• Developed a target operating model related to enterprise risk governance, with a focus on RCSA best-practices, issues management, horizontal risk management, and metrics and reporting• Remediated a Matter Requiring Attention (MRA) by triaging approximately 6,000 technology-related findings stored in a multi-national bank’s workflow system (Archer) to determine if each finding constituted an issue that should be managed via the Bank’s issue management process

• Executed an entity-wide analysis of a global bank’s trade execution and processing activities across asset classes, resulting in the documentation of end-to-end processes, resulting in the identification of key systems, risks, controls and associated gaps in preparation for the implementation of an enterprise trade surveillance platform• Designed, piloted, and implemented a “deep dive” program at a large wealth management firm. The program allowed for scalable front-to-back reviews of a particular business activity (product, platform, service, or process), promoting proactive and targeted risk and control identification within the first line of defense• Designed and performed testing of RCSA and supplementary controls to identify potential issues and to ensure the efficiency and effectiveness of controls outside the scope of client’s internal control testing team• Performed gap analysis and data remediation of client’s rule-specific compliance program, and assisted in developing a comprehensive controls environment for relevant BAU processes

• Split time between the Asset Management and Wealth Advisory divisions• Compiled database of money managers whose strategies aligned with Lebenthal Asset Management's international offerings in order to sell research and publications• Prepared P&L for two new branches of Lebenthal Wealth Advisors

• Analyzed the roles of costs and fees on portfolio returns in order to provide institutional clients with relevant and accurate information to be considered in investment decisions• Compiled financial strength ratings and calculated stable value information to be presented to retirement clients• Utilized Morningstar to research funds and managers for possible inclusion in clients’ portfolios• Developed, edited, and enhanced in-depth Excel spreadsheets for the purposes of analyzing and comparing fund performance• Evaluated competitor websites in order to improve and enrich content of CapTrust’s site