FINANCIAL SERVICES CASE STUDIES
Project:
Develop and lead a global compliance risk management practice group in over 50 countries for a global financial institution
Business Results:
Effectively implemented the practice through Investment Banking, Capital Markets, Asset Management, Private Wealth Management and Private Banking
Project:
For a private equity firm ($50B), develop and implement Sarbanes-Oxley compliance, internal controls, risk management capabilities, information security procedures and quality assurance standards
Business Results:
Completed all with “no deficiency” audit status from KPMG and PWC
Project:
Identify and develop emerging international governance requirements
Business Results:
Pioneered and implemented a highly visible model validation function to comply with complex Basel II international banking regulations
Project:
Institute a risk management culture required to function effectively in today’s financial environment
Business Results:
Brought the organization into compliance with Sarbanes Oxley, FFIEC and Federal Reserve requirements