Stephen Mackey Email & Phone Number

New York, Ny, Us

▪ 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

▪ 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

• 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

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

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

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

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

• 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

Master Of Business Administration (M.B.A.), Finance And Financial Management Services

Bachelor Of Business Administration (Bba), Hospitality Administration/Management

Education record