New York City Metropolitan Area
Risk Management and Reporting Executive with over 30 years of experience in strategy, delivery and operations of complex risk reporting. A customer focused leader with a great blend of data, technology solution experience, methodology knowledge, and organizational leadership skills.
• Partnered with the Enterprise Risk & Control Committee (ERCC) Secretary, Management Governance team and committee participants to enable management of the company’s key risk types including cross-functional areas • Supported the ERCC in understanding and evaluating risk, addressing escalated issues, actively overseeing risk mitigation and informing, advising and escalating emerging risks and enterprise-wide risk issues • Assisted with leading and coordinating ERCC meetings, including creating meeting agendas; coordinating presenters; reviewing and compiling meeting materials; drafting meeting minutes; maintaining committee documentation; and the monitoring and tracking of escalation and follow up items • Partnered with the Committees Governance Team to enhance committee functioning and share best practices • Contributed to policy updates relating to governance and committee management
• Developed, maintained and evolved the WFC governance framework; monitored compliance of the requirements within the framework, facilitated the flow of information across various governance committees; and produced reports for senior management and Board committees • Secretary of the Compliance Risk Management Committee; created meeting agendas, schedules and communications; followed-up on action items; managed charter revisions, reviewed and distributed meeting materials • Business lead for the Compliance Issue Escalation Tool responsible for developing business requirements, testing and acting as a liaison with the technology and business users • Member of the Compliance Plan Reporting workstream developing the reporting strategy, strategic management and board reporting templates and business requirements for technology solutions
• Led the production of the monthly CRO Risk Report to the Risk Committee of the Board including maintaining the report template, conducting dry runs with the CRO and direct reports, and producing risk reports for regulators • Secretary for the MUFG Americas Enterprise Risk Management Committee until April 2016 when it was merged with the existing Americas Risk Committee • Supported the head of Enterprise Risk Management in all aspects of communication, including preparing enterprise wide and emerging risk reports and presenting to senior management and other stakeholders • Collaborated with senior level Risk Management colleagues to drive significant advancement of the risk reporting practices across the U.S. entities • Managed a group of six professionals responsible for the risk identification and assessment process and analytical and reporting requirements
• Gathered and organized risk information from all MUFG U.S. entities for the analysis of the entities’ risk profiles and as Secretary raised any issues that should be discussed at Enterprise Risk Management Committee • Cultivated deep relationships with senior members of MUFG U.S. Risk Management teams, including Chief Risk Officers to better understand the risks for the different business models of each entity • Developed strategic and tactical plans for various MIS reporting needs and automated processes including the identification and linkage of common client across all U.S. entities. Created an innovative process and report template that allowed for enhanced customer exposure aggregation across the U.S. entities in a short amount of time • Partnered with risk reporting teams from the other U.S. entities to resolve discrepancies in legacy data feeds • Presented to MUFG’s regulators including the FRB, OCC, NYS DFS, FDIC and Bank of Japan
• Drove the credit risk reporting processes on a cadence to meet reporting requirements, including ensuring that required levels of data quality were achieved; day to day management of the Credit Risk Reporting teams in New York (5) and San Francisco (11). Secretary for Credit Risk Committee and Wholesale Credit Risk Sub-Committee • Business lead for the Credit Risk Reporting workstream and related technology project for the integration initiative between the major MUFG US subsidiaries and a member in other workstreams as a Subject Matter Expert • Partnered with colleagues from the Data Management Office, Information Technology and Business Lines to create business requirements, data mappings and identify source systems to enhance reporting capabilities
• Supported the IB Risk Management Group in NY and managed an administrative staff of nine • Served as the Business Continuity Coordinator for the North America IB Risk and IB F&BM NY groups working with Corporate Resiliency Management on disaster recovery plans (nine in total), testing and communications • Worked closely with the Business Managers from the various risk stripes and with IB & Corporate Real Estate groups on location strategies as well as relocation projects of various sizes • Coordinated the needs for the various risk groups with facilities, market data, technology and telecommunications support groups • Responsible for expense planning and management including investigations for Planning & Analysis team and identified operating expense saves for the group in excess of $2MM per annum • Partnered with Mumbai support team on expense report standardization
• Managed the reporting needs of weekly & monthly reporting to senior management and board level for the IB North America loan portfolio • Involved in numerous working groups as part of the Credit Infrastructure Transformation (CIT) where I lead a team that cataloged over 300 reports across various lines of businesses as part of the Information & Reporting CIT stream • Assisted the Secretary of the Balance Sheet Committee, working with deal teams to obtain the proper approvals • Acted as Business liaison for the Information & Reporting Technology Group prioritizing project requests, determining best sources, formats and created specifications for new regularly scheduled reporting needs • Coordinated with counterparts in Europe and Asia to standardize reporting
• Review and document business requirements for existing Credit Systems applications being replaced or enhanced and write specifications for new ones. One application included in these efforts consisted of automating the syndicated loan approval process and deal management tracking for post-close MIS • Managed the Balance Sheet Reporting queue and acted as a liaison between the technology and business units with regards to other major projects including, but not limited to various Web projects and risk mitigation efforts. • Involved in merger related projects, such as the automated conversion of data from terminated to surviving applications.