A results-oriented and performance-driven Risk and Control Officer and a key member of the leadership team, with 20+ yearsโ experience establishing, expanding, and optimizing methodologies, frameworks, and standards to reduce business and reputational risks for JP Morgan, HSBC, Citigroup, UBS, and Prudential.โฆ ๐๐จ๐ฆ๐ฆ๐ฎ๐ง๐ข๐๐๐ญ๐ข๐จ๐ง / ๐๐๐ฅ๐๐ญ๐ข๐จ๐ง๐ฌ๐ก๐ข๐ฉ ๐๐ฎ๐ข๐ฅ๐๐ข๐ง๐ : Exceptional leadership, communication, and presentation skills. An influencer with the ability to build robust and mutually beneficial business relationships at all levels. Adept at translating complex concepts into audience-appropriate and actionable terminology.โฆ ๐๐ก๐จ๐ฎ๐ ๐ก๐ญ ๐ฅ๐๐๐๐๐ซ ๐๐ง๐ ๐ฌ๐ฎ๐๐ฃ๐๐๐ญ ๐ฆ๐๐ญ๐ญ๐๐ซ ๐๐ฑ๐ฉ๐๐ซ๐ญ, ๐ฐ๐ข๐ญ๐ก ๐๐ฑ๐ญ๐๐ง๐ฌ๐ข๐ฏ๐ ๐๐ฑ๐ฉ๐๐ซ๐ข๐๐ง๐๐ ๐ข๐ง: Risk and control management, strategy design and execution, enterprise adoption, emerging regulatory and legislative changes, legal and regulatory compliance, internal controls testing, internal awareness, compliance auditing, validation & reporting, methodologies, standards & processes design, and standardized tools & training rollout/delivery.โฆ ๐๐จ๐ง๐ญ๐ข๐ง๐ฎ๐จ๐ฎ๐ฌ ๐๐ฆ๐ฉ๐ซ๐จ๐ฏ๐๐ฆ๐๐ง๐ญ: Including root cause analysis, data-driven solutions, and process re-engineering. โฆ ๐๐ซ๐ฎ๐ฌ๐ญ๐๐ ๐๐๐ฏ๐ข๐ฌ๐จ๐ซ: Successfully interacting with key stakeholders, including LOB and senior leadership, advising on risk issues, emerging regulations, trends, best practices, controls, and internal compliance awareness. โฆ ๐๐ข๐๐๐ง๐ฌ๐๐ฌ: Series 6, 7, 24, & 63.๐๐๐๐ ๐๐๐๐๐๐๐๐๐๐๐๐โ Risk Managementโ Internal Controlsโ Risk and Control Assessmentsโ Compliance Monitoringโ Strategic Advisementโ Regulatory / Policy Compliance โ Gap Analysisโ Exposure Identificationโ Risk Driversโ Thematic Trendsโ Evidence / Documentationโ New Business Review โ KYC / AMLโ Process / Control Creationโ Compliance Awarenessโ Internal / External Auditsโ Change Managementโ Internal Training / Alignment
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Vice President / Ccor Compliance Risk Management Lead (Asset Management)Jpmorgan Chase & Co. Oct 2021 - Oct 2023New York, Ny, Usโ Promoted to provide governance to monitoring and testing, investment management risk oversight, and policy management. Provide second-line oversight of controls designed to ensure compliance with relevant laws and regulations and implement ongoing second-line risk assessments.โข Architect and execute the risk and control vision. Execute and deliver risk and control self-assessments, develop and implement relevant compliance monitoring activities, and scalable process improvements. Provide day-to-day advice and guidance to the US Client Service team.โข Proactively identify root causes and gaps as well as assess thematic trends and exposures. Partner with senior leadership, presenting data-driven strategies, ensuring alignment, and successful mitigation implementations. โข Remain current on regulatory and legislative changes. Advise and inform senior leadership, business unit leaders, and company personnel on regulatory and internal policy changes. Oversee the business implementation of new rules, policies, and/or regulatory guidance.โข Provide Subject Matter Expert (SME) advisement and champion compliance education and training, to ensure cross-functional teams are aware and knowledgeable of compliance laws, regulations, and policies.โข Partner with Compliance and Operational Risk colleagues and also engage other control functions, e.g., Legal, Risk, Audit, Finance, and Controls. -
Vice President - Cib Operations Client Onboarding KycJpmorgan Chase & Co. 2014 - 2021New York, Ny, Usโ Provided oversight for KYC documentation for Foreign Correspondent Bank- EDD (Enhance Due Diligence) for compliance risk control; produced monitoring analysis report and conducted EDD Analysis of Correspondent Banks for MRA remediation as well as in compliance with Bank Secrecy Act/USA Patriot Act.โข Reviewed nested/downstream accounts and reviewed/analyzed external risk-mitigating corresponding banking relationships.โข Managed and facilitated client due diligence, including coordinating the participation of JP Morgan stakeholders who have KYC responsibilities.โข Participated in annual AML discussions with clients.โข Discussed and escalated with Compliance, complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues.
