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Marilyn Smith is listed as Governance Risk Compliance Consulting Principal at First Dimensions at First Dimensions, based in Chicago, Illinois, United States. AeroLeads shows a work email signal at bmo.com and a matched LinkedIn profile for Marilyn Smith.
Marilyn Smith previously worked as Governance Risk Compliance Consulting Principal at First Dimensions and Editor FIRMA FORUM Magazine at Firma. Marilyn Smith holds Bs, Accounting from Loyola University Chicago.
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Currently creating, developing and implementing enterprise-wide governance, compliance risk management practices for financial services activities. Analyzing business process, policy and procedure; developing quantitative and qualitative measurements, reporting and training in collaboration with Chief, Executive, and Senior Officers. Began professional career as a systems application programmer to automate Trust and Employee Benefits (ERISA) activities, recruited into Internal Audit to develop and implement an Information Systems Audit program and team. Later recruited into Wealth Management Department to develop a Wealth Management Regulatory Compliance Risk functions and teams. Served as Chief Compliance Officer for registered investment adviser and as deputy chief for registered broker-dealer. Continued to serve progressive roles in regulatory compliance and enterprise risk management throughout financial service institutions developing and implementing best practices relative to the SEC '40 Act; SOX, COSO, BSA/AML; UDAAP; Fiduciary Regulaton; FINRA, and ERISA requirements. CTCP, CRP. and CISA. Held Series 7,24,66.National speaker for Fiduciary and Investment Risk Management Association ("FIRMA"), Texas Bankers Association, Trust Management Network, American Bankers Association; member FIRMA (Fiduciary and Investment Risk Management Association") and Global Association ("GARP"); editor of FIRMA FORUM magazine.Specialties: Enterprise risk management; corporate/strategic, operational, market and credit risk governance, strategic planning, risk appetite, metrics, analytics, and reporting; business process analysis. Investment Management and Broker-Dealer compliance risk management, mergers, acquisitions, integrations, training and development; regulator and legal liaison; litigation preparation; forensic examination.
Listed skills include Cross Functional Problem Solving, Business Process Improvement, Root Cause Problem Solving, Collaborative Problem Solving, and 29 others.
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Greater Chicago Area
Developing governance, risk, compliance, and audit programs for financial services institutions - Banks, Investment Management/Advisers, Broker-dealers.
Greater Chicago Area
Establish magazine content; recruit magazine authors and sponsors; edit whitepapers and other articles for publication.
Develop, implement, and maintain an integrated enterprise-wide risk management structure for the Bank of Montreal U.S. activities.
Develop and implement regulatory compliance programs designed to prevent violations of securities laws under SEC Investment Advisers Act and rule 206(4)-7, Investment Company Rules, FINRA 3012/3013; OCC Reg 9, ERISA, and fiduciary laws and regulations. Build compliance teams to monitor for adherence to SEC and FINRA laws and regulations in addtion to AML on an enterprise-wide basis for the firms registered advisers, broker-dealers, capital markets, municipal securities and trust department… Show more Develop and implement regulatory compliance programs designed to prevent violations of securities laws under SEC Investment Advisers Act and rule 206(4)-7, Investment Company Rules, FINRA 3012/3013; OCC Reg 9, ERISA, and fiduciary laws and regulations. Build compliance teams to monitor for adherence to SEC and FINRA laws and regulations in addtion to AML on an enterprise-wide basis for the firms registered advisers, broker-dealers, capital markets, municipal securities and trust department managing and underwriting equities and fixed income products and mutual funds. Montior changes in regulations and manage implementation projects reporting to executive management and the boards of directors. Draft Codes of Ethics. Design and present courses on securities laws and regulatons, audit and risk management programs and compliance programs. Coordinate exams of and liase with SEC,FINRA, FRB, OCC regulators and external and internal auditiors. Show less
Design, develop, implement and execute program to identify, monitor, assess, and report risk activities for every activity of the enterprise.
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Marilyn Smith works for First Dimensions.
Marilyn Smith is listed as Governance Risk Compliance Consulting Principal at First Dimensions at First Dimensions.
AeroLeads has found 2 work email signals at @bmo.com for Marilyn Smith at First Dimensions.
Marilyn Smith is based in Chicago, Illinois, United States while working with First Dimensions.
Marilyn Smith has worked for First Dimensions, Firma, Bmo/Harris, Harris Financial Corp, and Harris Bank, Bank Of Montreal.
You can use AeroLeads to view verified contact signals for Marilyn Smith at First Dimensions, including work email, phone, and LinkedIn data when available.
Marilyn Smith holds Bs, Accounting from Loyola University Chicago.
Marilyn Smith is listed with skills including Cross Functional Problem Solving, Business Process Improvement, Root Cause Problem Solving, Collaborative Problem Solving, Leadership, Management, Project Management, and Team Building.
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