William Falcon Email & Phone Number

Managed a team of risk management specialists responsible for operational risk oversight and assessment of operational risk framework compliance, operational control systems, performance against risk appetite metrics and risk identification (inherent and emerging risks) for a diverse portfolio of businesses and functions including Capital Markets, Asset & Liability Management, Independent Risk Management, Corporate Governance/Legal, Human Resources and Corporate Responsibility Group. Advised business partners in the development of control testing strategies to effectively execute testing procedures, identifying both strengths and gaps in control systems resulting in comprehensive enhancements to reduce the risk of customer impacting issues, and regulatory concerns.

Greater Pittsburgh Area

Oversaw the internal audit capital and liquidity team focusing on targeted, risk-based reviews of CCAR/DFAST stress testing processes and submissions, liquidity risk management including liquidity coverage ratio and internal liquidity stress-testing, and the resolution and recovery plan and processes. Coordinated with various regulatory agencies including the Federal Reserve Board (FRB) and the Office of the Comptroller of the Currency (OCC) to ensure regulatory concerns over capital adequacy and planning processes were remediated.

Greater Pittsburgh Area

I managed the review and assessment of the implementation of the Regulatory Capital Advanced Approaches Risk Weighted Asset determination for the Wholesale Asset Class, and managed and trained the team responsible for executing the review and challenge of the Securitization Asset Class compliance with the Basel III Regulatory Capital Rules. Presented assessment results and associated remediation expectations with executives and regulatory examiners.

Greater Pittsburgh Area

Managed the team responsible for the funding and asset management responsibilities for a portfolio of $16 billion of client securitization commitments. I was responsible for successfully developing and establishing long-standing relationships with fixed-income investors in support of the asset-backed commercial paper conduit through which the client securitization facilities were funded. In addition, I served as an industry leader in securitization and asset-backed commercial paper conduit advocacy initiatives concerning regulatory capital and liquidity proposals stemming from Basel and the Dodd-Frank Act with policy staff of domestic and international regulators.

Planned, supervised, and performed financial, and operational audits to evaluate effectiveness of internal control systems within capital markets business. Identified internal control weaknesses and process risks while recommending practical solutions. Communicated audit issues and recommendations to business management.

Analyzed strength and adequacy of internal control systems within following lines of business: capital markets/securities sales and trading, commercial lending, real estate finance, and treasury management.

Master Of Business Administration - Mba, Finance, General

Bachelor Of Science - Bs, Accounting