'S Investors Service Mar 2023 - Aug 2024New York, Ny, UsSenior 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. -
Chief Risk OfficerEdelman Financial Engines Sep 2021 - Mar 2023Santa 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. -
Chief Risk OfficerWillis Towers Watson Jan 2019 - Aug 2021London, 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. -
Head Of Enterprise Risk ManagementFirst Data Corporation Apr 2015 - Dec 2018Brookfield, 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. -
Head Of Operational Risk Management For Wealth & Investment ManagementMorgan Stanley Sep 2013 - Apr 2015New 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. -
Global Head Of Operations, Operational Risk & ControlBarclays Sep 2011 - Sep 2013London, GbPromoted 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. -
Head Of Operational Risk U.S.Barclays Wealth Management Jan 2009 - Aug 2011London, 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. -
Head Of International Private Bank Operational Risk / Interim Risk CooBarclays Wealth Management Dec 2007 - Dec 2008London, 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.
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Global Head Of Sox For Wealth ManagementBarclays Wealth Management Oct 2006 - Dec 2007London, GbJoined 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.
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Sox Program Lead For Corporate FunctionsRsa Jul 2005 - Oct 2006London, Gb -
Finance ManagerCapital Accumulation Ltd Feb 2004 - Jul 2005
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Finance ManagerHenderson Global Investors Sep 2001 - Feb 2004Denver, Colorado, Us
Lee Marks Skills
Risk Management
Financial Risk
Operational Risk
Financial Services
Investment Banking
Operational Risk Management
Capital Markets
Banking
Fixed Income
Wealth Management
Derivatives
Equities
Enterprise Risk Management
Aml
Settlement
Governance
Hedge Funds
Private Banking
Securities
Corporate Finance
Internal Audit
Basel Ii
Lee Marks Education Details
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Solent UniversityBusiness And Finance
Frequently Asked Questions about Lee Marks
What company does Lee Marks work for?
Lee Marks works for Prudential Financial
What is Lee Marks's role at the current company?
Lee Marks's current role is Global Head of Technology, Cyber Security & AI Risk Management.
What is Lee Marks's email address?
Lee Marks's email address is lm****@****nes.com
What is Lee Marks's direct phone number?
Lee Marks's direct phone number is +120191*****
What schools did Lee Marks attend?
Lee Marks attended Solent University.
What skills is Lee Marks known for?
Lee Marks has skills like Risk Management, Financial Risk, Operational Risk, Financial Services, Investment Banking, Operational Risk Management, Capital Markets, Banking, Fixed Income, Wealth Management, Derivatives, Equities.
Who are Lee Marks's colleagues?
Lee Marks's colleagues are Oscar Andres Rodríguez Villarreal, Indah Deui, Frederick Mcgarvey, Raff Wilianto, Glenn Fuqua, Charles Sevola Iii, Алевтина Попова.
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