Stephen Mackey

Stephen Mackey Email and Phone Number

Vice President - Capital Markets Compliance Monitoring and Testing @ SMBC Capital Markets, Inc.
New York, NY, US
Stephen Mackey's Location
New York, New York, United States, United States
Stephen Mackey's Contact Details

Stephen Mackey personal email

n/a

Stephen Mackey phone numbers

About Stephen Mackey

Experienced audit and compliance professional with deep knowledge of regulatory requirements and effective control design in the Investment Banking/Capital Markets sector. Key strengths include effective communication, automation of controls testing, and leveraging data analytics to improve assurance testing and monitoring. Skilled public speaker with a history of process improvement & innovation, enterprise risk management and fraud prevention.

Stephen Mackey's Current Company Details
SMBC Capital Markets, Inc.

Smbc Capital Markets, Inc.

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Vice President - Capital Markets Compliance Monitoring and Testing
New York, NY, US
Website:
smbc-cm.com
Employees:
553
Stephen Mackey Work Experience Details
  • Smbc Capital Markets, Inc.
    Vice President - Capital Markets Compliance Monitoring And Testing
    Smbc Capital Markets, Inc.
    New York, Ny, Us
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  • Natwest Markets Plc
    Compliance Officer - Vice President Of Compliance Monitoring & Testing
    Natwest Markets Plc Sep 2023 - Present
    ▪ Design and execute compliance testing for registered FINRA/SEC Broker-Dealer and NFA/CFTC Swap Dealer including: - Trade Reporting & Business Conduct Requirements for Registered Swap Dealers (Dodd-Frank) - FINRA rule 3110 internal inspections - SEC 15c3-5 Direct Market Access - Market Abuse Controls▪ Ensure preparedness for NFA & FINRA regulatory exams ▪ Develop risk-based monitoring & testing program to ensure adequate coverage across emerging risks ▪ Manage multiple testing engagements to ensure they meet deadlines and comply with program standards ▪ Conduct regulatory compliance risk assessments across all registered branch offices and non-registered locations
    View
  • Capital One
    Compliance Principal Associate - Capital Markets
    Capital One Jan 2022 - Aug 2023
    ▪ Supervise all senior and staff testing team associates during compliance testing engagements▪ Conduct training for compliance testing team new hires▪ Manage multiple testing engagements to ensure they meet deadlines and comply with program standards▪ Assist with annual compliance testing calendar planning as well as resource allocation and sprint planning for all calendared engagements
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  • Capital One
    Senior Associate
    Capital One 2019 - 2022
    • Perform regulation compliance auditing and consulting; test controls and identify gaps, implement technology and methodology to streamline monitoring of controls• Perform Broker/Dealer compliance testing focused on CFTC regulations for Registered Swap Dealers• Created bots on the Automation 360 platform to create the first fully automated compliance testing program at Capital One• Designed, developed and implemented an automated monitoring program to ensure compliance with Designated Contract Market Position Limits across multiple exchanges• Leveraged Snowflake and other BI tools in AWS cloud environment to expand testing engagements; helped implement AGILE methodology across all commercial compliance testing teams• Key member of initiatives to enhance and automate executive/board subcommittee compliance test reporting• 2021 Winner of ‘Achieving Commercial Excellence’ (ACE) award• Promoted to Principal Associate
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  • Ochsner Health System
    Senior Auditor - Internal Controls & Enterprise Risk Management
    Ochsner Health System 2017 - 2019
    New Orleans, Louisiana
    • Oversaw financial and operational audits for an organization of 40 hospitals and healthcare centers • Led a team of 30 to overhaul annual inventory process using LEAN principles, increasing speed and accuracy by over 30% system-wide• Worked extensively with cross-functional teams to lead planning, development and implementation of a new SaaS GRC system, including data transfer and intensive user testing • Built out GRC system to compile risk-assessment data, creating a comprehensive Enterprise Risk Management program at largest Health System in Louisiana; led all ERM initiatives • Invited to speak at 2 national conferences (AHIA & HCCA) on the topic of enterprise risk and controls• As staff auditor, implement framework of internal controls over financial reporting; perform & improve controls testing• Applied data analytics to create continuous audit models/dashboards for internal controls testing
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  • Crescent Bank & Trust
    Internal Controls Coordinator
    Crescent Bank & Trust 2015 - 2017
    Greater New Orleans Area
    • Performed fraud investigations and tested internal controls framework for financial compliance• Aggregated and mapped bank processes, identified their governing policies, then tested design and operating effectiveness for risk mitigation• Implemented COSO Framework in all financial/operational areas for FDICIA compliance • Identified gaps in internal framework including IT General Controls and recommended solutions • Identified areas where Internal Audit can add value, then designed and executed those audits• Improved QA programs for lending and collections to increase efficiency, strength of internal controls • As staff auditor, conducted risk assessments, operational & financial audits for multiple lines of business in the bank• Designed, implemented and performed a quarterly review of the bank’s stress testing financial models
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  • Dimension Development
    Food And Beverage Manager
    Dimension Development Jan 2014 - Feb 2015
    Hotel Intercontinental New Orleans
    • Managed all outlet operations and a team of 40 in a luxury hotel; oversaw a full-service restaurant, café, bar and in-room dining services to 500 guest rooms• Measurably improved service scores with white-glove client care; drove revenue by training staff in upselling & offering guest incentives; and controlled costs through efficient scheduling and reducing food/liquor waste• Responsible for budgeting, supply orders and inventory, and scheduling, training, and hiring staff
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  • Cellular Sales
    Wireless Consultant
    Cellular Sales 2012 - 2014
    Greater New Orleans Area
    • Traveled to source and meet clients, advise and promote technology products at several locations for Verizon’s largest retail partner• Became the highest-commissioned agent in the Gulf Coast market within 3 months of hire• Responsible for IT/network management at company home office and multiple stores, and setting up new locations across the Gulf Coast region
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  • Cafe Ahnvee
    Operations Manager
    Cafe Ahnvee 2010 - 2012
    • Responsible for purchasing, inventory control, scheduling, guest relations, marketing, and payroll• Oversaw employee operations while exceeding quality & guest expectations in food service • Negotiated with area hotels to offer room service, then oversaw implementation of room service to over 600 hotel rooms

