Patrick Kielty Email & Phone Number

Florida, United States

Florida, United States

New York, New York, Us

New York, New York, Us

New York, New York, Us

New York, New York, Us

Management Information and Data Analytics

Zurich, Ch

- Compliance Operational Risk Manager, responsible for self-identified, audit and regulatory risk issues, providing escalation to the appropriate governance committees; co-ordination and tracking of in-progress audits; provide feedback on the completeness, relevancy and mapping of Key Procedural Controls; coordinate the Internal Control Assessment Process- Produce and present Compliance Management Information – risk dashboards, metric breaches, issues and event status, escalation items, forward looking view of risk - across a variety of Compliance/Operational Risk control disciplines. Experienced with Tableau- Working group member for planning and implementation of Enhanced Prudential Standards for Foreign Banks (EPS), primarily focused on management information and reporting of op risk losses; Americas signoff authority for EPS MI deliverables- Change management execution over other regulatory initiatives impacting the Op Risk framework, e.g., MRA, MoU- Business management for Americas Compliance: Financial analysis of operating plan/budget, headcount and expense; develop location strategy to leverage lower-cost near-shore facilities

Zurich, Ch

- Facilitated clear and transparent independent assessments of Operational Risk issues impacting the business via internal and external data points, performance metrics, testing of key controls, forward-looking risk outlook (Risk Radar), and other key indicators- Designed Risk Radar and developed content - in conjunction with business lines - to identify and prioritize forward looking risks- Managed the internal events analysis/reporting process, including lessons-learned, thematic reviews and deep-dive investigations- Developed, managed, maintained external events process, incl. back-testing against UBS's control environment, peer analysis and identification focus areas for control framework development. Experienced with IBM Algo FIRST database- Developed and delivered Op Risk training materials for OR fundamentals, framework components, design and operating effectiveness testing of controls; delivered focused training on Privacy, Information Security and IT risk. Primary author and editor of quarterly Op Risk newsletter, highlighting trends and key Operational Risk-related industry events- Americas lead, including UAT, for rollout of risk and Compliance tool. Experienced with SAS Enterprise GRC- Business Continuity Coordinator for ORC: Performed BIA and determined DR/BC requirements; Experienced with Dialogic

Zurich, Ch

- Reported to the Chief Information Security Officer, working closely with Privacy Office and Legal to ensure continuing Information Security Compliance with applicable laws and regulations (GLBA, Reg S-P, US State breach notifications, etc.). - Provided risk advisory for new business and outsourcing/offshoring initiatives, covering IT and Privacy/InfoSec, as well as due diligence of popular structured products. Designed/implemented SharePoint workflow tool for processing new business initiatives- Designed/implemented External Service Providers (ESP) assessment program, based on BITS/FISAP. Conducted ESP risk assessments to ensure adequate protection of information assets; customized security language for contracts- InfoSec lead for successful ISO 27001 certification of Stock Option Plan Administration (CEFS) division of UBS- Senior Policy Officer, responsible for creation, review, approval and integration of IT/InfoSec policies and standards commensurate with industry best practice (NIST, COBIT, etc.)- InfoSec Education and Awareness lead; member of committees seeking to promote responsible InfoSec behavior across the firm

Toronto, On, Ca

- Technical Architect, Hosted Product Delivery (10/05-12/06): Network architect for Hosted Bridge Feed Service (HBFS), allowing clients to access market data over the Internet/Private Network: developed network configs, server/switch/firewall profiles; wrote installation & technical guides; tracked open risks throughout product implementation and developed risk mitigation action plans. - Production Support Manager, Product Development (09/04-10/05): Managed product support team; implemented streamlined support; escalation point for issues not resolved within normal support model; developed operational level agreements for follow-the-sun/2nd level global support groups; maintained incident tracking, process documentation, status reports and support-related information- Project Manager, Fixed Income Web Views (01/04-09/04): Maintained and managed roadmaps, resources, requirements, risks and project plan for FI Web Views (via Reuters 3000Xtra). Facilitated and tracked defect/requirements review meetings; prioritized change requests with stakeholders and Business Development Manager. Oversaw offshore development group in Bangkok

- Senior Product Consultant, TIBCO Market Data Delivery System (06/01-01/04): Moved to company HQ in CA as support manager for clients in UK and Europe: dedicated support/consultancy for 200+ real-time and historical MDS components; architected, implemented and maintained multi-platform staging lab; wrote/distributed technical alerts, cheat-sheets and workshops- Client Technical Services Engineer (10/98-06/01): Installed/configured distributed trading system (TIB Exchange) onsite at NASDAQ Europe in London, including multi-platform access control design and implementation, DR failover strategy, WAN testing, TCP/IP network debugging and monitoring (TIB Hawk), UNIX (Solaris 8) sys admin and shell scripter, change/configuration management. Configured/supported 1000+ market data terminals at open outcry LIFFE trading floor, including TIB/Triarch Market Data Systems and Overhead Market Display screens; managed onsite support team and LIFFE’s Y2K transition

M.Sc., Data Comms; Networks; Distributed Systems

B.Sc, Computer Science