Thomas Greet Email & Phone Number

Salt Lake City, Utah, Us

Salt Lake City, Utah, Us

Salt Lake City, Utah, Us

• Manage a team responsible for validating all AML, Compliance and Fraud models including all decision scorecards.• Continually validate financial models related to the Bank’s Comprehensive Capital Analysis and Review submission. • Monitor, track and report on all outstanding risk mitigation plans, ensuring regulatory compliance and the timely resolution of identified issues. • Designed and implemented highly effective enhancements to Counterparty Concentration reporting and controls which improved the accuracy and facilitated an effective 3rd party review.

Salt Lake City, Utah, Us

• Selected to participate in the Navigator Leadership Rotational Program, serving in both the Corporate Credit and Internal Audit departments.• Created and distributed accurate weekly reports to the executive management team detailing Senor Loan Committee loan decisions, providing greater scrutiny of high risk credits. • Developed controls, presenting loan covenant tracking procedures for all affiliate banks to key regulators while demonstrating adequacy with review procedures.• Conducted profit and loss (P&L) analysis for all bank credit card products to identify opportunities to reduce redundancies, better align pricing with risk and reduce the number of charge-offs.• Designed a quarterly Capital Management audit program that met regulatory standards and completed a key requirement for gaining approval to repay TARP loans. • Successfully planned and completed an audit of the Equipment Leasing department within both time and budget constraints, presenting the final report of findings to the executive management team.• Completed a feasibility study and cost-benefit analysis of a proposal to outsource the financial spreading function, uncovering opportunities to increase operational efficiency and provide a more accurate measure of processing costs.

Valley Forge, Pa, Us

Control Analyst, (2007 – 2009)• Performed detailed risk analyses, designing procedures for new functions associated with a $65M project that internalized all brokerage clearing activities and ensured a seamless transition from the old to new business model. - Oversaw all operational compliance with FINRA and SEC rules and regulations, driving a 25% reduction in internal audit findings for the brokerage business line.- Effectively streamlined the Vanguard Brokerage Trading Inventory account audit process, reducing the average time needed to identify and correct improper activity from 1 week to 1 day.- Developed a centralized process for trading completion of Written Supervisory Procedures across all business areas of Vanguard Brokerage Services, resulting in higher quality control. FundAccess Trade Support Associate, (2006 – 2007)• Correctly documented and implemented changes in fund policy in a manner compliant with applicable FINRA rules and fund family guidelines to increase execution statistics.• Maintained updated web content and interstate regulatory information for 2,700+ funds offered through the FundAccess platform to reduce costly trade corrections for the firm.- Performed in-depth research necessary to resolve client trade disputes, improve client retention and minimize the firm’s exposure to market fluctuations.Voyager Client Relationship Associate, (2004 – 2006)• Provided comprehensive assistance to High Net Worth clients and co-workers regarding transaction and market-related inquiries to promote asset retention efforts and consolidation. - Performed in-depth statistical analysis of call volumes, implementing changes that resulted in a 10% decrease in cycle times.- Recognized as a subject matter expert for the web-based IRA Required Minimum Distribution Calculator, leading the successful national rollout in 2006.

Mba

Bachelor Of Business Administration (Bba), Finance