Nicole Blundell

Experience

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  Peabody Office

  Oct 1996 - Sept 2000

  Project Manager

  

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  WELLS FARGO ADVISORS, LLC (FORMERLY WACHOVIA SECURITIES, LLC)

  Jan 2000 - Jan 2006

  Executive Assistant
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  State Street

  Apr 2006 - now

  • Business Risk Management: Collaborate with Global Fund Accounting and Fund Administration senior management in the oversight of risk management. • Created and host a monthly Operational Risk Meeting to assess top risk priorities with senior management • Advised on risks and controls as related to the business including providing input/challenge on remediation plans related to issues and incidents. • Designed work flow for new leadership role in Business Risk Management; created and published teams goals and Operational Key Risk metrics. • Escalated key risks, controls and incidences as needed to leadership team and senior management. Execute and drive project related to overall Global Delivery Risk Profile in addition to individual business units Risk Profiles. • Oversee and facilitate Risk and Control Self Assessment (RCSA) on going reviews and drive discussion to document and mitigate current and future risks. • Implemented and executed a robust, industry-standard risk management framework for global activities in alignment with best practices in risk oversight. • Liaison with various Three Lines of Defense to collaborate and assess the impact of operational changes, risk and control environment by raising risk-themed considerations and recommendations for the business to consider. • Provide oversight related to Simplification and various change management initiatives to ensure downstream impacts are considered to prevent future errors. Show less • Committee Secretary for the Privacy Oversight Committee (POC). Duties include preparing meeting materials, recording minutes, facilitating agenda, monitoring action items, tracking resolutions, and preparing Committee (Compliance and Ethics Committee/Business Conduct Review Committee presentations on a quarterly basis.• Data Privacy Events: Responsible for logging, monitoring, and tracking all globally reported data events, following up with business units to ensure resolution and completion of closure of data events, and distribution of data events log to various international department heads for analysis. • Project Management: End-to-end management of multiple projects such as, Compliance transformation oversight and second line of defense coverage of compliance risk based on fluid executive priorities and deliverables.• Regulatory Exams: Responsible for tracking and following-up with global regulators regarding the status of required actions including maintenance of evidence to support closure of actions on behalf of State Street. Created tracking reports and status updates reflecting deliverables to regulators. • Management Reporting: Created and modified the Examining and Audit Committee (E&A), Board of Director (BOD) and other Committee meeting materials related to global regulator activities and status summaries; maintained Management Committee presentations on a monthly basis; had direct contact with global regulators to communicate actions; and, contributed to monthly status meetings with the Federal Reserve Bank of Boston (FRBB). Show less • Second Line of Defense Governance Materials: Prepared and reviewed materials related to the following: Management Risk and Capital Committee; Investment Committee; Executive Management Group; FRBB; Trade Management Oversight Committee; Investment Strategy Review Committee ; and, Risk Committee of the State Street Board of Directors. Additionally, drafted industry conferences and university recruitment presentations for the CRO. • Management Reporting: Designed, prepared, and disseminated statistical reports/dashboards regarding the state of the department (e.g. resource analysis; budget monitoring; stress testing results for closed-end fund gating; etc.).• Global Risk Resource: Key department resource for CRO successfully reducing the number of direct inquiries and escalating only those necessary after subsequent analyses. • Event Coordination/Schedule Management: Proactively managed schedules for senior executives and management to assure that key meetings related to corporate and departmental goals occurred within correct timeframes relative to deadlines including any potential necessary follow-up and inclusion of key decision makers to move initiatives forward. Managed the production of materials necessary to facilitate productive meetings and technology requirements to minimize any potential for disruption/loss of time. Arranged and governed complex/detailed domestic and international travel itineraries. Prepared, submitted, and retained expense reports and records including where necessary submission of event pre-clearance in line with Compliance requirements. • Executive Committees Secretary: Prepared meeting materials, recorded minutes, facilitated agendas, monitored action items, and tracked resolution for executive committees. • Key Risk Indicator (KRI) Monitoring: Reported and tracked portfolio compliance passive and active breaches and exceedances of internal risk limits or changes to KRIs for committees. Show less • Third Line of Defense Governance Materials: Prepared and reviewed materials related to the following: E&A Committee of the BOD; State Street BOD; regulators including the FRBB; external auditors; and, other global regulators. • Management Reporting: Designed, prepared, and disseminated statistical report dashboards regarding the state of the department (e.g. status of completion of the annual Internal Audit Plan; Whistleblower Hotline activity; etc.).• Issue Escalation Facilitation: First point of contact for issues escalated to executives in order to enable consolidation of information, proactive follow-up to provide assurance of topical clarity and preparation of materials to facilitate efficient decision making. Show less

  • Vice President

    Apr 2017 - now

  • AVP Compliance Privacy Office; Regulatory Liaison; and, Project Manager for Deputy Chief Compliance

    Mar 2015 - Apr 2017

  • Officer

    Oct 2009 - Mar 2015

  • Executive Assistant to the General Auditor/Executive Vice President

    Apr 2006 - Oct 2009