SUMMARY:

• Well - rounded professional with MBA in finance and marketing, and 12 years of diversified professional experience in financial services industry in areas of management consulting, domestic/international operations, financial control, project management, divestiture planning/execution, program integration, and domestic and international regulatory/operational risk management including business continuity, vendor governance, and key business/risk metrics reporting.
• Accurately generated and distributed International Wealth Management key business/risk metrics reporting to managing director, his direct reports, and key business partners monthly which highlighted business trends, trend drivers, focus/improvement areas, and also served as tool in decision making, measuring progress against business initiatives targeted at improving areas like functional capabilities, client onboarding, client experience, platform efficiency/scalability, world footprint rationalization, and effective risk management
• Key metrics reported on included brokerage & banking assets (approx. $160B in brokerage & banking assets across 10 different platforms/legal entities), new/open client accounts, transactional/trade volumes, service delivery (call centers & client statements), client satisfaction scores, new account opening turn around times, expense/headcount management (approx. $40M direct expenses/ >300 associates), and operational risk/exposure
• Effectively handled risk management activities for International Wealth Management by ensuring operational teams adhered to local and international laws/regulations, internal policies and procedures, bank’s vendor governance program (>100 vendors), and oversaw internal/external audits, completed quarterly risk and control self assessment (RCSA) for all operational processes, controls, monitoring/testing, and inherent/residual risks (tool used by bank to help business groups self identify operational processes with residual risk(s) that requirded process and/or control improvements), and successfully and timely remediated/closed few number of low severity items that arouse related to privacy incidents, internal/external audit findings and self identified audit items
• Effectively managed business continuity planning (including the building/updating of 10 detailed business continuity plans - one per country/site location) and event management for International Wealth Management with no incident ever causing a disruption to business continuity, no exposure or monetary losses, and also maintained >300 associates across 9 countries within U.S., Europe, Asia & Latin America safe and accounted for
• Effectively managed the oversight, documentation, deliverables, work streams, milestones, and business requirements for 20 projects by maintaining project tracking reports, advising work streams and stakeholders on milestone deviations, establishing regular status meetings to ensure tasks and assigned projects were completed, helping to manage/reschedule priorities effectively, keeping projects on budget while also effectively establishing and maintaining strong working relationships with key internal and external stakeholders across organization to consistently meet project targets
• Self-motivated, detail oriented and hard working professional, as evidenced by completing BS and MBA degrees part-time while also growing career full time at Confidential, and simultaneously still achieving highest rating on performance reviews consistently. Thereafter, started up and managed two small businesses in addition to creating and launching ecommerce, web, mobile, and social media sites for both companies as well as managing their day to day operations including supply chain, marketing campaigns, search engine optimization, customer service, and order fulfillment

TECHNICAL SKILLS:

Languages: Intermediate Spanish, and fluent in English and Portuguese

Applications/Systems: Proficient in Microsoft Word, PowerPoint, Excel, Access, Project, Adobe, Visio, Passport, SharePoint, Dialogic, PeopleSoft, Oracle, Hyperion, Ariba Sourcing, Ariba Supplier/Contract Management, Ariba Procurement, Central Issues Tracking (CIT), Archer GRC

EXPERIENCE:

Confidential, Plainsboro, NJ

Partner/Founder

Responsibilities:

• Started up two small businesses and then created/launched ecommerce, web, mobile, and social media sites for both businesses, and also managed their day to day operations including supply chain management, marketing campaigns, search engine optimization, customer service, and order fulfillment.
• Responsible for all marketing content and managing all marketing campaigns including free/paid for social media marketing through Facebook, Twitter, Google+, Pinterest, as well as newsletter, email, flyer, word of mouth, promotions, coupons, and events marketing.

Confidential, Pennington, NJ

Management Consultant

Responsibilities:

• Supported managing director and his direct reports responsible for all International Wealth Management (MLIWM) operational functions across Asia, Europe, and LATAM with business management support related functions.
• Helped with divestiture activities related to sale of MLIWM business to Confidential including managing divestiture workstreams, budget, and transitional service agreement requirements.
• Generated and distributed MLIWM key operational metrics and key risk indicator reporting to senior management.
• Managed oversight over MLIWM risk management program including vendor governance, business continuity, internal/external regulatory audits, quarterly risk and control self assessment (RCSA), and the timely remediation/closure of internal/external audit findings, self identified audit items, and privacy incidents.
• Helped to ensure all employees completed required AML training, and that processes and procedures were in compliance with KYC, AML, BSA, US Patriot, OFAC, ATF, and Dodd-Frank rules and regulations.
• Completed procedure reviews, drafted testing scripts, conducted monitoring and testing, documented testing review findings/recommendations, and presented testing findings to LOB/management for review and implementation.
• Prepared quarterly business performance reviews for senior management, and assisted with short/long term business planning.

Confidential, Pennington, NJ

Operational Risk Officer

Responsibilities:

• Oversight over business unit/enterprise-wide regulatory/operational risk policies, procedures, systems/controls including data security, computer/email encryption, system administration, as well as assist with internal and external audit inquiries, the documentation and review of 500 Retirement Services operational/functional policies and procedures, and oversight over business continuity management for entire Retirement Services Group which consisted of >1,000 associates located within several site locations across the U.S.
• Managed 200 Retirement Services suppliers and 10 supplier managers to ensure their compliance with bank’s supplier governance program.

Confidential, Pennington, NJ

Interim Financial Controller

Responsibilities:

• Developed and updated expense forecasts, provided business justifications for variances against prior year, business plan, and forecast updates, completed cost benefit analysis, identified cost savings opportunities and appropriate staffing levels, remained within/below operating budget, and managed month and year-end finance closing activities (accruals, payroll, reclasses).
• Held monthly meetings with director/direct reports to review monthly actuals, re-forecast, variances, and overall performance.
• Participated in annual planning process to establish long-term financial budget projections that accounted for expected changes to headcount, operational workload/volumes, organizational restructuring/expansion, new business initiatives, and ongoing costs.

Confidential, Pennington, NJ

Department Administrative Assistant to Director

Responsibilities:

• Supported director, managers, and 250 associates across six-site locations, assisted in implementation and enforcement of cost containment policies, booked associate travel arrangements, processed travel & expense reports, vendor invoice payments, and corporate credit card reconciliations/reimbursements, as well as got new associates setup with system access, work space, phone, email, computer/phone equipment, and also handled processing of associate transfers, terminations, cost center changes, medical leaves, etc in Confidential Oracle PeopleSoft HR system.