I am an experienced financial professional with expertise in operations, compliance, risk management, and project management for global financial institutions.
I have extensive experience in developing and implementing new regulatory operations programs, improving efficiencies and reducing risk via continuous ongoing process improvement programs, and assessing and analyzing risk through data visualization.
I have a strong personal work ethic, broad depth of knowledge, and I care very much about attention to detail. I have a unique ability to quickly master complex topics, and efficiently implement new knowledge and acquired skills. Actively seeking to broaden my knowledge and improve my skills with each new experience is fundamental to how I work. I value integrity and think the best approach is often to understand and face hard truths proactively.
It is important to me that personal values and company culture are complementary . I strive to be part of a work environment that fosters positive values, not only for employees, but also for the community and the environment.
My experience includes working with both small and large international financial firms, including asset management divisions, global compliance, and foreign exchange and equity divisions. I have worked for both buy- and sell- side firms.
The work that I find most fulfilling and also challenging has been on developing new operations structures, whether driven by new business initiatives or by changing regulatory landscape, as well as risk and impact assessment of a company's ongoing and developing endeavors.
Feb 2014 - Aug 2019
Operations Specialist, January 2017-August 2019
Regulatory Middle Office Team - Responsible for new and ongoing regulatory obligations of Goldman Sachs managed Funds and Sub-Advised Accounts
- Project Management expert for the team regarding process improvement and change management, design and implementation of process uplifts for new and existing obligations across global team
- MiFID II Regulation Risk and Controls architecture design, build, and daily control process implementation for Commodities Position Limit Monitoring, Post Trade Reporting and Transaction Reporting. Project management and process design consensus building across global Operations, Data, Compliance, Legal and Technology teams involving 3 trips to London. Consultation on multiple business lines for risk and controls system design across all MiFID II obligations.
- Manage Global Regulatory Risk Coordination for New York, London and Singapore operations teams for cross regional handover, business continuity planning, risk and control self-assessments and business criticality assessment. Responsibilities also include presentations to senior leadership, ongoing risk strategy and adjustments to KRIs and Risk metrics, and executing risk remediation projects.
- Specialist for regulatory assessment and continuous process improvement. Coordination with Compliance and Legal teams for guidance, and with senior management for prioritization, change management of operations processes, and implementation of business intelligence tools and business process management tools.
Operations Associate, February 2014 – January 2017
- Spearheaded multiple process improvement projects involving automation, regulatory reassessment and risk reduction. Instrumental to continuous process improvement within existing functions.
- Implementation of both technology supported and self-initiated operations process improvements to drive efficiency and mitigate risk. Development, testing (UAT) and deployment of five macros related to CFTC monitoring and 1940’s Act affiliated transaction reporting for funds and separate account clients.
- Managed regulatory monitoring and reporting functions supporting global investment management desks, compliance, controllers.
- Functional ownership of obligations for various global regulators, including SEC, CFTC, NFA, FINRA. Regulations including AIFMD, Form PF, Form ADV, SEC Surprise Custody Exam, SOC1, TIC forms S, SLT, B, & D, Commodities Position Limits, EMIR reporting, ASIC transaction reporting, and various MiFID II regulations.
- Creation of regional risk measurement and management strategy, including rotation plans, depth charting and key person dependency evaluations, incorporated with vacation management and risk metrics.
Senior Compliance Associate
Jul 2013 - Feb 2014
Senior Compliance Associate
Global Compliance Team - Responsible for international coordination of all compliance teams and consistency across all firm compliance
- Global Education Administrator, responsible for creating and publishing training content, managing training program enrollment, and maintaining records. Subjects included corporate global compliance, Cross Border Regulations, Swap Dealer Registration, Best Execution, and OFAC Sanctions.
- Managed FINCEN SAR investigations and filing, as well as employee trading account monitoring, AML and KYC activities and reviews.
- Developed policies and procedures related to CFTC Swap Dealer registration, and ongoing and maintaining internal policies and procedures for risk management, compliance with NFA, CFTC and SEC applicable regulations.
- Identified and investigated potential policy breaches, mitigation of conflicts, and assisting in the coordination of remediation actions across technology, operations and sales teams.
- General compliance inquiries, coordination with Legal and Operations teams, escalations, and exceptions related to client activity, including RB/IB relationships, institutional and corporate structures, and US retail clients.
Regulatory Operations Analyst
Jul 2010 - Jul 2013
Regulatory Reporting Team - Responsible for meeting obligations in an accurate and timely manner, as well as exception management
- Established offshore team of 5 to perform TRACE, OATS, and MSRB reporting and post reporting analysis for short term and long term process improvement. Managed team from NY on a daily basis following offshore assignment to India for 2 months.
- Process Improvement design and implementation for TRACE reporting structures for daily, weekly, monthly and yearly analysis.
- TRACE, OATS, MSRB and RTTM reporting, risk analysis, and investigations.
- Risk and efficiency analysis of systematic regulatory reporting practices leading to process improvement measures.
- Created multiple macros and analysis templates used by various business entities to expedite analysis and understanding of trade data.
- Managed risk and Investigations collaboration projects with compliance, IT, and trade desks to resolve regulatory discrepancies and improve reporting practices.