Greater Richmond Region
As a Risk Manager at Capital One for over six years, I have a passion for delivering high-quality risk management projects and solutions that enable responsible business innovation and protect our stakeholders. I am a Certified Fraud Examiner (CFE) with a strong background in operational risk management, physical security risk, and business process integration. In my current role, I serve as the primary risk advisor to various business units and functions, applying my analytical and delivery skills to assess and manage their risk profiles, using both quantitative and qualitative methods. I also partner with key performers, senior leaders, second and third lines of defense, and external regulators to drive change and improvement in our risk culture and practices. Additionally, I have contributed to multiple projects related to enhancing the security and resilience of our facilities and assets, leveraging my expertise in this domain. My mission is to help Capital One achieve its strategic goals while maintaining a robust and effective risk management framework.
• Serve as primary first line Risk manager to key performers to ensure business is articulating and managing business Risk profile through both quantitative and qualitative assessment and analysis • Collaborates with first line business, second line stakeholders, risk office partners, and peer teams to problem solve, influence, communicate, and drive cutting-edge, strategic risk solutions. • Apply analytical and delivery skills to highest profile risk management projects • Develop innovative risk solutions in manner that enables responsible business innovation and protects customers, shareholders, and associates • Partner with peers and senior leaders, second and third lines of defense, as well as lines of business to drive change in order to better manage Company's risk in open, collaborative environment where new ideas and solutions are both welcomed and rewarded • Partner with and leverage risk horizontal program owners and 2nd line advisors (as needed) to facilitate and support line of business readiness and execution against risk frameworks, programs, and processes (e.g. risk identification and assessments, controls management, problem management, use of systems of record, reporting, escalation) • Spearhead all risk assessments (i.e. Risk and Control Self Assessments), issue and event support, line of business process and control enhancement initiatives, and other second line risk program impacts • Identify and provide challenge when needed that is grounded in reliable data, supporting analysis, and subject matter expertise • Identify opportunities and develop solutions for strengthening risk practices • Enhance customer satisfaction by resolving disputes promptly, maintaining open lines of communication, and ensuring high-quality service delivery.
• Developed numerous reporting schedules based on emerging and focused operational risk • Performed testing on business areas to ensure compliance with applicable laws, regulations and guidance • Partnered in development efforts for testing and validation work papers, issue tracking, and management reporting • Ensured issues were properly managed and reported to business areas and remediated appropriately to reduce outstanding risk or performance breakdowns • Performed and supported detailed data analysis to include trending, problem identification, and development/completion of remediation projects • Identified emerging risks, process improvements, or areas for increased training through analysis of testing results • Managed work across organizational lines to achieve results and manage competing priorities • Managed key projects, due diligence and integration efforts ensuring applicable requirements are identified and managed • Established effective communication among team members for enhanced collaboration and successful project completion. • Provided detailed project status updates to stakeholders and executive management. • Scheduled and facilitated meetings between project stakeholders to discuss deliverables, schedules and conflicts. • Developed and implemented strategic project plans to meet business objectives.
• Partnered with various teams to support successful delivery of multiple small, medium and large scale projects in Basel workspace • Focused on effective delivery of each project, within acceptable scope, budget and schedule constraints • Interacted with internal and external (to Basel) teams to determine scope, budget and timelines • Drove projects based on defined priorities; ensure scope of deliverables, timelines and budget are met; identify risks and issues and mitigate and / or escalate as needed • Planned project definition and objectives/required actions to complete project (evaluating solutions and resources, assessing current state) • Documented project scope, status, creating dashboards, reports, presentations, business cases, and diagrams) • Meet with key stakeholders or performers required to complete work
• Managed two company integrations that included six USA projects and one international project • Successfully managed an integration budget of $12.5 million with a result of the project closing under budget • Accountable as the project manager for all phases for project, including project schedule, scope completion and project results • Worked with cross functional teams, and influenced other teams, to work towards a common goal • Managed risks and issues, status reporting, contingency planning and issue resolution, and ensured communication to the Security management • Redesigned the Corporate Security Services internal intranet site • Updated BSA/AML Audit documentation as needed • Worked closely with the Chief Operating Officer of Audit and Chief Security Officer • Maintained open communication by presenting regular updates on project status to customers. • Provided detailed project status updates to stakeholders and executive management.
* Managed the successful integration, training and productivity of Financial Advisors in the Midatlantic Region * Worked closely with senior management to drive corporate priorities * Developed relevant training tactics to increase assets, profitability and partnering * Taught monthly training classes for new Financial Advisors * Developed and maintained training manuals and training materials * Coordinated training of policies and procedures * Devised and implemented innovative ideas to further support Financial Advisor growth * Resolved issues and concerns for Financial Advisors * Collected feedback from Financial Advisors, and hiring managers, on their conversion and integration experience to analyze and report * Facilitated and coordinated meetings across the Midatlantic Region
• Facilitated change management initiatives while ensuring minimal impact on day-to-day operations and staff morale. • Identified and analyzed project risks and developed mitigation strategies. • Collaborated with clients to target issues and uncover methods that would increase operational efficiency. • Consulted and trained Financial Advisors on technology, products, and sales ideas • Trained bank employees on brokerage operational procedures • Managed firm wide roll outs • Served as liaison among Financial Advisors and sales management • Member of merger/acquisition training team • Met regularly with Mid-Atlantic Regional President and Sales Managers to determine training needs • Analyzed monthly performance production of Mid-Atlantic sales goals • Assisted in resolving high profile client issues • Resolved compliance and risk management issues • Developed, managed, and coordinated special projects with Mid-Atlantic Regional President
* Initiated daily review of branch activities including low-priced security trading, trade cancellations and corrections, security solicitation, and broker conduct * Functioned as a conduit between retail branches and other internal departments * Surveillance of activities of retail brokerage branches with an emphasis on NASD/NYSE regulatory concerns, security solicitation, restricted securities, legal issues, and client trading suitability * Approved, reviewed, and processed Power of Attorney documents * Aided in the preparation of branch examinations conducted by Compliance Auditors
* Managed all experienced Financial Advisor training for the Investment Services Group * Maintained close contact with Financial Advisors to ensure target goals were met * Met with senior management to determine training needs * Worked directly with management in 200+ offices to determine effectiveness of Financial Advisor trainee’s * Managed the financial advisor trainee compensation program * Managed all merger/acquisition training * Vendor relations manager
• Primary contact person for 300+ graduated Financial Advisor trainees • Calculated monthly bonuses for 300+ graduated Financial Advisor trainees • Managed the expense budget for the Financial Advisor trainee’s • Negotiated training contracts and assisted in the hiring of new Financial Advisor trainee’s • Managed communications with external vendors, speakers, trainers and educators • Customer service trainer • Supervised all administrative duties for the department