Experience

• 

  Bny

  May 2010 - now

  • Manage a global team running a portfolio of compliance, control, and regulatory-driven operations functions including, but not limited to, Dodd Frank Title I, SR 14-1, BRRD, AIFMD, QFC Recordkeeping, US Controlled Substance Act, UK Proceeds of Crime Act, US Abandoned Property Law, BSA, and OFAC.• Own the operations of an enterprise-wide, NLP and LLM artificial intelligence and machine learning-enabled client contract repository sourcing over 1.6 million documents driven by regulatory and business intelligence needs - highly experienced in Evisort and Docusign implementations.• Act as Post-Execution Product Owner for enterprise Contract Lifecycle Management program, driving strategy and priorities to re-engineer how the end-to-end contracting process is optimized leveraging industry leading technologies and integrating cross-functional data sets.• Operationalize global and EMEA cannabis-related business policy requirements and provide control oversight across the organization.• Control the end-to-end process for incident reporting (IR) and suspicious activity reporting (SAR) activities, including SAR submissions to the FinCEN.• Manage the provisioning of abandoned/unclaimed property services to internal bank business units for compliance with jurisdictional rules, statutes, and regulations.• Provide global regulatory guidance, governance, and support of the Firm's related Payment, Clearing, and Settlement activities and resolution plan filings, including assessing operating effectiveness of key controls.• Deliver privacy stewardship service across the Operations and Engineering segments providing privacy guidance and executing assessments against global regulations and internal policies.• Investigate and analyze Operational Risk Events ensuring complete regulatory reporting is conducted while conducting root cause analyses and identifying lessons learned to prevent future occurrences. Show less Dual Group Manager• Manage the end-to-end operations of an enterprise-wide, artificial intelligence and machine learning-enabled client contact repository sourcing over 1.2 million documents driven by Federal Reserve System, Federal Deposit Insurance Corporation (FDIC), and EMEA-related regulations plus business intelligence needs - Includes SR 14-1, Qualified Financial Contract Recordkeeping, IBOR Remediation, EU AMLD 5, General Data Protection Regulation (GDPR), California Consumer Privacy Act (CCPA), and Contract Lifecycle Management• Utilize customized artificial intelligence (AI) software, database management systems, and business intelligence technology solutions to identify, extract, review, validate, and report different forms of structured and unstructured data• Advise on contract management policy and best practices, interacting with operations, technology, legal, and business representatives• Direct a global team of operations and contract review specialists (employee and contractor) located in the United States and Poland• Manage the provisioning of abandoned/unclaimed property services to internal bank business units for compliance with jurisdictional rules, statutes, and regulations• Execute lost holder and unresponsive payee mailings in accordance with Securities Exchange Commission (SEC) 17Ad-17 requirements• Direct a global 10-person team located in the United States and the United KingdomCross-Functional Management• Create and maintain robust project plans, budget models and forecasts, and management information tools• Drive collaborative team mentality, inspiring and implementing automation and efficiency practices across all areas of the operation• Perform risk management, control management, access administration, data governance, disaster recovery, and audit activities to mitigate business and operational risks Show less • Coordinated the Global Vendor Risk Management Program for the Alternative Investment Services and Asset Servicing business lines.• Interfaced with the Vendor Risk Management team to evaluate security risks and provide management reporting• Trained business Vendor Relationship Managers on the Vendor Risk Management control process• Executed risk-based and access certification reviews on various applications & technology platforms• Monitored the implementation of User Developed Technologies controls and performed control reviews• Drove execution on enterprise-wide certification events, providing daily support to the business line to ensure timely and accurate manager reviews Show less • Managed a global 14-person team of information security administrators with staff in the United States, United Kingdom, and India• Provisioned application access for internal employees and external clients within service level agreements• Monitored violation reports and executed access certification events to prevent information security risks• Developed access provisioning and support procedures implemented by the team• Migrated cross-platform applications by actively communicating with business managers, technology support personnel, and the internal team members• Handled escalation issues to provide business solutions in an effective, timely manner Show less • Provided high-quality service to external clients, mainly high-wealth individuals, corporations, and domestic and international financial institutions • Maintained strong rapport with internal clients (e.g., vice presidents, relationship managers, trust administrators) in support of their service to external clients• Utilized various software platforms to ensure proper tax documentation coverage• Ensured both bank and client compliance with corporate tax & Internal Revenue Service (IRS) regulations and codes• Participated in the development of the new Access Control Team while also maintaining responsibilities within the tax compliance utility Show less

  • Director, Head of Control and Regulatory Services

    Apr 2021 - now

  • Vice President, Operations

    Dec 2015 - Apr 2021

  • Vice President, Information Risk Officer

    Mar 2015 - Dec 2015

  • Senior Associate, Investment Services

    Jul 2011 - Mar 2015

  • Tax Compliance Specialist

    May 2010 - Jul 2011