I am focused on regulatory reform advising and assisting large, international organizations assess and respond to global regulatory reforms. I have led a number of regulatory assessment engagements spanning broad roadmap development at the enterprise level to respond to regulatory changes brought about by the passage of the Dodd-Frank Act, to more targeted engagements related to over the counter derivatives changes, the Volcker Rule and Recovery and Resolution Planning. I support regulatory transformation efforts which include developing sustainable regulatory change management programs as well as regulatory inventory and mapping initiatives.I also lead our work nationally for the financial market utility sector with special emphasis on the systemically important utilities that support the payments system.

Prentis Associates, Inc provides consulting and advisory services to financial institutions on regulatory issues. We bring a unique compliance and regulatory perspective to advisory relationships, providing advice on the most effective process and management structure to achieve optimal compliance with regulatory agencies globally. Assignments, among other things, included working with the Institute of International Finance developing industry positions on global regulatory issues related to regulatory architecture, crisis management and resolution of large complex banking organizations, and global accounting convergence.

• Directed regional regulatory relations, with responsibility for the regulatory management structure and processes and ensuring consistency and quality of UBS reporting, service and communication with all regulatory agencies in North and South America.• Promoted UBS’s interests in international industry groups and regional initiatives.• Managed and coordinated interagency examinations/studies and home-host regulatory initiatives.

• Represented Compliance on diverse regional operating, governance and management committees. • Created four cross-business compliance groups responsible for banking regulations, anti-money laundering, regional training, policy and regulatory developments. Managed a staff of 30 compliance professionals.• Developed a global anti-money laundering program for front office correspondent banking sales force selling USD denominated products.• Strengthened compliance for the Global Transaction Banking division.

• Supervisory leadership team with responsibility for supervisory oversight of US operations of several major foreign banks representing a significant part of the global payments system. Coordinated with international central banks and regulators.• Authorized and managed extensions of intra-day credit to most major domestic and foreign banks.• Played key role in the development of the revised Payments System Risk Policy.• Other areas of responsibility included interpreting banking regulations, operations, directing and introducing major automation initiatives in cash services and Treasury processing operations, and resource allocation management, budgeting and internal cost accounting.

Brought unit investment trust funds public; private placement closings