Stephanie Calderon, Mba Email & Phone Number

San Antonio, Texas

Currently improving and implementing a more robust risk and compliance program for the company by improving and documenting the company’s control framework with a particular focus on Information Technology (IT). Actively taking on additional Compliance responsibilities as the company grows to become independent of the former parent company and RIA compliant.

Brooklyn, New York

Support the Firmwide Risk Reporting and Wholesale Risk Middle Office (RRMO) and Risk CFO organizations, which includes Firmwide Risk Reporting, Wholesale Risk Middle Office, Risk Controllers, Risk Governance and Risk Projects and Strategy functions that cover multiple risk areas (credit, market, liquidity, etc.) globally. Involved with the Company’s recent.

Greater New York City Area

Contributed to and assisted with the re-design of the Company’s Operational Risk program in accordance to regulatory requirements, that included separating and clearly defining first and second line responsibilities, establishing new reporting thresholds and requirements, improving the overall data integrity and control environment of second line.

Greater New York City Area

- Responsible for the development of Executive Sales Managers’ pro-formas to set targets and align management performance metrics with the Company's goals- Model changes to Executive Sales Managers’ compensation factors and programs to evaluate their impact on Company sales results and management performance- Prepare financial analysis of compensation.

Greater New York City Area

- Modeled and analyzed changes to Senior Sales Managers and Sales Managers’ compensation factors and programs

Greater New York City Area

• Enhanced the department’s database and created a new fiduciary request form to support the company's compliance with SEC rules regarding fiduciary relationships
• Reviewed supervisory procedures in a General Office with a field manager
• Supported company investigations by collecting and organizing information and providing follow up questions
• Executed meetings based on evidence obtained through investigating sales records
• Updated divisional procedures to support a cross-training initiative
• Participated in an intern Action Learn Project by creating a business plan that enhances the existing volunteer program

Master Of Business Administration (M.B.A.), Financial Systems And Analytics; Real Estate

Bachelor Of Science (Bs), Finance

Activities and Societies: National Hispanic Business Association