Manage a team of 18 Risk professionals ensuring the quality of our underwriting processes and the Reputation Risk program for CCB.

Lead for Wholesale Risk Management, Operational Risk Oversight team.

Business Banking Risk Manager with responsibility for AML/KYC escalations, enhanced due diligence for high risk clients, Fraud review and remediation, and general risk escalations from the Business Banking and RM channels. Currently working on Consent Order work specifically the KYC Lead for Business Banking EDD/SPDD.

Manage Technology Risk for Corp Real Estate and Legal and Compliance. Responsible for Application assessments for over 150 applications, vulnerability management for over 8,000 employees and 250 Servers, SOX testing, business continuity and disaster recovery for all required applications and locations. Also provide guidance and approval for all policy exceptions and compliance.

Acted as Operational Risk Liaisons for the Private Client Services group within JP Morgan Asset and Wealth Management, worked specifically with the PCS Front Office, Portfolio Management and PCS Operations to identify operational controls and test the effectiveness of those controls. Worked on a major KYC mitigation effort for all PCS clients to ensure compliance with Patriot Act and BSA.Ensure all gaps in controls were identified, rate the significance of those gaps and make… Show more Acted as Operational Risk Liaisons for the Private Client Services group within JP Morgan Asset and Wealth Management, worked specifically with the PCS Front Office, Portfolio Management and PCS Operations to identify operational controls and test the effectiveness of those controls. Worked on a major KYC mitigation effort for all PCS clients to ensure compliance with Patriot Act and BSA.Ensure all gaps in controls were identified, rate the significance of those gaps and make recommendations to close those gaps to the organization. Created and managed Control Self Assessments for all clients in order to accurately identify, rate, and calculate operational risk within all of my clients business to comply with Basel II requirements. Tested Sarbanes Oxley controls on a quarterly basis, reported and reviewed results with Controller, senior management and Auditors on a regular basis.I led and managed the annual SAS 70; in which I worked with senior management and external auditors to insure the timely and accurate completion of the Audit. Show less

Worked on process improvement and production and quality for all aspects of securities operations.