- Created Enterprise Risk Management (“ERM”) functions for two global investment management organizations. The two organizations ($170B and $230B AUM respectively) sought the creation of firm-wide risk management functions with a focus on market, credit, liquidity, operational, regulatory, marketing and personnel risk. In both instances, dedicated teams of specialists were created to build and oversee comprehensive risk management programs. In addition, the teams provided expert advice and consultation to executive management, investment, trading, operational, compliance and legal professionals when necessary. Finally, risk professionals served as independent experts for external reporting to clients, consultants, regulators, and mutual fund boards of directors.
- Served as trusted resource for regulatory outreach and education related to securities regulation focused on liquidity risk management, derivative risk management, and valuation. As Chief Risk Officer, I coordinated with internal risk, compliance, and legal staff in meeting with regulatory personnel during the development of new securities law. The engagements included meetings with US-based rule making staff focused on giving expert advice related to the trading of liquid and illiquid securities, and the management and pricing of derivative instruments. In addition, helped author comment letters to regulatory staff providing expert opinions in support of specific provisions of contemplated regulation.
- Gave expert advice to investment related organizations including the Investment Company Institute (“ICI”), the Securities Industry and Financial Markets Association (“SIFMA”) and its members. Participate in risk, valuation, and investment related committees sharing proven expertise across a multitude of subjects. Sought after subject matter expert called upon for speaking engagements at conferences and focused industry group committee discussions.
- Served as trusted advisor to executive management in the development of business and technology strategy development and implementation, operational reengineering, merger due diligence and integration. By leveraging deep business and technology strategy experience, provided short-and long-term recommendations related to potential acquisition targets, merger integration strategies across product types and regions, and coordinated with external legal advisors and investment bankers during due diligence and acquisition exercises.