Over 20 years experience in international financial services, performing strategic consulting in the areas of new product development, process improvement, customer acquisition and market strategy. Sample engagements include:
- Developed product development process model and product management operating model for a large US investment manager. Designed the models to ensure a disciplined approach to align product portfolios to strategic objectives and business goals.
- Co-directed a strategic analysis of a Regional Bank’s Wealth Management business line. Prepared an evaluation of the bank’s private wealth competencies, and recommended a new organizational, sales and client management business model.
- Assisted a prominent international NGO with an audit of their $23 billion pension fund. Conducted a review of all investment related activities and prepared a set of best practice recommendations designed to improve the investment and operating process controls.
- Redesigned global risk management process for a multinational financial firm. Directly responsible for preparing the Southeast Asian business case – which encompassed investment and trading practices, financial reporting, and legal and regulatory requirements in Hong Kong, Singapore, and Manila.
- Directed several market research and benchmarking studies for senior management in New York and London that focused on new product opportunities, customer acquisition and retention strategies in the Wealth Management and Global Custody industries.
Holds an MBA from the University of Pittsburgh Graduate School of Business, and a BA from Bethany College.
Over 20 years experience in financial services, specializing in process and organizational transformation, technology strategy and implementation, and project management. Sample engagements include:
- New Product Launch – Defined the operating model and detailed process flows required to support the launch of 2 new alternative investment funds
- Process Redesign – Re-engineering client administration processes supporting the CDO business of a major financial institution. Defined near term and longer term recommendations based on technology enhancements required.
- Operational Risk Review – Conducted a comprehensive review of a major bank’s Securities Lending operations. Reviewed entire workflow in detail; identified operational and financial risk issues; developed control procedures to mitigate the risks.
- New Process Design – Compiled business requirements, developed detailed functional specs, and constructed new process model for an investment firm to support new asset allocation investment product. Advised client during implementation.
- Securities Lending and Custody RFP – Assisted a large investment management firm to develop an RFP for custody and securities lending service providers, with the objective to reduce overall fees and to improve business services received.
Holds an MBA from Northwestern University (Kellogg), BS in Industrial Engineering from University of the Philippines, and Certificate in Multimedia Technology from New York University.
Results-oriented, dynamic self-starter with extensive experience and knowledge in the financial services industry, excelling in risk and compliance management, business analysis and problem solving. Sample accomplishments include:
- Program manager for AML enhancements in support of Federal Reserve examination at US private bank. Responsibilities included oversight of project team and regular reporting to the Bank’s senior level Steering Committee members. Project scope included AML business risk assessment, implementation of enhancements to existing surveillance rules and monitoring practices, and documentation and presentation of work papers to the Bank’s examiners.
- Project manager supporting Global Head of Compliance at international private wealth management firm. Conducted feasibility study for standardizing Know Your Client (KYC) practices across global sales regions. Directed the development and implementation of global KYC policies and procedures with Compliance Heads and Business Managers in each region.
- Interim Head of AML Compliance for a US private bank. Responsibilities included: oversight of AML transaction surveillance activities, review and approval of Know Your Client (KYC) documentation for client adoption, OFAC screening and SAR drafting processes, AML advisory services to the business line, and update of AML policies and procedures.
- Developed business case for middle and back office outsourcing for the COO of a European investment management firm. Provided detailed cost/benefit analysis, identification of strategic drivers, and assessment of outsourcing scenarios. Scanned the marketplace for outsourcing services and identified top-tier providers. Managed a “round-robin” RFP process to facilitate selection of the best service provider. Analyzed and ranked capabilities and pricing of each provider and recommended the firm selected by the client.
- Employed by Aetna Health Plans in Technology, Internal Consulting, and Operations
Holds a Master of Business Administration from the Yale University. School of Management with a dual concentration in Operations Management and Marketing, and a Bachelor of Business Administration in Management Information Systems from the University of Notre Dame, College of Business.