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Vice President โ Compliance Standards And Planning, Program QualityHsbc Bank Usa, 2013 - 2014London, Gbโ Brought in for a strategic initiative to build a best-in-class internal controls testing function and ensure all business units were compliant with industry standards as well as internal policies and procedures. โข Core member of the Compliance Standards and Planning Team accountable for defining, implementing, and overseeing the adoption of standardized processes and strategies for testing internal controls against industry, regulatory, and internal standards. Reviewed testing processes to validate compliance with established methodology. โข Played a key role in establishing the internal controls and testing methodology for all business units which increased quality, improved consistency, and mitigated financial and reputational risks. โข Built the governance framework to ensure that the testing plan effectively analyzes business risk, documentation was compliant with internal and industry standards, and conclusions were consistent with testing parameters. โข Established the Inflight Process, a quality assurance function for the internal controls testing team. Provided feedback and advisory support team on best practices for analyzing and documenting business risks. Trained internal control testing staff on trends and testing strategies.โข Led all efforts to reduce testing compliance issues within the organization. Interfaced with external regulators and business units to implement additional controls. -
Risk And Internal Control Officer / Vice President - Icg Risk ManagementCitigroup 2007 - 2013New York, New York, Usโ Recruited by the former manager to strengthen the internal control testing function for all operating units to enhance compliance with management, reporting, and capital usage standards.โข Assessed, strategized, and built the testing framework to analyze, monitor, and report on operational exposure and risk. Collaborated with operations managers and supervisors in understanding and resolving operational risks. Led a team of 4 control testers in testing critical and significant controls. Identified, communicated, and developed corrective action plans.โข Established a metrics-driven controls testing environment that increased straight-through processing. Interfaced with the IT team to develop tools to capture Key Risk Indicators (KRIs) and Environmental Risk Indicators (ERIs) for operational units.โข Built strategic partnerships with management teams to analyze and reduce operational risks. Trained managers on best practices for implementing effective internal controls and processes.โข Developed controls and risk standards for operating units, encompassing Margins, Futures, and Corporate Actions. Oversaw teams with testing and validating compliance of internal controls and processes. -
Associate Director Of Operations Compliance And Regulatory Control Risk AnalysisUbs 2007 - 2007Zurich, Chโ Promoted based upon success, and given additional responsibility to expand framework across all lines of business to limit exposure across highly regulated global operating environments. -
Associate Director Of Operations Risk AnalysisUbs 2005 - 2007Zurich, Chโ Recruited for a newly established role to establish the regulatory controls testing framework for the Fixed Income business. โข Provided the leadership to advance and align the risk assessment strategies and methodology with evolving regulatory reporting requirements. Managed the implementation of automation that increased visibility and enhanced the overall accuracy of regulatory reports. โข Analyzed, monitored, and measured regulatory operational risk. Developed and delivered monthly reports to senior management. Investigated and responded to regulatory inquiries and examinations.โข Pivotal role in building the regulatory control team, standards, policies, and best practices for all businesses globally. Reviewed, tested, and validated regulatory reporting data; identified potential compliance issues and risks; and strengthened risk assessment methodology to limit exposure.โข Created the regulatory reporting control testing framework for the Fixed Income business. Developed and implemented reporting structure. Defined and collected Key Risk Indicators (KRIs). Audited, monitored, measured, and reported operational risk. Collaborated with individual departments to remediate regulatory compliance issues.
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Consultant - Sox Risk Control Self-Assessment (Rsca) Initiative - Citigroup Private BankingCiti 2005 - 2005New York, New York, Usโ Retained as a subject matter expert (SME) through Response Companies to build the supervisory control function within the risk assessment framework in response to regulatory findings.โข Conducted research on new Sarbanes-Oxley (SOX) regulations, evaluated compliance issues, defined structure, and began the implementation of internal controls throughout Private Banking operations. โข Trained senior managers throughout Zurich, Geneva, and London.
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Associate Manager Of Risk Management For Operations And Trade DeskPrudential Financial 2000 - 2005Newark, New Jersey, Usโ Associate Manager of Risk Management for Operations and Trade Desk (2001-2005) โ Onboarded as a Senior Surveillance Analyst / Registered Principal for Prudential Securities (2000) โ Promoted and given compliance oversight responsibility for the Procu Command Trade Desk. Established the supervisory framework that significantly reduced potential fraudulent activity by 30% within 2 years and enabled the business to pass internal audits. โข Developed policies and procedures, trained brokers on best practices for building investment profiles, set strategies on customersโ accounts, reviewed trade blotter, and approved margin accounts.โข Assumed additional role as Supervisory Principal within the Office of Supervisory Jurisdiction for branch operations. Built the supervisory framework and delivered training to 500 brokers.โข Recruited and within one month of hire reduced the organizationโs reputational and financial risks across a portfolio of large active accounts. Conducted extensive audits of triggered accounts, determined risks, interfaced with brokers to justify activity, and ensured the appropriate modification of investment profile or trader strategy to comply with financial crime and regulatory controls.
Ronald Sheppard Education Details
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University Of North Carolina At GreensboroOrganizational Communications
Frequently Asked Questions about Ronald Sheppard
What is Ronald Sheppard's role at the current company?
Ronald Sheppard's current role is Vice President / CCOR Compliance Risk Management Lead | Governance, Risk Oversight.
What schools did Ronald Sheppard attend?
Ronald Sheppard attended University Of North Carolina At Greensboro.
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