Citi

SENIOR VICE PRESIDENT / DIRECTOR IN-BUSINESS RISK AND CONTROL

GLOBAL FRAMEWORK AND GOVERNANCE
Strong Leadership skills to manage team responsible for translating and executing end-to-end vision for risk frameworks and governance including policy, business implementation and ongoing monitoring. My  practical and sustainable solutions result in greater risk/control transparency and stronger risk oversight programs.  

Defined and directed implementation of the firm's enterprise-wide risk and control governance committee structure including policy adherence and monitoring to ensure full coverage of operational and compliance risks, driving better senior management decision-making and escalations the Board.

Spearheaded program management governance for the firm's enhanced gold source operational risk reporting and dashboard capabilities. I established and executed oversight structure for design, data transformation and reporting insights. Managed high profile effort across many stakeholder types and steered corrective action plan through IA validation to address regulatory issue.

SENIOR VICE PRESIDENT, OPERATIONAL RISK MANAGEMENT

PRODUCT, LEGAL ENTITY AND PROGRAM FRAMEWORKS
Developed multi-phase Consumer product compliance monitoring program with enhanced linkages to regulatory requirements and issues management in order to strengthen oversight monitoring, risk and control assessments and remedial actions to closure.

Directed Compliance engagement in large scale legal entity simplification initiatives across the globe.  Leveraged strong understanding of investment banking, trading and consumer products to seamlessly navigate and deliver streamlined legal entity structures.

Accelerated comprehensive Anti-Bribery Compliance risk and control program for North America Consumer business in partnership with executive leadership across Commercial Bank, Cards, Retail Banking and Personal Wealth portfolios.

SENIOR VICE PRESIDENT, COMPLIANCE RISK MANAGEMENT

JPMorgan Chase & Co.

OPERATIONAL RISK - AML (Consent Order)
Managed Global Investment Bank product aligned team responsible for AML assessment of product processes and trade flows. Documented results for Consent Order control remediation plan. Designed and implemented workshops with top line executives for comprehensive buy-in and support. Achieved remediation plan approval from OCC for High AML risk products and services within first 6 months.

EXECUTIVE DIRECTOR, OPERATIONAL RISK MANAGEMENT

GLOBAL COMPLIANCE RISK REPORTING, ESCALATION MANAGEMENT AND GOVERNANCE
Managed cross functional team responsible for global reporting, targeted enterprise-wide risk and control assessments, issues management and emerging risk identification (FX, Mortgage). Used GRC concepts to lead organization's reporting system redesign which resulted in streamlined input and shortened production times with enhanced data mining and control analysis.

Dell EMC

Based on strong business consulting performance, started cross-industry GRC practice. Established portfolio of business process and risk offerings using the firm's technology. Further completed a comprehensive marketing strategy, delivery resources and client portfolio.

CONSULTING PRACTICE DEVELOPMENT AND DELIVERY MANAGER

BNY Mellon

Designed and implemented operational risk discipline for Capital Markets area by working closely with business CEO, Heads of Global Risk, Legal and Compliance. Also, led the firm's operational risk scenario analysis, loss data and new product approval programs

CORPORATE OPERATIONAL RISK MANAGEMENT 

BNP Paribas

Partnered with Technology for an automated operations risk reporting tool with key risk/performance indicator framework based on trade flows and control performance. Gained solid understanding of Capital Markets products and significantly reduced reporting errors/turnaround by over 75%.

MIDDLE OFFICE - OPERATIONS RISK CONTROL

Integral part of ground-breaking team who implemented the firm's Basel II operational risk program. Ability to quickly master requirements led to supporting Credit Markets including new product approval process and product flows.

CORPORATE OPERATIONAL RISK AND INVESTMENT BANK MIDDLE OFFICE ( via Open Systems Technologies)

Mastered Compliance, Risk, Strategy and Control disciplines early in career. She started an innovative consulting practice at a global technology firm and has since utilized her expertise to further develop strong product/process solutions. Steph continues to apply skill set for translating strategy into practice.

Core Strengths: Expert in Compliance and Risk | Leader in Governance Frameworks | Deep Process and Assurance

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