Compliance related testing and oversight of BNY Mellon products and services in the Americas Region to ensure adherence to applicable laws and regulations to verify the effectiveness of the control design and framework as well as to address the impact of the compliance of policies and procedures within the regulatory boundaries.• Developed and implemented the scope of testing plans on a risk basis to ensure adequate testing coverage of key risk and controls. As part of this process, analyzed existing and proposed legislation, regulatory announcements and industry practices in order to lead the assigned businesses in developing and implementing procedures to meet existing and upcoming requirements.• Prepared complex, comprehensive, risk based reviews of existing and emerging regulatory requirements, and Investigated compliance and regulatory matters arising out of reviews utilizing Compliance Testing Procedures and Protocols. Provided prompt, focused feedback to business management on concerning issues and control gaps.• Responsible for driving completion of the Wealth Management line of business testing plan through project management of other reviews in process and providing assistance as warranted. Validated action plans identified in Compliance Testing Reports.• Provided guidance to the assigned business units in implementing improvements.• Assisted business units by developing strategies to bring them into compliance with complex regulatory andpolicy requirements. Facilitated training and risk management as warranted.• Guided and directed work of junior professionals as warranted.

Performed Risk and Control Self-Assessment (RCSA) Control Testing in which the associated compliance risks were identified, resolutions provided, regulatory requirements researched, evaluated the effectiveness of controls, and assisted in mitigating any identified risks.This included assessing documentation to ensure compliance with procedures, existing laws, or other corporate requirements. Mentored and supported training junior staff.• Executed first line of defense (1LoD) internal validation for closure of issues tied to Matters Requiring Attention (MRA’s), identified by Internal Audit, self-identified by the Line of Business, or identified as the result of Enterprise Testing Services RCSA Control Testing including examination of financial, compliance, and/or operational adequacy of internal controls and/or remediation. • Completed a second line of defense (2LoD) validation to analyze the 1LoD validation for closure of issues tied to MRA’s, high rated issues identified self-identified by the line of business (LOB), high rated issues identified by Independent Risk Management (IRM), or medium rated issues identified by the LOB or IRM as requested by the Risk Officer. This includes an examination of financial, compliance, and/or operational adequacy of internal controls and/or remediation.• Developed productive client and team relationships further aiding the collaborative efforts of establishing effective internal controls, business processes, and appropriate recommendations. Provided consulting services for clients on risk and control issues. • Assessed and effectively managed all risks associated with each line business objectives and activities to ensure they adhered to and supported the Enterprise Risk Management Framework.

Delivered program management of compliance related projects across enterprise and delegated oversight of regulatory requirements, including devising work plans, obtaining status updates, reviewing outcomes, recommending changes, and partnering with business owners to finalize.• Prepared audit plan for Affordable Care Act (ACA) related business program. Conducted audits of high-risk areas of ACA program.• Program Management of Teams Under ACA Program• Reviewed documentation to ensure compliance and continuous audit preparedness on an ongoing basis.

Supported engagement initiation and planning, monitoring and control, and final preparation of audit documents. Performed risk assessment and created risk mitigation strategy plans.•Assessed documentation to ensure compliance per policies and procedures, existing laws, or other corporate requirements.

Evaluated financial statements and other filings of insurance companies to assess financial condition, direction, and compliance, including utilization of financial analysis ratios to determine performance, financing, liquidity, and solvency.• Analyzed and examined individual and holding company structures including review and assessment of risk management process, SOX (Sarbanes Oxley) and ORSA (Own Risk and Solvency Assessment) filings.• Reviewed and evaluated material transactions including mergers and acquisitions as well as related legal contracts for financial impact and compliance with Arkansas law including market share and Hart Scott Rodino Antitrust Act.• Evaluated reliability of projections and assumptions for each holding company as warranted.• Interacted with exam staff and other divisions of the Department to assist in the evaluation of insurance companies. Utilized team effort with exam staff, facilitated development and corrective action plan for insurance companies on an as needed basis.• Acted as a liaison between the Department and other state insurance departments. Frequent interaction and contact with executives of insurance companies, including board members and audit committee members.• Participated in preparation for and presentation to NAIC accreditation reviewers (Peer Review) since 2000 with the analysis process and overall Department receiving favorable evaluations.