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Work Background
Credit SuisseHead of Procedures, Training and Control, IB Client Office Lifecycle Mgmt
Feb. 2020London, England, United Kingdom• Manage a global team to deliver centralized procedures and training to Client Onboarding, KYC and Regulatory Due Diligence teams (collectively “IB COLM”) across the Investment Bank. • Work with Compliance to streamline Global and Local CDD and Sanctions Standards and processes and ensure efficient implementation of CDD policies and procedures.
• Balance Local and Global Compliance requirements with operational and business needs using a risk-based approach to improve process effectiveness and increase customer satisfaction and competitiveness in the marketplace.
• Establish and maintain an effective governance and control program for IB COLM processes including tracking of actions and issues, risk and control assessment and testing.
• Oversee audits (internal and external) and regulatory KYC items.
• Manage the independent Quality Assurance function for IB COLM KYC reviews.
• Proactively recommend improvements and manage change and projects, as necessary. • Manage internal stakeholder relationships; partner with them to assess and improve current processes.
• Develop a learning community with asynchronous training modules, learning paths, Lunch & Learns and mentoring programs.
• Chair forums for procedure change, risk and controls management, and COO engagement.
HSBCRegional Head of Americas CDD Policy Implementation & Training
Dec. 2013 - Jan. 2020Greater New York City Area• Direct the implementation of new Global and Local CDD Standards and Sanctions processes for Global Banking & Markets Americas.
• Chair the Global Policy & Training Governance forum to prioritize global team activities and socialize changes to the Global Line of Business CDD Procedures across stakeholders teams.
• Articulate strategic direction for CDD Policy activities in Americas and promote alignment with Global counterparts on topics such as regulatory impact assessment, change management and CDD Standards.
• Manage Americas CDD Policy team to be single point of contact for Client Operations, Compliance and the business to ensure efficient operationalization of CDD policy and procedures.
• Develop and deliver policy training; Build scoring and reporting tool for paper and online assessments.
• Write and influence approvals of global and country-specific operational deviations to Local and Global Compliance to improve KRI and competitiveness in the marketplace.
• Provide Global and Regional GBM teams with high quality guidance relating to interpretation of CDD policies and regulatory guidelines, e.g., PEPs, Sanctions Risk Acceptance, Escalations, AML Questionnaires. • Perform gap and impact analyses to CDD Procedures for new risk models and data management definitions.
• Global subject matter expert for Sanctions, Bearer Shares, Risk Model and other CDD topics.
JPMorgan ChaseVice President, Business Analyst (Global Corporate Banking)
Sep. 2011 - Dec. 2013• Lead working sessions with Compliance and Operations experts to define rationalized procedures for over 150 Know Your Client (KYC) requirements for the cross-Line of Business (LOB) Client On-Boarding utility.
• Produce actionable procedures for the On-Boarding utility by partnering with cross-regional and cross-LOB SMEs to define detailed KYC instructions.
• Create a gap analysis and impact matrix for 106 future state KYC policy requirements and nearly 20 client and risk variations. • Manage weekly clarification calls with Compliance senior managers to efficiently drive to resolution all open questions; developed automated system for tracking and aging metrics.
• Serve as Procedures subject matter expert for design and development of a new KYC system.
TransCareManager, Business Information Systems
Mar. 2009 - Aug. 2011• Manage corporate application portfolio and plan upgrades and improvements with internal developers and vendors
• Improve relationships between IT and other departments and divisions by performing needs analyses, composing customer requirements and integrating with development efforts
• Design and implement client-facing web portal for patient registration and order placement.
• Develop and automate SQL and Excel reporting of department MIS to division heads and business leaders.
• Lead the systems implementation for the organizational business units of the largest private ambulance and para-transit company in the Northeast.
• Manage a team of 4-6 employees in the Applications Group and coordinate with contract resources.
• Develop procedures for internal IT department operations to conform with SAS94 audit requirements and SDLC methodologies.
• Recommend and install global web-based and email-driven support management system to streamline IT operations and improve internal customer relations. • Identify and execute process and application improvements to save $50K annually.
• Define and maintain application support requirements for all departmental systems including HR, Accounting, Fleet Management, Dispatch and Billing.
• Oversee the development of system enhancements and upgrades of servers and clients.
• Direct the associated IT Services Group, where applicable, in their day-to-day responsibilities.
• Provide managerial direction on projects or special initiatives as assigned by the CIO, including the integration of a $1.5 million acquisition and the incorporation of its Dispatch and Billing system into company processes.
JordacheProject Manager, MIS/Operations
Mar. 2005 - Oct. 2008• Supervised 3 programmers and coordinated efforts with cross-functional teams.
• Eliminated chargebacks with installation of and user education on global ERP system at factories in Madagascar.
• Improved MIS responses via selection and installation of a global email-driven support management system. • Increased performance efficiencies by designing hands-on and web-based training.
• Solved business problems for over 300 users in 4 companies with over 40 divisions, plus 5 company-owned factories and 3 Far East vendors.
• Reduced project times with workflows and specifications for reporting tools, customer requirements and business solutions.
• Operated as a business liaison with various business units to ensure successful deployment and operation of Production, Shipping and Imports, Sales, Orders, Warehousing, Billing and Accounting.
• Revised reports for business needs and updates to data warehousing and reporting modules for Available to Sell and Gross Profit analyses.
Iscom, Inc.Project Manager, Enterprise IT Strategies
Jul. 2003 - Aug. 2004• Managed and maintained databases, designed marketing tools for enterprise-level telecom products
• Instituted change management procedures for programming and database management
• Led creation, test and roll-out of Websites and incentive programs; drafted change specifications for programmers.
Business Horizons, Inc.Senior Project Leader
Oct. 2001 - Jun. 2003• Spearheaded multiple projects for mid- to large-size clients, resulting in 10%-25% greater efficiency
• Designed online analysis tool to cut time-on-job 75%, capturing $25K+ savings per consulting project
• Collaborated with corporate executives to determine project requirements and customer expectations • Created custom workbooks, tests and training scripts for improved client systems and processes
• Directed translation and interpretation of training documents into 7 languages for global organization.
Business Horizons, Inc.Consultant
Jan. 2000 - Sep. 2001• Developed and tested specifications for a global intranet system
• Lowered client’s employment costs 50% by executing new processes to reposition staff and reduce expenses
• Produced analysis reports, presentations and workflows for productivity improvement projects
• Delivered professional training in process analysis and improvement to multifunctional personnel and management teams.
Business Horizons, Inc.Business Development Associate
Dec. 1998 - Jan. 2000• Designed highly effective seminars and presentations using Web-based interactive and distance-learning techniques
• Headed staff responsible for development and administration of new business and technical initiatives
• Trained and managed internal telemarketers, resulting in a 40% rise in customer volume in under 6 months.
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