Neil Roth Email and Phone Number

Consultant responsible for the categorization of Operational Risk Internal Loss Events for the four main business units of the organization [Bank of New York, Mellon, Pershing, and Dreyfus] into the new Operational Risk Taxonomy, as part of the requirements of Comprehensive Capital Analysis and Review (CCAR).

• Responsible for the rollout of a consistent Operational Risk framework across RBC’s Combined U. S. Operations (CUSO), encompassing the main business platforms of the Intermediate Holding Company (IHC) and the U.S. branches, including Capital Markets, Wealth Management, Global Asset Management, and City National Bank. • Responsible for meeting Enhanced Prudential Standards (EPS) for Operational Risk in the U.S., including the rollout of consistent Operational Risk Policies and Procedures… Show more • Responsible for the rollout of a consistent Operational Risk framework across RBC’s Combined U. S. Operations (CUSO), encompassing the main business platforms of the Intermediate Holding Company (IHC) and the U.S. branches, including Capital Markets, Wealth Management, Global Asset Management, and City National Bank. • Responsible for meeting Enhanced Prudential Standards (EPS) for Operational Risk in the U.S., including the rollout of consistent Operational Risk Policies and Procedures across the U.S. platforms, the development of CUSO-level Operational Risk Appetite and Limits, and the composition of the U.S. inventory of Operational Risk Scenarios including Idiosyncratic Scenarios for CCAR and linkage with the Risk Identification program. • Chaired the quarterly U.S. Operational Risk Committee meetings and the monthly Operational Risk Forums.• Responsible for resolution of Fed and Internal Audit Issues for Operational Risk. • Responsible for compiling the quarterly Operational Risk report to the Board. • Created the Operational Risk Project Plan for CCAR in 2016 for RBC’s first private filing in April 2017. Show less

• Creation of the Internal Loss database to warehouse all Operational Risk Losses, Gains, and Near Misses across the organization, and administration of the monthly Head Office reporting process. • Creation and rollout of Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs) across the organization, and administration of the monthly process.• Administration of the semi-annual RCSA process. • Creation, rollout, and administration of the Committee of Sponsoring… Show more • Creation of the Internal Loss database to warehouse all Operational Risk Losses, Gains, and Near Misses across the organization, and administration of the monthly Head Office reporting process. • Creation and rollout of Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs) across the organization, and administration of the monthly process.• Administration of the semi-annual RCSA process. • Creation, rollout, and administration of the Committee of Sponsoring Organizations (COSO) process for SOX. • Creation, rollout, and annual updates of the portfolio of Scenarios across the organization. Show less

• Head of Operational Risk Management for Fortis Bank Americas, which was acquired by BNPP in 2010 and renamed BNP Paribas-Fortis.• Reviews of Incident Reports written by the Business Unit Operational Risk Liaisons. • Reviews of New Products, Legal Issues, and Business Unit Control Plans. • Co-Founder of the Internal Fraud Investigations Unit, which was a joint venture between Oversight of Operational Permanent Control (2OPC) and Compliance.

• Project Manager for the KRI proprietary software implementation project for Fortis Bank Americas, including designing the user interface and working with IT on the backend data requirements.• Reviews of Loss Reports, as written by the Business Unit Risk Managers (BURMs).• Administration of the annual RCSA process. • Creation, rollout, and annual updates of the portfolio of Scenarios across the organization. • Tracking and reporting Audit Issues, Regulatory Issues, and Credit… Show more • Project Manager for the KRI proprietary software implementation project for Fortis Bank Americas, including designing the user interface and working with IT on the backend data requirements.• Reviews of Loss Reports, as written by the Business Unit Risk Managers (BURMs).• Administration of the annual RCSA process. • Creation, rollout, and annual updates of the portfolio of Scenarios across the organization. • Tracking and reporting Audit Issues, Regulatory Issues, and Credit Inspection Issues.• Responsible for quarterly reporting to the Board. Show less

• Operational Risk Management oversight of Alternative Investment Services, Funds Transfer, Deposit Services, Trade Operations, and Loan Operations. • Review and challenge of RCSAs as completed by the department Operational Risk Liaisons.• Reporting of KRIs, including Red KRI Escalation Letters and Timeline Graphs.• Review and challenge of Loss Reports, as written by the department Operational Risk Liaisons.

• Corporate Treasury Department. Interest Compensation Claims and Reporting, Cash Management, Domestic and International Cash Funding and Forecasting.