Lead the Client, Audit and Regulatory Engagement (CARE) team to ensure timely and accurate responses to audit, client due diligence and supervisory exam requests in collaboration with various stakeholders on behalf of Cybersecurity and Technology Risk Management.Establish a client-centric process for managing due diligence requests, effectively balancing the security interests of DTCC, resulting in streamlined client interactionsConsistently exceed deadlines for client due diligence inquiries and requests for information, providing a high level of client service and enhancing client satisfactionCreated a client metrics report that provides actionable insights and improves client relationship management Oversee the delivery of external audit reviews for DTCC’s information and cyber security program, ensuring compliance with client regulatory obligationsLead client meetings to discuss DTCC’s security profile, fostering transparency and trust with clientsIntegrated the audit process into the client and regulatory engagement process for CS&TRM, improving overall efficiencyShorten the production time of the audit reporting process by 83%, significantly increasing operational efficiency Implement a cross-training program to address key person risk in the audit process, ensuring continuity and resilienceSupervise the timely submission of exam requests on behalf of CS&TRM, collaborating with regulatory, legal and IT stakeholders to fulfill requests from supervisory authorities Collaborate with Compliance to facilitate the completion of Annual Compliance Reports and track and maintain regulatory compliance requests in adherence to regulatory guidelines Designed a process for recording regulatory data, that is being used to establish a regulatory exam portal for CS&TRM, enhancing data management and accessibility

Optimize regulatory outreach efforts of financial/post trade clearing warehouse. Provide comparative analysis of data from various global regulatory authorities. Review or assess the equivalence of documents' governance and corporate structures to support management's establishment of licensed trade repositories abroad. Expanded knowledge of the global implications of the 2010 Dodd-Frank. • Analyze potential cross-border issues during the course of drafting a comparative analysis for submission to external legal counsel and ASIC. • Assess existing processes and create new ones that most effectively anticipate, manage and reduce regulatory and reputational risk to DTCC and its participants.• Liaise with global and regulatory authorities, legal and various business units to ensure that the documentation submitted complies with external and internal legal, regulatory and compliance guidelines.• Review, research, and respond to legislative consultations.• Liaise with compliance and legal on all client and industry facing communications.• Honed expertise in reporting requirements and procedures specific to CFTC and global regulators including ASIC and MAS.• Manages project communications, providing formal and informal status to the project team and senior management.• Identifies and provides oversight and monitoring of risk related regulatory, legal and compliance issues.• Selected to participate on the accountability and culture committee as part of a company wide initiative to improve the organizational culture.• Member of DTCC’s Women’s Initiative for Networking Success (WINS) and serve on the WINS Workplace Environment Subcommittee.

Liaised effectively with legal, credit, and trading department personnel to facilitate the detection and defusing of operational risk; collaborated with internal and external vendors to test and roll out new products. Advanced through roles of increasing Legal, Operations, and Managerial responsibility for established finance / trading subsidiary. Leveraged deep legal and ISDA expertise to train and direct 8 staff members in the deadline-critical processing of OTC derivatives. Developed and drafted department policies and procedures with an aim towards identifying and mitigating operational risk. • Maintained superb record for annually processing trades with minimal errors.• Consistently achieved above-average ratings on SOX, external, and internal audits.• Conceptualized and implemented efficient procedures to optimize management of credit derivatives and to enhance relationships with off-site traders.• Utilized Marketwire to report daily number of trades; identified and reported all trading errors on a monthly basis to senior management.    • Participated in industry and company wide initiatives to examine the potential regulatory, legal, and operational ramifications of Dodd Frank upon Mizuho and upon the OTC Derivatives trading climate.• Conducted annual performance evaluations for staff members.