Jeff is a Director in Protiviti’s Financial Services Risk and Compliance practice. He is an experienced manager adept at identifying gaps and exposure within enterprise risk management functions as well as developing and implementing strong systems of checks and balances. His project experience includes building and enhancing global risk management programs, risk assessments and regulatory readiness initiatives.
Jeff previously worked at GE Capital managing Compliance monitoring and reporting, and supported initiatives related to increased regulatory oversight. Prior to this, Jeff worked in the Financial Services Risk Management practices at EY and Capco where he advised on a wide range of complex regulatory and compliance matters. Before entering consulting, Jeff worked in FINRA’s Market Regulation department.
- Global Operating Model Remediation- Led review of a top 5 bank’s front-line management of international activities. Performed a gap analysis, designed detailed remediation plans and implemented front-line roles, responsibilities and operating models for lines of business operating in EMEA, APAC and Canada/Lat Am. Review included the design of operating level procedures, service level agreements and staffing assessments to align with the bank’s risk management framework and corresponding enterprise requirements. Developed documentation to evidence and demonstrate sustainability to audit and regulatory stakeholders and built a change management program to support evolving line of business organizational construct.
- Control Assessment- Led review of a top 5 US bank’s sales practices risk management program, with a focus on corporate banking products. Evaluated account opening processes, targeting and marketing practices and account servicing practices to assess operating effectiveness and design of controls related to sales practice risk management. The project also 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.
- Monitoring Framework Design- Led the development and implementation of a global monitoring program for an international corporate and investment bank to meet regulatory requirements; established a governance model for newly enhanced process designed to support the changes in BAU; drafted procedure document to support the program.
- Program Enhancement- Developed, managed and defined the governance structure of a PMO to support a Written Agreement Action Plan. Created supporting project plans, developed and produced board level status reports, and chaired weekly meeting with senior management. Reported to the bank’s Chief Risk Officer and General Counsel.
- Quality Assurance Design- US team lead responsible for developing requirements for a workflow tool to support the KYC QA function of a global bank’s client on-boarding operations. Responsible for all PMO activities including weekly status reporting, budget and driving milestones/action items to completion.
- Transaction Monitoring Implementation- Project manager for the implementation of Actimize to monitor the US Rates desk of a Canadian bank to satisfy primary dealer application requirements; completed business requirements including detection scenarios to monitor trading activity.
AREAS OF EXPERTISE
- Enterprise Risk Management
- Regulatory Compliance
- Project Management
- BA & MA- Fairfield University
- MBA- American University, Kogod School of Business
PROFESSIONAL MEMBERSHIPS & CERTIFICATIONS
- Certified Regulatory Compliance Professional (CRCP)- University of Pennsylvania Wharton School of Business/FINRA