Timothy Finnegan

Experience

• 

  JP Morgan Asset Management

  Jan 1998 - Jan 2015

  •Championed ongoing global reviews of clients and transactions, reporting directly to the Senior Managing Director, and serving as co-chair of the reputation risk committee.•Led complex anti-money laundering projects, collaborating with management and regulators to address potential threats, and conducted comprehensive reviews to vet and approve new clients.•Partnered with global financial crimes units to develop a risk control self-assessment, identifying potential process gaps and directing two wealth associates.•Notable Contributions:o Implemented a global asset management initiative, ensuring a consistent approach to reputation risk issues and standardizing documentation and decision-making processes.o Authored firm-wide educational materials on reputation risk and trained wealth management employees, enhancing their understanding and compliance.o Achieved multiple promotions within the company to roles with greater people and strategic responsibilities, demonstrating excellence in risk management and employee engagement. Show less •Directed comprehensive risk and supervisory management for operations in New York, Miami, Brazil, and Mexico, ensuring compliance with local regulations and policies while reporting directly to the Managing Director.•Developed and delivered advanced training modules on global suitability and reputation risk, effectively presenting to teams in New York, Miami, Geneva, and São Paulo.•Notable Contributions:o Led a pivotal 4-member workgroup to scrutinize high-risk Latin American accounts for money laundering and cross-border compliance issues, contributing to the analysis and review of suspicious activity reports.o Educated hundreds of front-office associates through a focused one-day risk seminar, conducted under the directives of an Office of the Comptroller of the Currency consent order.o Collaborated in the creation of compliance applications in Brazil and Mexico, ensuring alignment with updated local suitability requirements and regulatory standards. Show less

  • Managing Director & Global Coordinator: Reputation Risk Management

    Jan 2014 - Jan 2015

  • Managing Director & Chief Risk Officer: Latin America

    Jan 2013 - Jan 2014

  • Team Leader of Global Investments: N & SE, Latin America, & NY EMEA Regions

    Jan 2004 - Jan 2013

  • Supervisory Manager: Latin America & NY Region

    Jan 1998 - Jan 2004
• 

  KPMG US

  Jan 2015 - now

  •Implemented strategies for the KPMG Partner Rotation System (PRS), ensuring alignment with the firm's overall business objectives and risk management strategies.•Oversaw the comprehensive management and maintenance of the PRS, including the user interface, ensuring seamless support for 2,000+ audit professionals daily.•Led teams in defect resolution and application enhancements, driving continuous improvement efforts.•Ensured the completeness, accuracy, and appropriate dissemination of PRS-related performance metrics and documentation to leadership.•Ensured compliance with regulatory requirements related to the PRS, identifying and mitigating risks.•Continuously evaluated and improved the PRS for efficiency and effectiveness, implementing best practices and innovative solutions to address challenges.•Led change management initiatives related to the PRS and conducted regular audits.•Worked with IT teams to integrate the PRS with other firm systems and technologies.•Led a team of professionals responsible for the PRS, fostering a culture of continuous improvement, collaboration, and excellence within the team.•Notable Contributions:o Led the semi-annual audit validation initiative, a key control for partner rotation compliance, validating 5,000+ records.o Served as Subject Matter Expert (SME) and point of contact for all System of Quality Control (SoQC) requests during annual reviews.o Successfully developed and implemented policies and procedures across multiple business functions, collaborating on technology development to support these initiatives.o Recognized for talent development, continuing to mentor former direct reports 9 years later, and achieving promotions for all recent direct reports into management roles in 2023.o Promoted multiple times within the company to roles with greater people and strategic responsibilities, demonstrating excellence in risk management and employee engagement. Show less •Business Leader Representative in internal audits, periodic quality control reviews, privacy self-assessments, and solution development initiatives.•Produced metrics-based reports and process narratives, documenting all operational initiatives comprehensively.•Notable Contributions:o Reduced personal independence violations by 27% through enhanced metrics and controls.o Increased efficiency, saving over 2,000 hours annually through automation and offshoring.o Established a new team during the COVID pandemic, managing operations remotely.o Led the creation of a personal independence workflow, improving metrics and reporting. Show less •Directed technology initiatives, conducted thorough needs assessments, and led successful implementations, partnering with business SMEs and internal/external technology vendors to achieve timeline and budget targets.•Ensured strict compliance with SEC, PCAOB, and IESBA regulations, overseeing UAT testing, evaluating system enhancement needs, and contributing to the development of comprehensive business and functional requirement documents.•Reported directly to the engagement-related independence partnership. Show less

  • Director & Business Process Owner: Partner Rotation System

    Jan 2022 - now

  • Director & Team Leader of Risk Management: Personal Independence Internal Operations Group

    Jan 2020 - Jan 2022

  • Director of Risk Management & Independence Technology Coordinator

    Jan 2015 - Jan 2020