Stephen Mackey Skills

Sales Accounting Marketing Management Event Management Customer Service Sales Management Hospitality Team Building Training Account Management Strategic Planning Time Management Data Analysis Internal Audit Risk Assessment Coso Framework Fdicia Internal Controls Data Analytics Regression Analysis Fraud Investigations Fraud Detection Cia Public Speaking

Stephen Mackey Education Details

Frequently Asked Questions about Stephen Mackey

What company does Stephen Mackey work for?

Stephen Mackey works for Smbc Capital Markets, Inc.

What is Stephen Mackey's role at the current company?

Stephen Mackey's current role is Vice President - Capital Markets Compliance Monitoring and Testing.

What is Stephen Mackey's email address?

Stephen Mackey's email address is kj****@****cox.net

What is Stephen Mackey's direct phone number?

Stephen Mackey's direct phone number is (800) 424*****

What schools did Stephen Mackey attend?

Stephen Mackey attended University Of New Orleans, University Of Louisiana At Lafayette, Tulane University.

What are some of Stephen Mackey's interests?

Stephen Mackey has interest in Collecting Antiques, Exercise, Home Improvement, Reading, Shooting, Gourmet Cooking, Sports, The Arts, Home Decoration, Collecting Coins.

What skills is Stephen Mackey known for?

Stephen Mackey has skills like Sales, Accounting, Marketing, Management, Event Management, Customer Service, Sales Management, Hospitality, Team Building, Training, Account Management, Strategic Planning.

Who are Stephen Mackey's colleagues?

Stephen Mackey's colleagues are David Fernandes, Yuling Tang, Gary So, Guangyu (Hubert) Wang, Matt Morton, Sarah Corbett, Jeffrey Lattime.

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