▫ Advise various lines of business on the understanding and application of Compliance laws and requirements pertaining to new products/service offerings, controls & monitoring, regulation changes, and gap analysis. ▫ Assist with enterprise-wide Compliance Risk Assessment through the execution of risk-based assessment. ▫ Develop and manage compliance programs for various lending regulations including FRB Reg U/X, Anti-tying, Anti-Boycott, CERCLA, LSSR, and Small Business. ▫ Determine the applicability of and identify risks related to AML, Sanctions, Fair Lending and Regulation B requirements based on analysis of the laws and regulations that apply to the Bank. ▫ Evaluate the effectiveness of 300+ AML and Sanctions internal compliance controls by reviewing control objectives and the underlying laws and regulations for which the internal compliance control is designed. ▫ Perform walkthrough and procedure reviews to identify and maintain an inventory of internal compliance controls that are designed to ensure compliance with regulatory requirements. ▫ Track and monitor the progress of remediation of control weaknesses resulting from controls assessments. ▫ Collaborated with business units and risk team to map compliance controls to key risk areas, products, processes, and other risk and reporting dimensions which feeds into various risk assessments.

▫ Supervised Kaiser Northern California Outside Cost Expense accounts pertaining to transplants, skilled nursing facilities, autism, hospice, durable medical equipment, hemodialysis, and outside referrals. ▫ Managed Outside Cost Expense accounts equating to roughly $800M-$1B on an annual basis. ▫ Performed variance analysis monthly to ensure incurred but not reported (IBNR) claims were accounted for and the deviations between periods were justified and reasonable. ▫ Prepared and presented quarterly and annual reports on the status and fluctuation of Outside Cost Expense to Executive Leadership. ▫ Reviewed and approved the related month, quarter, and year-end journal entries prepared by Staff and Senior Accountants.

▫ Managed and coordinated the sixth largest mega (Capital Assets) in the Kaiser Permanente Sarbanes‐Oxley (SOX) Program. Capital Assets had an annual budget of approximately 2,000 hours, 20 testers, 9 regions, and 19 SOX controls across all regions.▫ Performed Pharmacy Regulatory audits and walkthroughs to ensure Kaiser Pharmacy was in compliance with State and Federal Pharmacy laws, regulations and guidelines. ▫ Identified risks and control gaps through operational audits. Worked closely with business areas to remediate control designs and monitored business areas’ corrective action plans.

▫ Planned, coordinated, and administered all aspects of an operational audit for the following business areas: Foreign Exchange Product & Services, Global Deposit Products, SVB Capital and SVBFG Strategic Investments.▫ Attained a broad understanding of SVB Capital entity structure and fund of funds operations.▫ Ensured that SVB Capital and SVBFG Strategic Investments’ new investments, capital calls, capital distributions, quarterly valuations and custodian were accurately accounted for and properly recorded.

▫ Supervised Staff Accountant with day-to-day activities including calls and distributions processing to ensure internal controls, policies and procedures were followed.▫ Reviewed and analyzed quarterly capital account statements from underlying fund managers for approximately 150 private equity funds.▫ Prepared and performed quarter end close and account reconciliation along with preparation of quarterly entity financial statements.▫ Assessed monthly and quarterly reporting packages from the 3rd party Fund Administrator.▫ Assisted and supported the Assistant Controller and Fund’s Coordinator to transfer approximately 145 venture capital, leverage buy-out, fund of fund and other private equity funds to a “Master-Feeder” structure.

▫ Obtained extensive audit experience in areas such as SEC financial statement reporting, Sarbanes-Oxley Act of 2002 compliance and adherence to GAAP guidelines.▫ Planned, coordinated, and administered all aspects of financial statement audits for public and private companies, with a concentration in manufacturing and technology, from initial states to the reporting stages.▫ Performed risk analyses on each client’s business to determine the areas in operations or finance susceptible to fraud or misstatement.▫ Ensured that Client’s accounting policies and procedures were implemented and in compliance with GAAP guidelines and Sarbanes-Oxley Act of 2002.