Nathan Ice Email & Phone Number

Dallas-Fort Worth Metroplex

As Head of Financial Risk Oversight at OCC, I am responsible for a 2nd line risk team that provides independent and constructive challenge to OCC's 1st line risk management methodologies, processes, and reporting. The Financial Risk Oversight team closely collaborates with adjacent 2nd line GRC functions including third-party risk management, operational risk management and controls, model risk management, data and information governance, and compliance. Such collaboration involves developing and reporting risk appetites, risk tolerances, and key risk indicators; reviewing and opining on processes, procedures, and controls; and, reviewing the business assumptions that influence the design and implementation of risk models at OCC. Our team goal is to monitor data in a novel way to identify emerging trends and gaps in risk identification; conduct focused reviews of 1st line financial risk to challenge, validate, and escalate risk issues; and, engage in a highly collaborative way to influence current initiatives in ways to achieve the best outcomes for OCC and the options industry.

Dallas-Fort Worth Metroplex

Head of Credit Risk Management responsible for teams that conduct counterparty surveillance of broker-dealers, futures commission merchants, commercial and central banks, pension funds, insurance companies, and financial market utilities. Collaborated closely with 1st line risk teams including Market Risk, Default Management, Stress Testing, Liquidity Risk, Risk Advisory, Pricing, and Customer Margin to comprehensively manage financial risk.

Dallas-Fort Worth Metroplex

- Involved in department and corporate strategic planning, thought leadership, and ensuring achievement of goals- Developed and owned policies, procedures, processes and controls for monitoring and mitigating financial risks- Chair of the Credit and Liquidity Risk Working Group, which assists OCC's Management Committee with risk oversight responsibility- Reported on risk issues to OCC's Management Committee, the SEC's Division of Trading and Markets and Division of Examinations, the CFTC's Division of Clearing and Risk, and representatives of the Chicago Fed and Federal Reserve Board- Led successful outcomes on internal and external audits, regulatory examinations, compliance reviews and control self-testing, including all subsequent remediation rated as effective- Owned multiple risk systems and third-party vendor relationships, including oversight of performance and issue escalation- Responsible for department budget, staff development and training, and performance reviewsKey Achievements:* Significant overhaul of clearing member and bank watch list criteria to improve focus of reporting* New internal credit rating program for clearing members and banks* New clearing member risk exam program* New surveillance program for financial market utilities* New surveillance program for indirect CCP participants* New system to compute capital requirements for bank exposures to CCPs using the SA-CCR methodology* Member of the following teams: Mgmt Operating Committee, Cross Exposure Analysis, Stress Test Working Group, Default Management Working Group, Operational Risk Mgmt, CCP12 Working Group, Automation Governance, Culture Champion, Dallas Site Leadership

Dallas-Fort Worth Metroplex

- Oversaw management of the activities of the Risk Management group- Expert resource on risk management processes for clearing members, regulators, auditors, exchanges and other parties- Developed and implemented a bank watch list program - Assisted in the formulation of risk management policies, procedures and processes- Evaluated new products and business opportunities and recommended procedural and system enhancements to facilitate implementation- Participated in the department budget process- Represented the Risk Management department on strategic teams including Incident Assessment, Regulatory Remediation, Project Portfolio, and Recovery and Wind-Down

Dallas-Fort Worth Metroplex

- Managed a team of Risk Analysts to ensure departmental policies and procedures were followed to monitor counterparty credit, market, liquidity, and operational risks- Served as expert resource in problem solving and customer support for internal departments and external parties- Represented the department on corporate projects as well as system, data, and risk model development- Interacted with internal and external auditors and coordinated audit responses- Proposed new controls and improvements to existing processes- Developed materials for presentation to management, committees, and regulators

Dallas-Fort Worth Metroplex

Dallas-Fort Worth Metroplex

Dallas-Fort Worth Metroplex

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