Pete Feeley Email & Phone Number

Nyc

• Compliance Risk Management: Coordinate the compliance risk assessment and the risk and control self-assessment across 11 business units on four continents; Develop risk Acceptance Statements per Federal Reserve Bank Guidelines; Periodic status reporting to global regulators, Boards and senior leadership; and Develop Annual Compliance Plan to mitigate key risks. • Conduct Risk: Serve as the Division’s Conduct Risk Officer, responsible for overseeing compliance with Code of Ethics; Addressing and mitigating personal conflicts of interest situations; Reporting metrics and recommending discipline to senior management; and Developing training to address key conduct risk areas. • Strategy, Data Analytics, Metrics, and Reporting: Serve as the Division’s Chief Operating Officer, responsible for designing metrics, key performance indicators, and other tools for the timely identification and effective tracking, aggregating, and reporting of systemic control issues and other regulatory risks; Provide the Board, senior management, and regulators with regular updates on key issues identified and associated corrective action plans; Oversee the Division’s budgeting process, business continuation plan, Lessons Learned/After Action Review, and Fed mandated resolution plan; and Serve as primary interface with the Internal Audit Division and the Operational Risk Department on risk-related issues.• Project Management: Lead the Project Management and Strategic Initiatives Office, responsible for all key Departmental and Inter-Departmental projects and deliverables.

Greater New York City Area

Reported to the Consumer Lending Group's (CLG) Chief Risk OfficerBusiness Line Compliance Monitoring and Oversight: Led compliance team responsible for all compliance monitoring and oversight for the Consumer Lending Group, comprised of the Home Lending (mortgage/home equity), Commercial and Direct Auto, Dealer Services, Consumer Credit Solutions, and Personal Loans and Lines businesses.Compliance Program Implementation: Designed the vision, strategy, and execution plan for the first group-wide compliance and business ethics program that strengthened the Consumer Lending Group’s compliance with regulatory requirements and expectations; Authored an overall CLG Compliance Plan document that outlined improved processes, expanded control activities, and increased training that minimized risk consistent with the enterprise-wide Compliance Plan; Presented program to regulators for approval. Enhanced Risk Assessment: Improved the risk assessment process and reporting of the program's effectiveness to executive management and regulators; Delivered an enhanced protocol for acting when regulatory compliance risk was not being appropriately managed or exceeded acceptable risk appetite levels.Risk Mitigation and Reporting: Significantly reduced regulatory risk exposure by delivering reasonable assurance regarding compliance, effective credible challenge protocols, and improved oversight and monitoring of the overall compliance program and risk framework; Optimized the process for the timely escalation and resolution of compliance risk issues to management, the Board, and regulators. Ethics Policies: Served as CLG's Ethics and Business Conduct Risk Manager and effectively implemented the Conflict of Interest, Outside Activity, Gift & Entertainment, and Activities with Public Officials policies.

New York, New York

Reported to General Counsel and Chair of Audit CommitteeLed a team of attorneys, as well as compliance and risk experts, that implemented a comprehensive enterprise-wide regulatory risk management program consistent with the corporate risk appetite; Led all compliance and business ethics program activities and initiatives, including regulatory risk assessments; Optimized and automated the Company’s Conflicts of Interest and Code of Conduct attestation processes and handled all whistleblower and global hotline complaints.Partnered with the Chief Information Security Officer and Head of Operational Risk to implement a highly effective Privacy program that ensured adequate data protection, risk management and compliance with both state and federal laws, including HIPAA, GLBA, and FFIEC requirements.Coordinated the development and implementation of the company’s Fraud Risk Management program; Lead counsel for all investigations, privacy breaches, and security investigations.Developed and implemented the company’s Records Management program resulting in substantial annual savings in records storage costs, advancement in resiliency and business continuity, while also ensuring an efficient capability to retrieve documents electronically for litigation and regulatory review. Delivered an automated system to identify and address new laws impacting Guardian’s businesses and delivered and implemented the Company’s Pay-to-Play program.

