Matthew G. Oehm Email & Phone Number

San Francisco, Ca, Us

Paris, Île-De-France, Fr

Legal, Risk, & Compliance - Technology Industry

New York, New York, Us

• Performed internal audits, regulatory issue validations, and business monitoring for Citi’s Capital Markets businesses, specializing in: Swap and Swap Dealer regulations, Risk Management Program compliance, Volcker Rule.• Responsible for the planning, execution, reporting, and follow-up issue validations for risk-based internal audits.• Responsible for the completion of quarterly business monitoring for the Volcker Rule, and part of the monthly Volcker Working Group with senior leaders.• Effectively and efficiently worked with a global team of internal auditors and stakeholders to address concerns of regulators within the US (OCC, SEC, CFTC) and EMEA (BaFin).

San Francisco, California, Us

• Responsible for executing the first Compliance Program in a young FinTech startup in collaboration with the Head of Compliance and senior stakeholders.• Responsible for creating compliance policies and procedures, risk assessments, the issue management program, and testing and monitoring program.• Responsible for the transaction monitoring program, escalating results and issues to the Head of Compliance, and preparing and filing suspicious activity reports (SARs) while maintaining necessary records to assure consistent and efficient reporting.• Provided day-to-day advice to business units in order to promote responsible innovation and stay compliant with laws, rules, and regulations.• Built collaborative relationships with all levels of the organization, both within the Compliance department as well as other business units, and personnel of our partner bank to create a culture of compliance and effective cross functional teaming.

New York, Ny, Us

Embedded Risk Manager: Responsible for the risk management of the Financial Operations process, including liaising between the process owners, risk stripes, and other departments to identify and implement solutions to business problems. Risk managers also are expected to have an intimate knowledge of their departments’ processes, risks, and control environment.Issue Management Program Manager: Responsible for the creation and continued management of a new issue management framework that has been implemented company-wide, including innovative ways to manage company issues.Risk Assessments: Responsible for the ideation and cross functional collaboration for several risk assessments for key business risks, new products and services, and other needs that help the company make educated, risk-informed decisions.KRI: Responsible for the coordination of Key Risk Indicators (KRI) from various business units that are presented to the Risk Committee and the Board on a monthly basis.SOC 1 Type 2: Responsible for the planning and cross functional collaboration among business units and external auditors for successful completion of annual SOC 1 exams.RCSA: Responsible for the planning and completion of the Risk and Control Self Assessment (RCSA) across the organization that is reported to the Board annually. Recently, enhanced focus on the Financial Operations processes.Risk/Control Identification/Creation: Responsible for the analyzation and identification of risks in processes throughout the company, and the subsequent identification or creation of associated controls. Recently, enhanced focus on the Financial Operations processes.

San Francisco, Ca, Us

• Led internal audits and conducted audit planning, including identifying and analyzing risks to develop risk-based audit programs.• Specialized in regulatory compliance, reviewing for bank compliance in the areas of BSA/AML, Privacy (California Consumer Privacy Act / General Data Protection Regulation), Deposit Services, and NACHA.• Trained, coached, and mentored senior auditor new hires in our effort to build out the internal audit regulatory compliance specific team, including building out senior auditor-specific processes, templates, and timelines to streamline senior auditor responsibilities.

London, Gb

Senior in the Financial Services Office Advisory Services practice of EY. He worked to assist clients in the financial services industry comply with regulations, assess operational risks, and improve processes.- Led the planning and execution of risk reviews and preparedness assessments- Advised clients to understand and manage business risks - Provided recommendations that address risks specific to each firm- Areas of experience include corporate compliance, privacy risk, data risk, CCAR, DFAST, model risk, foreign exchange, among others

London, Gb

- Assisted the name partner and his associates by completing various projects for local cities, including researching and contacting professionals in specific industries to serve as expert witnesses- Acquired municipal and tax appeal experience, such as learning how towns operate as well as learning the tax appeal process (for both commercial and residential real estate)

Washington, D.C., Us

- Reviewed and analyzed detailed transcripts, case files, and similar law documents- Drafted the facts of a complex decision for a discrimination case - Actively requested and implemented feedback from the supervising Administrative Judge - Discussed and incorporated recommended changes to writing in the case’s decision- Assisted staff at and attended the 2013 EEOC San Jose Seminar, while also being able to sit in on workshops presented by experts in corporate discrimination laws

Bachelor Of Science (B.S.), Accounting And Finance

Education record