Experience managing organizational interactions among legal, compliance, technology, operations, risk and business management to achieve enterprise-wide view and risk-based approach to developing and achieving objectives. Gains consensus and buy-in across organizational and functional boundaries to achieve alignment and positive interactions. |
Summary
Optimization specialist in Compliance and Anti-Money Laundering. Experience managing organizational interactions among legal, compliance, technology, operations, risk and business management to achieve enterprise-wide view and risk-based approach to developing and achieving objectives. Gains consensus and buy-in across organizational and functional boundaries to achieve alignment and positive interactions among senior managers, regulators, auditors and other stakeholders. Enhance efficiency and effectiveness by embedding compliance requirements in business processes and organizational culture.
Fifteen years management experience, including 7 years at global leader in banking and markets, corporate, commercial, consumer and operations and technology. Key strengths and accomplishments include interfacing with regulators, legal and compliance, strengthening governance, turning around global projects, developing systems to meet USA Patriot Act, AML and other compliance requirements, gaining regulatory approval and support for approach.
Current Position and Responsibilities: Director, Global Compliance Technologies
Control Optimization: Review and evaluate controls across businesses to assess, plan and implement a more effective and efficient control environment and better manage operational and other risk.
Results: Enhanced risk management by filling gaps and eliminating duplicative controls (reduction 5-40%) while generating $30 million year cost savings.
Anti-Money Laundering Utilities: Manage development of strategy and recommendation to senior management in compliance, operations and technology. Incorporate input from multiple stakeholders to create multi-sector, global strategy leveraging scale and footprint, flexibility and ongoing improvement.
Results: Recommendation supports domestic and international strategies. Proposal endorsed by Chief Compliance and Senior O&T management. Sector-specific work plans in progress.
AML Operational Metrics and Reporting: Manage team developing optimized requirements for AML and compliance operational reporting to support business priorities while enabling shared-service approach and leverage scale in multi-geography, multi-sector footprint.
Results: Effective requirements and buy-in ensure consistent best practices, momentum, accountability.
Quality Assurance: Establish pre- and post-implementation standards of quality and define repeatable processes that ensure that implementations meet global commitments, expectations.
Results: Governance, tools and methods support specialized regional teams across multiple sectors.
Program Management: Development, implementation and continuous improvement of enhanced governance for high-risk, high-priority projects. Develop, manage and track implementations versus commitment and budget based on approach praised by regulators for effectiveness.
Results: 61 at-risk projects brought in on or ahead of schedule, meeting regulatory commitments previously in jeopardy. Reduced spend by $2.5 million on $20 million budget.
Education: Masters, Yale University; Bachelors, Wesleyan University
Languages: French (Fluent), Spanish (Proficient), German (Basic)
Training/Certification: Executive Leadership, Executive Communications, Project Management, Investments and Finance, Vendor Management. |
