Monitor risk event reporting and generate relevant, timely and impactful operational risk information, as well as develop strategy for control improvements. Support the Operational Risk Committee including assistance in the preparation and presentation of regular reporting and approval matters, to ensure that risks are properly addressed. Leverage shared corporate functions for common activities (Risk Event Reporting, Information Risk, Fraud, Security and Business Continuity) Assist in the development and implementation of risk management tools and techniques (risk identification, measurement, monitoring, and control remediation). Partner with other risk disciplines - IT Risk Management, Compliance, Legal, Corporate Audit Services - to ensure a unified and coordinated approach to risk management. Provide recommendations and guidance to the business in respect of audit findings. Perform risk assessments of key business areas to identify key risks within the business. Facilitate governance and oversight, and ensure there is proper management of operational risks in the business.

Managing all aspects of risk within the commercial banking business units, ensuring that the risk processes, programs and reports are consistent with the corporate direction and policies. Developing, enhancing and maintaining a proactive and robust risk management program and related initiatives. Providing regulatory expertise and solutions on complex risk and compliance issues within the business unit. Reviews policies and procedures for adequacy and accuracy. Identifying, assessing, implementing and communicating regulatory issuances.

Execute and enhance mutual fund compliance programs through proactive testing. Design and execute testing and assessment activities. Develop processes to determine readiness of various entities for SEC or FINRA examinations. Conduct assessments of internal business entities to ensure compliance policies are adequate and implemented effectively. Identify and analyze key risk areas. Conduct impact assessments of various compliance practices to gauge the level of risk or exposure. Communicate findings to senior managers. Manage remediation efforts by developing solutions to improve compliance for assessment or exam findings. Analyze incidents and exceptions to identify patterns or trends that may indicate an increase in risk. Identify and escalate incidents or issues appropriately. Support managers and compliance officers by effectively developing and documenting new policies, procedures, process flows and risk assessments. Monitor ongoing compliance through reviews of controls to ensure business practices remain in compliance. Work with managers to develop new controls.

Working within the IT Division providing support, maintenance and development of the Corporate Sales Applications for the Sales Division. Sales Reporting through Sharepoint and BIP(Business Intelligence Portal). Sales CRM through Salesforce.com. Sales site qualification through custom business application utilizing web services, Mapping and Sharepoint. Provide support, maintenance and development of the Corportate Operations Applications for the Lease Management Division. Custom Inventory Management System, Lease Project Tracker and Ad hoc Reporting. Provide issue resolution by trouble-shooting tickets submitted via the Service Desk by end-users. Follow IT process for initiating, developing and delivering system enhancements and new initiatives through a custom Sharepoint portal designed to inventory and track IT projects.

Complete all phases of the audit including planning, risk assessment, testing and report writing. Evaluate the effectiveness of controls through the application of knowledge of business processes and system controls. Perform audit in a professional manner and in accordance with the approved audit plan. Prepare formal written reports expressing opinions on the adequacy and effectiveness of the internal controls. Sarbanes-Oxley 302/404 and SAS-70 (Statement of Auditing Standards, Service Organizations) readiness testing. Liaison between the Institutional client group and Investment Operations. Coordinate desktop initiatives between client and Investment Operations helpdesk. Assist in researching, reviewing and recommending new products and services for use by client. Understand the business flows of client and the underlying applications. Maintain accurate status report and track progress of client projects. Business Analysis and Project Management. Serve as Project Manager on client projects. Serve as point contact for support within Investment Operations for other client initiatives. Generate project documentation in the form of Matrices, Analysis, Business Specifications and Project Plans. Assemble project team members to work on new projects and manage project timelines. Some examples:Conversion of conference room into teleconference facility. Mapping data flows of equity trades for front-end trading compliance initiative. Coordinating training and documentation for roll-out of new or updated applications. Analysis of corporate action workflow, failed trade tracking and standing settlement instructions as part of the STP and Electronic Trade Delivery initiatives.

Maintain IBTC Transfer Agent operations relationship with client accounts. Provide comprehensive client support; attend client meetings, address client issues, fulfill client reporting requirements, coordinating client mailings and provide client with timely information. Provide internal Marketing support and internal/external Audit support. Ensure Compliance requirements and Quality Control for client account processes. Develop operations procedures for client account processes. Liaison between the IBTC Transfer Agency and the TA Systems group. Responsible for client conversions to and from IBTC Transfer Agency. Develop and test system enhancements, prioritize work, document deficiencies and track resolutions. Develop and document operations procedures. Perform internal audit functions within the group.

Supervise up to seven staff members within the Broker/Dealer daily operations group. Interview and select new staff for unit. Develop and motivate staff through training, counseling and ongoing performance appraisals. Manage, prioritize and delegate daily activity and special projects of the Broker/Dealer daily operations group. Direct the development, implementation and prioritization of the Broker/Dealer unit system enhancements. Liaison between the Systems group and the Broker/Dealer unit, writing system enhancement requests, testing and implementation. Ensure accurate, efficient and continuous operational support for Keystone products and services. Improve all services provided to the broker/dealer community to ensure quality marketing support and compliance with regulatory requirements.