Wilmington, Delaware, United States
Capital One benefits from a Risk Manager with over six years of expertise in AML compliance, KYC processes, and fraud prevention. They collaborate closely with compliance and diligence teams to ensure adherence to financial crime prevention measures. Their work includes refining policies, facilitating communication with regulatory bodies, and reviewing program effectiveness to align with evolving standards. Drawing on a strong foundation in analytical skills and a diverse financial services background, they support operational efficiencies and scalable compliance solutions. With certifications in PMP, CAMS, and Series 7, they aim to empower teams and enhance risk management strategies, contributing to a safer and more reliable financial ecosystem.
- Spearhead risk management initiatives focused on complex data processes and standardization, ensuring alignment with regulatory compliance and internal policies, building foundational capabilities for mitigating future AI risks. - Develop and refine Key Risk Indicators (KRIs) and detective controls to build frameworks and track key success metrics for data product performance, ensuring risk posture and reliability of organizational data. - Product Owner for a data engineering team, owning, maintaining, and developing a product backlog that enabled development and supported the overall strategic roadmap for refined datasets. - Drove data-driven remediation efforts and ensured data quality, akin to delivering high-quality products that exceed customer expectations. - Manage critical audits and regulatory exams, serving as a pivotal liaison between internal and external stakeholders, demonstrating strong consulting, negotiation, and influence skills in building relationships with leaders. - Design and implement robust change management processes for critical data risk management initiatives, facilitating the successful adoption and implementation of new controls and procedures across the organization.
- Designed and led comprehensive training and mentorship programs for AML teams, upskilling over 100 employees on compliance standards and new processes, directly facilitating the adoption of new practices and enhancing employee skills across the function. - Directed policy and procedure development to ensure compliance with AML and fraud prevention requirements for the Broker/Dealer function. - Collaborated with data and product teams to redesign alert rules to enhance efficiency and ensure timely regulatory reporting.
- Designed and launched a centralized Suspicious Activity Report (SAR) filing manual, serving as a key learning solution product that streamlined onboarding and increased process efficiency for a team of seven investigators. - Oversaw team of seven investigators responsible for Bank Fraud SAR filings, ensuring adherence to quality and timeliness standards. - Proactively developed new fraud prevention processes, responding to changing organizational needs.
- Helped develop and implement processes for effective customer account maintenance service. - Monitored card activity and serviced related accounts using Card Management System (CMSe). - Consistently performed in the top 35 percent of all sales associates nationally. - Implemented training to successfully deliver an ideal customer experience.
- Managed a team of 10 foreign teachers for a group of 4 schools with more than 1,200 students in the Southern region of Ulsan City. . - Successfully implemented new curriculum throughout the region in order to adapt to the changing assessment standards of the national education system. - Worked with school officials to organize and implement new marketing techniques that succeeded in increasing school enrollment by 20% - Developed a set of course work specifically for TOEFL test preparation that resulted in a 15% increase in the number of scores of 80% or better. - Designed a special year long course for business professionals that emphasized the practical usage of the English language with a focus on speaking and listening skills.