SUMMARY
Compliance and Data Privacy Executive with Fortune 500 financial and B2B Services experience including Off-Shoring issues assessment and remediation. Well-organized, results-oriented professional with over 20 years of diverse experience in Financial Services and Employee Benefits, both in client-facing and internal roles. Major strengths include research, analysis, and process improvement with a focus on creating and managing effective risk and compliance controls and finding creative and practical solutions for complex operational issues. Excellent interpersonal, organizational and communication skills.
MAJOR ACCOMPLISHMENTS
* Created comprehensive domestic & international corporate program governing data privacy.
* Developed, implemented, and managed risk assessment process for offshore effort.
* Developed and implemented comprehensive records management program.
* Developed and documented procedures for application security.
* Successfully managed an operational unit responsible for over $2 million in revenue.
EMPLOYMENT HISTORY
MELLON HUMAN RESOURCES & INVESTOR SOLUTIONS 1986 - 2005
Little Falls, NJ
Privacy/Compliance Officer 1999 - 2005
Senior member of Risk Management & Compliance department charged with compliance of data privacy/security regulations applicable to the U.S., Canadian, and U.K. operations. Regulations included HIPAA, PIPEDA (Canada), Data Protection Act (UK), OFAC, UN Suppression of Terrorism (Canada), and other federal, state, and provincial laws.
* Privacy Programs
Created and implemented an internal privacy program to comply with changes in applicable data privacy laws. Developed and rolled out a communication campaign driving the new privacy concepts into operations and resulting in mitigation of immediate potential risks as well as creating a competitive edge in new business.
* Records Management
In the absence of comprehensive record retention policies & procedures, established a records management program using holding periods based on regulations applicable to all lines of business. Eliminated a significant volume of documents held in off-site storage and established more effective management of retained documents, resulting in a 40% savings on storage vendor costs and the mitigation of data privacy risks.
* Offshore Deployment
Identified and mitigated offshore deployment risks, particularly those related to data privacy and security. Created a program to identify these risks and implement appropriate controls to mitigate them, resulting in the maximization of the number of functions deployed and a realized savings of 20% on operational costs.
* Application Security
With over one hundred applications and no formalized procedures for controlling access, data and system security were at risk. Established an inventory of applications with business and technical owners, and created the templates for procedural documentation governing the administration and monitoring of access. Through an initial review of current users and more effective access management, the corporation’s users were reduced by 30%, mitigating the security risks.
Consultant & Manager, DC Administration 1986 - 1999
MELLON CONSULTANTS, LLC, San Francisco, CA
(Acquired Buck Consultants, Inc. in 1997)
Managed the administrative unit servicing a large client base, with responsibility for the operation, associated profitability and new business growth. Primary consultant for Montana Power Co., National Semiconductor, and Spreckels Corp.
* Restructured and expanded the existing administrative unit to support a $2.5 million book of business, including AirTouch, Simpson, Charles Schwab, and National Semiconductor.
* Directed the servicing of a broad range of plan types including 401(k), thrift savings, profit sharing, money purchase, ESOP, stock purchase, and global stock plans.
PRIOR EMPLOYMENT INCLUDED:
WILLIAM M. MERCER, Inc., San Francisco, CA
Manager, Defined Contribution Administration
Actuarial Assistant
COATES & CRAWFORD, Inc., San Francisco, CA
Actuarial Assistant
EDUCATION, SKILLS, & AFFILIATIONS
Bachelor of Science, Mathematics, San Francisco State University
Member, International Association of Privacy Professionals
Certified Trainer, Zenger Miller Management Skills Modules
Computer Skills: Microsoft Word, Excel, PowerPoint, Project |
