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 efforts to transition to a new Operational Risk framework.- Execute and manage the Risk Control Self-Assessment (RCSA) lifecycle for RRMO and Risk CFO in partnership with global stakeholders to develop and implement an end-to-end control framework in accordance to the Company’s Firmwide RCSA, CCAR CFO Attestation Program (CCAP), and SOX Framework.- Manage issues and action plans by providing guidance and feedback when control gaps are identified and reviewing and challenging completion documentation for Business, Compliance, Audit, and Regulatory identified issues and action plans, ensuring control sustainability.- Monitor, review, and track control evaluation requirements for over 1500 controls.- Analyze the RCSA metrics for RRMO and Risk CFO to produce weekly and monthly reporting.- Perform ongoing analysis of RCSA related data and provide continual feedback and training on the RCSA Program to drive consistency across business units and support functions.- Responsible for training new employees and managing summer interns.

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 reporting, and automating and streamlining processes where possible. - Employed the second line of defense by reviewing, challenging and managing the monthly Operational Risk loss data collection, analysis and reporting processes, ensuring accuracy and completeness of the Company’s Operational Risk loss data.- Documented and updated standards and procedures in compliance with Basel and regulatory requirements.- Updated, maintained and secured the local loss data database (MS Access); reviewed event data to ensure data integrity and consistency.- Prepared and uploaded monthly loss reporting into the Corporate’s Operational Risk loss data collection system; collaborated with IHC teams to test and implement a new collection system (SAP).- Prepared and validated internal risk reporting to FR-Y14Q, ABA Consortium and ORX Association.- Liaised with and provided guidance to the first line of defense and business areas; focus on raising awareness and strengthening the Company’s Operational Risk framework.- Maintained ownership of the Company’s External Loss Data Portal, weekly communication and reporting.

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 incentives to forecast the impact on revenues and expenses- Prepare ad-hoc financial and statistical analyses and reports for senior management to show possible impact on the Executive Sales Managers' compensation and Company sales results- Train new employees recently hired to the team

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