As a member of the Executive Team, at the helm of establishment, implementation and oversight of enterprise-level risk and compliance, including Statutory & Regulatory Compliance, Labor & Employment Law Compliance, Data Privacy and Security (HIPAA, GDPR, CCA), Environmental, Social, and Governance (ESG), Operational Risk, Third Party Risk Management, Business Continuity, Resiliency, Cybersecurity, and Contract Management

Provide strategic guidance and business development support to a leading financial technology company. Leverage industry expertise to identify growth opportunities and optimize operations. Champion customer-centric initiatives and drive improvements in customer experience. Collaborate with cross-functional teams to develop strategic initiatives spanning finance, operations, marketing, product, engineering, and design, while continually identifying opportunities to improve effectiveness and efficiency through automation and streamlining of processes.

Reporting to the Chief Compliance Officer and General Counsel, led the Enterprise Risk Management function, and built a framework for Third Party Risk Management and Business Continuity & Disaster Recovery for digital payments provider (to small businesses) in hyper-growth phase

Oversaw the centralized teams covering Third Party Risk Management and Business Continuity Management for the $26bn division that included Morgan Stanley Wealth Management, Shareworks by Morgan Stanley, and E*TRADE Digital Direct businesses.

Led the Vendor and Third-Party Risk Management function (and associated life-cycle processes including on-boarding, contract reviews, periodic monitoring, risk assessments, compliance and termination). Headed up the Business Continuity Planning and Crisis Management function for campus/home office locations and over 600 locations in the Americas.

Responsible for the management of processes associated with Entitlements, Segregation of Duties, Privacy, and Information Security. Established governance frameworks, guidelines, deliverables and standards, and accordingly led the individual Business Control Units across Wealth Management in executing on those deliverables.

Managed, supervised & mentored local & offshore teams with respect to the US conflict check process. Directed change in departmental processes and internal structure to meet the ever changing demands of the group. Led implementation of new processes & change management, including compilation of a department manual from over 500 documents.

Reporting to Deloitte’s Deputy Chief Privacy/Anti-Money Laundering Officer, re-engineered the privacy incident reporting and handling processes to realize cost savings, increase efficiency & improve user experience through handling offshore. Defined steps involved, trained resource and transitioned the activities. Evaluated the impact of Canada’s Anti-Spam Legislation (CASL) on Deloitte’s communication with clients, alumni & potential clients. Drafted plan on how the Privacy Office will implement changes to address CASL.

Performed strategic reviews and approved processed conflict check requests for release & distribution. Provided consultation to proposal teams, lead client service partners (LCSPs), risk managers, independence specialists, and other conflict teams in identifying and resolving potential conflict issues.

Responsible for financial planning and reporting for the Mass Merchandise and ECommerce businesses. Assisted in driving Sarbanes-Oxley agenda, process improvements & stronger internal controls as subject matter expert.

Championed the compliance and control agenda across the Diageo-Guinness USA organization for the first live SOX year (CFO Award). Led the initiative to document policies and procedures for the business. Analyzed business unit processes to strengthen controls, improve efficiency and eliminate redundant tasks. Served as sole point of contact for any and all depletions reporting issues/concerns/questions in DGUSA. Built and managed relationship with vendor and executed on commitment to have 450+ distributors SRS-certified (reporting depletions/sales electronically).

Planned, executed & managed external audit engagements. Supervised field audit engagements, assisted in designing the audit approach, mentored staff, performed accounting of complex areas of a clients' balance sheet & income statements and oversaw the completion of clients' annual reports.