Executive Management Compliance Risk Management


Over the course of my professional career within Financial Services, Transportation, I have developed Risk Mitigation, Change Management, Audit, Compliance, and Problem solving tools, skill sets for both the public and private sectors. I have audited, documented, researched, developed, designed and implemented real time systems to forecast, plan, model, identify, document, track, resolve, mitigate risks through trend analysis, regression analysis, gap analysis, variance analysis, exception processing. I have recommended utilization of Statistical Analysis, Box Jekins, Regression Analysis, BPR, Mapping the Corporate Enterprise Legacy Systems, Rules Based RDBMS designed to address Risk Management Compliance skill-sets covering, Risk ID, Risk Resolution, Risk Mitigation.
During the course of Auditing the following functional areas: • 1974-1976-Business Analysis in the BPR, Transformation audit of BN-Burlington Northern RR for compliance with the 1934 NRA Act and CB Analysis of Fleet Transformation Upgrade with 5,000 HP Diesel Electric Locomotives vs. NRA mandated Scheduled Maintenance Schedules • 1978-1981- Chemical Bank International-International Compliance Officer for World Wide Operations 52 Branch Sites-Deputy to SOO H.J. Richardson in BPR, Audit, Turn Around of FX-Foreign Exchange-92 days out of proof over 16 years. Supported CB Auditors, ARBAT SW Developers in designed, development, testing, installation of audit, control methods & procedures designed to shorten the span of control over day to day FX operations. Recommended watch list for FX transactions from suspect countries • Standardized Daily, Monthly, Quarterly Reporting Methods & Procedures for Financial, Operational Reporting from 52 Branches vis z vis 52 Central Banks, NYHQ, FRBNY, SEC, IRS, US Treasury, BIC, World Bank, • Watch Lists for AML., Remittance Processing, Cash Letters, International Letters of Credit, Guaranteed Letters of Credit, Shipping Documentation, CLN-Commercial Loans in Multi-Currencies • Wrote White Paper on Anti-Terrorism, for H.J. Richardson, Branch Operations, Legal, Audit, Compliance in response to Chemical Bank VP Asterita being shot in the legs by the Red Brigade in Milano, Italy. Recommended stricter monitoring of AML in FX currency transactions, Wire Transfers Intl LC’s • 1984-1986-MMB-Marine Midland Bank/HSBC-VP/PMO for BPR, Functional Audit, Design, Replacement of 20+ year old GE Batch DDA/Check Processing with real time M&I SW • M&I SW-Recouped Annual OD-Over Draft Accrued Interest of $28.0 M PA 1945-1986 with M&I Real Time DDA SW and ZBA Accounting. $28.0 M DDA HW/SW recouped $28.0 M PA • 1987-1988_PMO Managed team of 50 auditors in BPR Audit resulted in 100% reclemation of USD$92.0 M owed PSE by member firms • 1988-1990-NYC/MTA/TBTA- Executive Director-PMO Managed team of 50 auditors in BPR Audited 50 year old electric mechanical paper tape Toll Registry which allowed for 30% document theft PA. This amounted to $180.0 M in theft on $600.0 M in receivables • Designed Installed USD$20.0 M Real Time EZ-Pass Toll Registry System that eliminated 100% of theft, recuperating $180.0 M in 1990 and an estimated USD$500.0 M in cost avoidance in 2009. • 1996-1998-ATT/Bellcore-Designed Installed International Call Centers in JV with Telia of Sweden in Ireland, 28 Sites Globally based on Corporate Tax Rates, Addresses ATT Internal Auditors,, Controllers Concerns re AML. Patriot Act, SEC-482, Remittance Processing, • 2001-2003-SME-Compliance LMC, LLC. MC Kinney, TX Audited, Researched designed installed a FMS-Fuel Mgt systems, which reduced annual external delivery shortings, internal thefts of fuel s amounting to 30% PA on USD$15.0 M in fuel procurement. Real time FMS external delivery shortings, internal thefts 100% day 1. Recouped USD$4.5 M PA. • 2003-2004-SME-Compliance recommended C. DeFelice, Director, D. Henry, SVP installation of a Compliance Rules Based RDBMS, containing 100% tools, rules of all regulatory agencies for financial services & Mapping The Corporate Enterprise for JPMC of 1,000+ undocumented legacy systems during JPMC’s installation of Oracle’s LDW • 2004-2007-SME-Advised COB, K. Holt, C-Levels, InspiraNet-Soft-Risk Management-ID inherent in Pre-Post M&A, SOX Audit • 2007-SME-Compliance with PRG, LLC, IBM International; for USD500.0 M Transformation of ISH Bankie Istanbul, Turkey. Researched, identified commonality of compliance issues, methods procedures, tools, rules, regulations and GAP analysis of the variance of these compliance regulations for US, UK, EU, Sheria Laws. This strategic Compliance Audit, Review provided ISH Bankie with 9 years to prepare for a smooth entry into the EU in 2016 • 2007-Turkey, Middle East Financial Services, HR, Staffing, Compliance, Transformation, Risk Management, PRG’s 1:1 Marketing, Sales, New Business Development Consulting experience in Istanbul, Turkey, surrounding areas, Syria, Iraq, Saudi Arabia, Emerites, Jordan • 2008-2009 Wexford-GIP-Gov’t of Iceland-At the request of a major US Law Firm Representing of Gov’t of Iceland, developed, presented a multi-pronged Turn-Around Program consisting of 99+ year Tax Incentives, Tax Abatements for both Icelandic , Foreign Investors, • 2009-Present Wexford-GIP-Osage, LLC, Osage, Oil, Gas, Mineral Counsel, Pawhuska, OK-Recommended $50.0 M turn Key Surety Business Model for Osage, LLC.

Waldwick, NJ

This example was posted: 1/11/2010 10:49:41 AM EST

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