Protiviti Contact

Protiviti Contact

Christopher O’Connell

Director

Professional Experience

Chris is a Director with Protiviti’s Risk and Compliance group. He provides business and risk management services to clients within the banking, insurance and financial services industries and focuses on operational risk, enterprise risk, and credit risk management. He has assisted financial institutions design, implement, and sustain enterprise risk programs. Prior to joining Protiviti, Chris worked in commercial credit risk with a regional bank.

Major Projects

  • Led a complex engagement for large US-based banking and insurance company to execute their RCSA Program and documentation of risk and controls. This included advisory support on the methodology utilized to document and collect information within the risk / control inventory and the structure / requirements of technology systems for documentation. The engagement also involved establishing and managing a Program Management Office (implementation, communication, execution, reporting, audit / regulatory management, sustainability, etc.), and leading over 50 professionals to provide advisory and execution assistance to the organization to effectively assess and document their risks / controls.
  • Led an engagement to develop a unique and innovative risk measurement tool to identify, monitor, and report Enterprise and Operational risk for a large US Diversified Financial Services firm. The risk measurement tool was designed to capture and consolidated metrics into a single, customized number. Risk metrics and leading KRI / KPIs were identified and metric tolerances were reviewed. Developed underlying technology platform, designed dashboards for risk reporting, and implemented a data visualization program to support the risk measurement tool.
  • Led an engagement to assist a large US-based Diversified Financial Services firm in implementing a Risk Profile program. This included providing advisory assistance on the Risk Profile methodology, developing an implementation plan for rollout, and providing guidance on quality reviews / regulatory expectations.
  • Led an engagement to assist a large US-based Diversified Financial Services firm in implementing a RCSA program. This included providing advisory assistance on the RCSA methodology, assisting in the design of a technology tool, developing an implementation plan for rollout, and providing guidance on quality reviews / regulatory expectations.
  • Led an engagement to assist a US Financial Institution with its second line of defense Operational Risk Assessments. This involved providing assistance assessing the overall risk and control environment for each business area.
  • Participated in a review of a Top 5 US Bank’s sales practice risk management program. Led the review and assessment of sales practice related activities and controls for commercial banking and lending customers. The review included an evaluation of controls related to sales goals, incentive compensation, performance management, referrals, complaints and employee allegations as it relates to sales practice risk.

Areas of Expertise

  • Operational Risk and Compliance
  • Enterprise Risk Management
  • Credit Risk
  • Risk Reporting
  • RCSAs

Industry Experience

  • Financial Services
  • Banking
  • Insurance
  • Brokerage

Education

  • MBA – Finance and Strategy, Execution, Valuation; DePaul University Kellstadt Graduate School of Business
  • B.S. – Marketing/Management, Siena College, Albany, NY

Professional Memberships & Certifications

  • Certified Anti-Money Laundering Specialist (ACAMS) Certification
  • Risk Management Association
  • Formal Credit Training Program