Accomplished regulatory compliance and risk management professional in the financial services industry. Known for building, enhancing and implementing compliance and risk management frameworks to comply with internal standards and regulatory requirements. Extensive knowledge of domestic and international banking regulations, including but not limited to Basel Capital and Liquidity Regulations, Model Risk Guidance, Private Equity and Merchant Banking
Accomplished regulatory compliance and risk management professional in the financial services industry. Known for building, enhancing and implementing compliance and risk management frameworks to comply with internal standards and regulatory requirements. Extensive knowledge of domestic and international banking regulations, including but not limited to Basel Capital and Liquidity Regulations, Model Risk Guidance, Private Equity and Merchant Banking Rules, and numerous Commercial and Consumer Banking Laws and Regulations. Excellent interpersonal skills and demonstrated ability to establish productive relationships with a variety of constituents in the regulatory and banking industry. Strong ability to identify compliance and risk implications across numerous complex subject matters.
Specialties: Market Risk, Interest Rate Risk, Liquidity Risk, Credit Risk, Model Risk, Balance Sheet Management, Capital Management, Basel Capital Requirements, Operational Risk, Fair Value Accounting; Licensed CPA
SVP, Enterprise Model Risk Management Operations Executive @ Develop and execute a quality control framework in line with the corporate operational risk RCSA standards to effectively monitor and test the execution and sustainability of the firm’s model risk management program. Actively monitor regulatory changes, assess impacts to model risk management and work closely with the leadership team to address gaps where necessary. Effectively challenge regulatory issue remediation and provide status reporting to senior leadership. From 2013 to Present (2 years) SVP, Basel Market Risk Compliance Manager @ Collaborated with cross-functional Global Markets Risk Management and Enterprise Capital Management teams to influence direction, assess risks and outline implementation strategy to demonstrate compliance with the Basel 2.5 Market Risk Rule. Implemented enhancements to the Basel compliance program, including key control metrics, to independently monitor and test ongoing compliance with the Basel Market Risk Rule. Responsible for independently assessing and approving the completeness of actions taken by Global Markets Risk Management and Enterprise Capital Management to remediate regulatory identified issues. Managed Basel Market Risk Rule regulatory exams. From 2011 to 2013 (2 years) Charlotte, North Carolina AreaMarket and Liquidity Risk Team Leader @ Provided leadership and directed management to seven highly-skilled market and liquidity specialists responsible for examining a range of areas including Basel Market Risk, Interest Rate Risk, Liquidity Risk, and Private Equity. Led a Federal Reserve System Basel Liquidity Project Team established to improve the understanding of the effects of the proposed Basel III liquidity metrics on domestic large banking organizations, and where appropriate, offered suggestions to enhance domestic policy efforts. From 2010 to 2011 (1 year) Charlotte, North Carolina AreaRisk and Policy Advisor @ Built out a program and sustainable process around the Banking Supervision’s Risk Committee efforts to identify and address key risks facing supervised banks. Led cross-functional Risk Network that supports the Risk Committee’s objectives by providing direction on collaborative, technical projects initiated to assess risks and determine supervisory strategy. Briefed senior management on emerging issues in banking and financial markets. From 2008 to 2010 (2 years) Charlotte, North Carolina AreaDeputy Central Point of Contact @ Served as the Deputy to the Central Point of Contact (CPC) for a large, systemically important financial institution. Oversaw the development and execution of the supervisory program for the firm. Ensured supervisory assessments were comprehensive and focused on the firm’s most critical risks and issues. Provided backup and guidance to the Risk Coordinators covering credit, market, liquidity, operational, and compliance risks, and developed less senior team members. From 2005 to 2008 (3 years) Charlotte, North Carolina AreaMarket Risk Coordinator @ Served as the lead Capital Markets Specialist supervising and assessing a large financial institution’s interest rate risk, liquidity and trading market risk profile. Developed advanced interest rate risk expertise across a portfolio of large complex and regional banking organizations. Led examinations in the capital markets area and achieved broad knowledge about the spectrum of traded products and their associated risks, valuation approaches and control processes to develop and prioritize areas of supervisory focus. Assessed risk, capital, and accounting implications of new products and transactions. From 2002 to 2005 (3 years) Charlotte, North Carolina AreaSenior Financial Analyst @ Assessed the financial condition of a large financial institution by conducting in-depth reviews of its earnings, capital, liquidity, parent company viability and nonbank subsidiaries. Developed supervisory strategies and led supervisory activities, including on-site reviews and ongoing monitoring activities of the firm’s Corporate Finance and Private Equity areas. Served as the District’s key technical contact on private equity matters. From 2000 to 2002 (2 years) Charlotte, North Carolina Area
Bachelor's degree, Accounting @ Virginia Commonwealth University Diane Rose is skilled in: Interest Rate Risk Management, Liquidity Risk, Capital Adequacy, Market Risk, Capital Management, Financial Risk, Risk Management, Capital Markets, Credit Risk, Financial Institutions, Operational Risk, Operational Risk Management, Financial Analysis, Portfolio Management, Regulatory Affairs, Regulatory Compliance
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