Greater Seattle Area
Driven and tenacious executive with 15+ years of experience in pioneering global risk frameworks, regulatory compliance, and business continuity programs. Repeated success in navigating complex regulatory landscapes and aligning risk management initiatives with strategic goals. Positive and influential leader with the vision for leading cross-functional teams, facilitating timely adherence to regulations for 1300+ staff, and driving high-risk issue resolution by 60%. Well-versed in overseeing various areas, including risk, regulatory compliance, ethics, conflict-of-interest, business continuity, and incident response. Recognized for spearheading critical projects, fostering collaboration among diverse teams, and delivering exceptional results.
Manage a team of eight globally, establishing a comprehensive enterprise risk framework to navigate global regulations. Pioneer the enterprise risk management program, aligning with strategic goals for the next 2-3 years. Develop and manage various areas, including risk, regulatory compliance, business continuity, and incident response, among others.
Established the enterprise risk management program which included an enterprise risk assessment, mitigation, controls, and strategy, as well as incorporation of ISO27001 and NIST 800-53 requirements. Lead the Enterprise Risk Management Committee to brief company executives on risk issues and mitigation planning. Performed a business impact analysis and developed a business continuity plan. Promoted in March 2022.
Transformed the company through the establishment and management of a risk and compliance program, driving proactive risk assessment, mitigation, and strategy across all departments. Administered worker classification compliance, privacy protection, and contract reviews, collaborating closely with eight executive team members and various departments. Pioneered a fraud prevention program, swiftly addressing suspicious activities and developing a comprehensive investigation framework. Led fraud prevention and developed a comprehensive analytics dashboard for monitoring and evaluating suspicious activity, optimizing Fraud Prevention Program. Conducted two to three quarterly audits in close collaboration with two team members. Carried out 30+ investigations, consistently achieving exceptional results and upholding the highest standards of excellence. Complied with privacy regulations, including GDPR and CCPA, promoting a privacy-centric product design approach.
Formed and supervised a high-performing team of 20+, driving exceptional results as both Risk Management Compliance Manager and Acting Conflicts Manager. Simplified complex conflicts checking processes, mitigated conflict of interest issues and recommended policy revisions to ensure optimal compliance. Pioneered cutting-edge application upgrades and revolutionized the audit response process. Acted as a decisive point person for critical inquiries from the IRS and the SEC, maintaining unwavering adherence to regulatory standards. Adhered to GDPR by managing data processing agreements and meeting HIPAA requirements through business associate agreements. Pioneered an audit letter Continuing Legal Education (CLE) program for attorneys. Revitalized and improved response process for reputable professionals, handling 40+ inquiries and fostering strong relationships with clients in the private equity industry. Maintained and allocated an operational budget for the risk management department, covering malpractice insurance, travel, contract workers, and bar license expenses. Guided high-performing contract workers teams, such as seven Genesys Works interns and five Autism2Work individuals. Orchestrated firm-wide responses to the Financial Industry Regulatory Authority (FINRA) and standardized processes. Severed as a core member in the Business Continuity Management (BCM) project.