▪ Manage with authority over the Business Controls Team which serves as a crucial First Line of Defense. Utilize COSO framework to design and execute internal control assessments, measuring levels of compliance and operational risk. Identify opportunities for improvement to strengthen business controls and drive risk excellence.▪ Partner with executive leadership to define, focus and execute policies and procedures centered on well-designed controls to mitigate risk.▪ Contribute service and expertise as a member of multiple groups and committees dedicated to risk management, compliance, and the improvement of business controls.

As an integral member of the Corporate Audit Management Committee, facilitated the formulation and execution of audit plans, with a focus on administering audits of the GM/GX/ERM/Treasury Team. Coordinated and led reviews to ascertain the level of regulatory compliance, particularly with regard to Basel Committee on Banking Supervision standard number 239.▪ Maintained and strengthened relationships with clients while tracking and investigating outstanding issues.▪ Served as Co-Lead for multiple Corporate Audit Data Governance initiatives.

Maintained executive accountability for the national distribution of self-directed brokerage services, meeting the needs of financial institutions with over $2B in brokerage assets under management. Collaborated with a network of plan sponsors, registered investment advisors and wealth managers to negotiate agreements for access to self-directed brokerage accounts.▪ Consistently surpassed annual revenue targets by managing a pipeline of prospects and existing clients. Hosted sales presentations showcasing brokerage platform and aligning offerings with client business requirements.▪ Established corporate stock trading and reporting services for major institutional ERISA clients; additionally, executed responsibility for corporate buybacks.▪ Performed client service reviews on key accounts, identifying opportunities to increase revenue through cross-sales.▪ Negotiated terms and conditions for enterprise-level contracts.▪ Complied with regulatory requirements for all product lines.

As Senior Vice President and Principal with CitiStreet and SSgA, maintained responsibility for over $75B in corporate stock assets for major ERISA plans, managing daily liquidity calculations, trading and annual proxy process for over 100 clients. Executed fiduciary responsibility to ensure that all stock investments were consistent with ERISA requirements.▪ Enhanced service delivery model to bolster client satisfaction.▪ Led business development efforts, orchestrating sales presentations to clients and prospects.▪ Responsible for relationship management and client profitability.▪ Provided oversight and expertise as a member of the CitiStreet Fiduciary Committee.

Directed all facets of plan administration and investments for multi-billion dollar ERISA plans at this recordkeeper of employee benefit services.▪ Maintained accountability for operations, plan conversions, recon/control and the preparation of 5500 reports.▪ Supported the plan administration needs of four mid-market law firms, serving as the primary point of contact for all client service issues.▪ Engaged in development of the annual prospectus, quarterly SEC filings, daily expense calculations, trade approval process, and daily/monthly pricing for custom plans.