▪ Oversee all aspects of risk management with key business partners, such as credit, compliance, legal, finance, and risk; internal auditors; and external examiners ▪ Hold responsibility in monitoring and reporting regarding overall operational risk portfolio▪ Render first-rate support to committees working in all areas of risk, such as operating effectiveness, operating risk, and enterprise risk▪ Handle the completion and management of business risk and control assessments, which included risk control self-assessment and risk identification▪ Take charge of overseeing controls and risks database for the team, while monitoring, reporting, and coordinating closure of identified issues ▪ Work on optimizing the business risk framework for all types of risk

Manage transition of converting all physical Agreement records into electronic files from beginning to end to adhere to UBS Global policy Created database and procedures to facilitate the search and retrieval of archived files via access to the Physical Records Index SystemCoordinated transfer and tracking of physical records to third party facility for Archiving purposes Ensure audit closeouts of the third party vendor archiving ORI by documenting, remediating, and documenting evidence for submission and closure of action planAssisted in the creation and substation of Quarterly Board of Directors material for the UBS Life Co. Agency to support the governance framework.

Monitored and conducted analysis on Finder's Fee and Rights of Reinstatement reports on a daily basis in order to identify purchases that should have received NAV pricing and to identify NAV trades that were not processed as reinstatementsPerformed ongoing daily review of Qualified Plans trade brokerage report to ensure Mutual Fund trades are purchased at the least expensive share class; performing market research and risk evaluation using Morningstar to ensure trades are executed for client best interestAssisted the field with inquiries and the creation of action plans on PeopleSoft to correct invalid trades; ensured completion of all exceptionsResponsible for the identification, tracking, and resolution of all invalid Mutual Fund trades efficiently and in a timely manner across multiple groupsPerformed financial and historical research for external clients and internal teams to ensure client best interest as related to payment of fees.Assisted off-shore initiative to migrate trade reporting process by documenting procedures, training off-shore staff, and providing support assistance post transitionMaintained relationships with stakeholders including Branch Supervisory Personnel, Operations, Compliance and Internal Audit to ensure proper trade processing and best client experience