Peter Clasby Email and Phone Number

Conduct searches and research for sites containing generative artificial intelligence coding or applications and limit access to those sites in accordance with existing corporate policy. Develop procedures and control documentation artifacts for SharePoint. Authored training materials and desktop support presentations for team including workflow documentation. Participate in governance discussions as needed.

Assist in the review, assessment, document and process mapping for control documents and procedures in the Credit Risk business area.

Tracking and facilitation of control examinations for corporate risk - market and counter party. Production and storage or artifacts on SharePoint. Create project plans, task lists and control documents. Review and edit control procedures to FRASA language and standards.

Assist in driving data management program initiatives in resiliency, adoption, business requirements and overall program health.

Work in the development of new business intake risk assessments, protocols and documentation for product and process changes impacting consumer lending.

Assisting leadership team to develop intake protocols, workflow tools, process design and overall operational support structure at the enterprise level for complaints data.

Driving successful client outcomes for financial services organizations. Primarily focused on plan transitions and platform migrations, client service and operational efficiency. Partnering with clients and stakeholders to plan and implement strategic and tactical solutions.change management oversight and business readiness stake holder discussions to assess preparedness for the target operating environment post initiative.

Managed expansion of the voice biometric customer authentication program to all inbound service lines across the Enterprise for the financial crime prevention group. Specialize in readiness assessments for business areas post implementation.

Part of the start up team to staff, develop and document business processes and implement effective business and performance measurements for the concierge in bound rollover customer assistance program.

Drove multiple customer web self service and transaction automation projects for inbound call center and back office operations business units. Developed and documented compliance initiatives and management action plan responses tied to KYC, CIP and new business operations, frequent trading controls and policies and customer 10B-10 notifications.Operations delegate in program to automate and facilitate on line distributions for clients. integral in establishing controls and parameters for AML, OFAC and plan rules for eligible sources and funds for qualified plans.Drove call center project to identify call types, client requests, qualified plans and institutional requirement differentials training and knowledge deficiencies among call center associate training groups and all known variables and their impact on average handle times. recommended structural changes to the calm routing model based on volumes of call types to improve handle times per client engagement.

Developed late trading policies and standards for front office and back office operations for transaction executions after market close.

Managed new account opening, NIGO policies and resolution with the sales agents and agency principal for retail brokerage accounts and high net worth clients. Transfer of asset processing and mail and imaging operations were also responsibilities. CIP/KYC resolution and compliance for new account opening.

Managed life and annuity tax operations generating cost basis requests, schedule 5500, 1035 exchange documentation and duplicate client tax forms.

Managed life and LTC premium processing business unit for individual and listbill processing. initiated internal quality team via restructuring of existing staff. workflow and process design. AML/SAR research and referral where appropriate.

Managed mutual fund operations in list bill contributions, redemption processing, account maintenance, new account opening and share purchases.

Inbound call escalation point for complex traditional, universal and variable life insurance contract issues as well as fixed and traditional annuity contracts. Primary escalation point for client issues and complaints for the office of the president.