Senior risk management and compliance executive with 26+ years of domestic and international experience. Currently leading risk/compliance function for large international financial services firm overseeing bank, trust, private quity, hedge fund and CLO business lines. |
SENIOR MANAGEMENT EXECUTIVE
CHIEF RISK OFFICER / CHIEF COMPLIANCE OFFICER
Repeatedly designed, develped and managed risk and compliance departments
Proved ability to staff and retain top talent
Extensive business background in domestic and international financial services industry
Goal-oriented and high-performing senior executive, offering extensive background in regulatory compliance and risk management combined with solid experience in identifying and implementing strategies to capture improvement opportunities within the organization. Exemplify strong organizational and analytical skills demonstrated by successfully applying risk management principles in risk reporting and strategic development. Experienced executive with proven ability to lead and motivate multi-organizational and distributed teams in achieving challenging goals.
Risk Management - Private Equity, CLO and Hedge Funds - Project Management and Consulting - Regulatory Compliance - Banking and Finance - Leadership, Mentoring, and Team Building
PROFESSIONAL EXPERIENCE
LARGE INTERNATIONAL FINANCIAL SERVICES CO.
2008 - Present
Chief Risk and Compliance Officer
$600 billion investment management firm specializing in retail mutual funds, alternatives and fixed income.
Demonstrate exceptional performance in leading risk and compliance functions. Establish compliance infrastructure for banking, registered investment adviser, private equity, and hedge fund businesses. Efficiently perform tasks, such as reviewing staff and reorganizing businesses as well as hiring experienced compliance and risk professionals for each business. Assumed full responsibility in developing policies and procedures addressing each unique business and regulatory environment as well as implementing compliance calendar, testing and reporting procedures.
Career Highlights:
o Played a lead role in developing risk and compliance functions across an OCC-regulated bank and four registered investment advisors and navigated through uncertain times while supporting 20% annual growth rates through organic growth and acquisitions.
o Efficiently handled more than $25B in non-registered funds marketed to qualified institutional buyers through private placements.
o Gained Collateralized Loan Obligation (CLO) experience including sub-advising top performing 40 Act floating rate investment fund
SUPER REGIONAL BANK
2005 - 2007
Senior Vice President
Managed loan loss reserve and portfolio management units with over $170 billion in assets.
Rendered efficient service in developing and leading loan loss reserve and portfolio management units as well as in guiding bank through severe regulatory problems concerning risk management practices. Recruited experienced financial modeling professionals and reorganized both units. Used innovative skills in developing all-new statistical modeling program to estimate credit losses and reserve requirements. Organized and presented quarterly financial results to the Board of Directors and Federal Reserve staff while clearing all regulatory issues and reestablishing regulatory communication and credibility.
Career Highlights:
o Used exceptional skills in designing and implementing regulatory policies and procedures based on more than 25 years of US and international banking and financial services experience
o Led efforts in decreasing operating costs by 20% through realigning risk, compliance, and internal audit units through the development of a corporate assurance function
INTERNATIONAL CONGLOMERATE
2002 - 2005
Chief Risk Officer
$500 billion international bank holding company.
Managed international bank holding company that operated in 38 countries with more than $500B in assets including more than 45 global risk/compliance professionals. Executed outstanding performance in developing unified risk management and compliance platforms to meet US and European banking requirements as well as in leading regulatory communications for US and international regulators.
Career Highlights:
o Developed and spearheaded a risk management function for an international bank holding company operating in 38 countries and offerings, including consumer, commercial, and leasing assets
o Delivered incomparable performance in consumer and commercial banking products, including private labeled credit cards, subprime auto and mortgages, commercial real estate lending, and other types of credit vehicles
o Pivotal in reducing compliance costs and dedicating personnel time by streamlining compliance requirements and focusing on mandatory disclosures as well as compliance budget by nearly 14% by reorganizing office locations and decreasing travel related costs
EARLIER EXPERIENCE
INTERNATIONAL CONSULTING FIRM
1997 - 2002
Director
FEDERAL BANKING REGULATOR
1993 - 2007
Senior Banking Analyst
FEDERAL BANKING REGULATOR
1987 - 1993
Commissioned Bank Examiner / Field Examiner
EDUCATION / CREDENTIALS
Bachelor of Science in Finance, ARIZONA STATE UNIVERSITY, Tempe, AZ
Chartered Financial Analyst, CFA INSTITUTE
PROFESSIONAL TRAINING
Chief Compliance Officer (CCO) University, 2007
GE Crotonville Management Training, 2002 |
