Darien, Connecticut, United States
I leverage my global expertise in risk and regulatory compliance to deliver strategically aligned and profitable solutions for financial service industry clients. With over 25 years of experience in leading and executing business and regulatory-driven transformation initiatives, I have a proven track record of achieving multimillion-dollar savings, risk avoidance, regulatory compliance and operational excellence for top-tier firms. My core competencies include strategic program management, change leadership, stakeholder engagement, and operational risk management. I have successfully led and delivered every significant capital markets regulatory compliance change program of work, such as Dodd-Frank, MIFID II, FRTB, LIBOR transition, and CFTC SD rules. My mission is to help my clients navigate the complex and evolving regulatory landscape, while creating value and competitive advantage for their businesses.
Head of Technology & Functional Implementation Practice with current focus on: - Establishing and enhancing rule based, Compliance Testing Programs for Swap Dealers and Security-Based Swap Dealers - Triennial Auditing of CFTC 23.603 Business Continuity and Disaster Recovery plans for Swap Dealers - Client Onboarding process review and Target Onboarding Model implementation providing a comprehensive E2E process across all impacted functions in Capital Markets. - M&A pre-close planning and post-close integration execution for Broker Dealers - QFC Recordkeeping for IHCs - SEC Securities Based Swap Dealer rule analysis and implementation for CFTC regulated Swap Dealers or de novo registrants - SEC rule 18f-4: Use of Derivatives by Investment Companies and BDCs - CFTC Swap Dealer Capital and Financial Reporting rule analysis and implementation - SEC OTC Derivatives Dealer Registration: Market and Credit Risk Capital Calculations, Monitoring Notification & Reporting (Stress VaR, Backtesting, Model Proxies, RNIVaR) - Fundamental Review of the Trading Book (FRTB)
Operating as an independent contractor, I provide consulting services to the Financial Services industry to ensure the delivery of strategically aligned and regulatory compliant initiatives.