Radnor, Pennsylvania

Reported to the CEOLeader of 150 attorneys, compliance, and other professionals with a combined budget exceeding $50 million per year. Trusted adviser to the Office of the CEO, line of business CEOs, and the Board of Directors on new products, initiatives, and a broad range of legal, regulatory, compliance, and public policy issues. Delivered major strategic initiatives across the lines of business, including organizational redesign, Advertising Review optimization, Pay-to-Play policy, and new laws and regulations processes.Leader responsible for strategy setting, policy making, and supervising the professionals providing day-to-day legal and compliance advice to the Individual Life, Individual Annuities, Group Protection, Funds Management, and Retirement businesses, as well as the product distribution networks; Led the Enterprise Compliance, Litigation, Public Policy, Employment, and Strategic Operations units.

Reported to the General Counsel and the Chief Ethics and Compliance OfficerLeader for all operations, finance, and project management support to over 750 associates in 14 countries and 19 U.S. locations; Led various initiatives, including improved outside counsel and third-party vendor utilization and oversight, resulting in over $2 million in annual savings.Authored and implemented the enterprise’s Compliance and Business Ethics Program document and managed the semi-annual certification process and submission required under the Non-Prosecution Agreement with the United States Department of Justice for the five-year term. Delivered strategic initiatives including designing and implementing programs, systems, and protocols in support of a non-prosecution agreement, creating a Project Management Office, and redesigning the SOX 404 attestation process. Leader of testing teams accountable for the risk-based testing of the effectiveness of compliance related policies and procedures of regulated entities, including 12 investment advisers, 6 registered investment companies, and 4 broker-dealers.

Greater New York City Area

Reported to the Chief Marketing Officer in the Individual Life Insurance businessLeader responsible for strategy setting and supervision of the third-party/brokerage channel’s Licensing and Appointment, Compensation Design, and Management Information Systems teams. Leader of various executive projects to optimize third-party sales organization, including all sales forecasting and reporting activities, multi-year and strategic planning reviews (including development of Departmental and Unit key objectives), sales data analysis and validation, P&L reporting and analysis, expense reporting and business case review and preparation. Also responsible for regulatory reviews, audits and associated follow up activities, GLB Privacy compliance, Human Resources related initiatives and Departmental staff meetings.

Co-Professor for LL.M Course - "Compliance for Global Financial Services" - This course covered the legal and compliance issues facing multi-national financial services firms.

Greater New York City Area

Reported to a Senior Vice President and was responsible for the management of various projects involved in the Company’s conversion to a publicly traded stock company. These included coordinating the production of the Plan of Reorganization, the S-1 Registration Statement and all associated documents; assisting in the design of a new legal entity structure, a share offering strategy and organizing the Public Hearing and IPO events. Other responsibilities included primary liaison with the New Jersey Department of Banking and Insurance on all conversion-related complaints, management of the overall project budget, developing Board presentations and supervision of the project wind down.

Greater New York City Area

Leader of a team of 54 associates responsible for all Systems, Operations, Human Resources, Claims, and Compliance functions. Co-leader and chief negotiator for the project team outsourcing $80 million of group credit life and health business to an external third-party administrator (TPA).Prepared and evaluated requests for proposals for multi-million dollar strategic partnerships with TPAs to provide systems, management and other outsourcing services, negotiated related contracts and monitored the quality of technology and management services provided. Developed an effective business continuation plan and achieved Year 2000 systems compliance.

Ms, Management, 4.0

Activities and Societies: Member - Beta Gamma Sigma Honor Society

Jd, Law (With Honors)

Activities and Societies: Member and Business Manager – Seton Hall Law Review Member – Seton Hall Legislative Journal Constitutional Law.

Ba, Political Science, Business Administration

Activities and Societies: Beta Theta Pi Fraternity Century III Leadership Award Omicron Delta Epsilon – International Honor Society.