managing director risk management compliance resume example with 8+ years of experience
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Deadline-oriented, insightful, results-driven and forward-thinking Ph.D. Quant Managing Director, with solid record of accomplishment in compliance consulting and risk advisory services across multiple organizations. Experience performing internal audit, testing internal controls and regulatory compliance, in model governance environment. Strong knowledge of SEC private fund regulations and proven client relationship experience giving advice on regulatory matters and demonstrable strong technical skills in regulatory compliance issues. Talents in SOX Compliance - developing risk assessment narratives, control design, process flow mapping and testing strategies to improve company's key operational, I.T, finance activities and internal controls. Strong background in risk management, model governance, model risk, risk and control processes, CCAR, stress testing, shock analysis, credit risk modeling such as CECL, consumer lending and credit risk strategy implementation. Demonstrable experience in building and managing project teams to address complex issues. Ability to lead and manage day to day aspects of engagement activities and an ability to work with clients. Excellent written and verbal communication skills that help represent diverse communities. Worked with Big 4 Audit Firms performing complex analyses and documenting audit findings.
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RegEd - ,
NEW YORK INSTITUTE oF FINANCE - New York, NY,
UNIVERSITY oF BATH - Bath, UK,
LONDON METROPOLITAN UNIVERSITY - London, UK,
- Performing compliance audits for various risk models, including marketing models, drafting audit reports, and presenting issues to business, and discussing practical solutions.
- Supervising validation audit of complex internally developed models, completing audit workpaper, conducting walkthrough, developing summary reports to share with end client and discussing practical cross-functional solutions.
- Identifying sources of model risk, applying internal audit standards, policies, and regulations to provide timely audit assurance, and influencing audit scope - to include emerging risks.
- Completed 8 assigned audits within budgeted timeframes, and budgeted costs for major Wall Street Bank.
- Mentored, developed, and motivated staff at the Director, VP, Associate, and Analyst levels - to ensure strong understanding of business issues, regulatory compliance procedures, while building excellent relationship management and communication skills with teams.
- Performed testing for 25+ operational, financial and compliance controls for Big 4 Accounting Firm.
- Conducted walkthrough, tested attributes, derived probing questions, escalated and resolved discrepancies while performing 65 action verifications for large International Bank.
- Collaborated with process owners (I.T, Business, Finance) to identify key controls, documented descriptions and updated supported documentation around proof of data-secured financial reporting.
- Documented SOX risk assessment policies for clients, validated key controls, developed test procedures, executed and documented testing.
- Led SOX learning and development programs, communicated with Management Committees and Audit Committees.
- Reviewed control deficiencies and worked with process owners to ensure appropriate action plans and controls are developed and executed.
- Assisted 3 wholesale modeling teams with stress test model development, analytics and validation.
- Guided team re-developed CECL models (PD, LGD, EAD) for clients, reviewed data and assessed gaps using machine learning and regression based techniques.
- Reviewed model documentation and developed controls for model validation and risk rating frameworks.
- Developed credit risk strategies for banks to minimize credit losses that went on to improve underwriting standards by 85%.
- Developed 9 DFAST/CCAR challenger models. Supervised 3 Analysts, completed 12 projects, involving 35 models, maintained composure and performed root cause analysis (RCA).
- Determined actionable treatment for interpreting scorecard. Developed best credit risk strategy to increase customer base, reduce credit risk and maximize profit.
- Communicated issues arising from AML alerts review, trade surveillance activities and prepared reports for regulatory and internal investigations.
- Identified model risk and improving outcomes by creating highly successful strategies to ensure correct use of credit models.
- Re-developed the following models: (1) Retail (mortgages, prepayment, credit cards, auto loans), (2) Wholesale (Commercial and Industrial, Commercial Real Estate), (3) Credit risk and loss forecasting models (PD/LGD/EAD, Allowance for Loan and Lease Loss, CECL, roll rate, loss severity, delinquency models, Deposit Attrition), (4) Scenario design/macroeconomic and time-series regression based models (CCAR, DFAST stress testing and Pre-Provision Net Revenue – PPNR models), (5) Market risk models (VaR, interest rate and cash flow modeling) and (6) Stochastic HPA.
- Administered daily operations to ensure validation methods and procedures followed OCC 2011- 12 and Federal Reserve SR 11-7 requirements.
- Led validation of Multifamily Credit Works (MFCW) Application for Fannie Mae, which is a loan guarantee model used by every business unit of the organization.
- Exhibited strong project management, thought team leadership and macroeconomic modeling skills in auditing MFCW application, developed and recommended model governance frameworks
- Captured model performance using indicator variables - home price appreciation, interest rate, inflation, debt service coverage ratio, unemployment, capitalization rates and housing inventory.
- Successfully wrote model validation report. Received great recommendations for outstanding performance and built strong professional networks.
- Mitigated regulatory risks by increasing guideline compliance through clarification of policies and procedures with other departments.
- Produced thorough, accurate and timely reports of project activities.
- Participated in business development initiatives that include targeting external clients, attending industry conferences and speaking engagements.
- Identified new opportunities and proactively develop leads within the asset management sector with specific focus on private investment advisory firms (i.e. Private Equity and Hedge Funds).
- Developed, managed and maintained client relationships with private investors while also identifying and sourcing new opportunities with existing and new clients.
- Oversaw client delivery, client interface and practice management, interacting with Senior Management of investment advisory clients on regulatory requirements and issues.
- Provided technical expertise on complex issues around investment advisory registration, ongoing compliance issues, and reporting on client projects.
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Resume Overview
School Attended
- RegEd
- NEW YORK INSTITUTE oF FINANCE
- UNIVERSITY oF BATH
- LONDON METROPOLITAN UNIVERSITY
Job Titles Held:
- Managing Director, Risk Management & Compliance
- Vice President - Model Validation & Governance
- Director of Compliance Operations
Degrees
- Ph.D.
- Master of Science
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