Head of Governance and Control at TD Bank (2023-01 – 2026-04)
- Drafted the Artificial Intelligence governance framework to ensure AI systems were developed and deployed ethically, safely and compliantly. Post implementation of the framework weekly reporting was developed for senior executives that included all AI tools in use and classify them by risk.
- Served as a partner within the business ensuring adherence to applicable regulatory requirements (financial crime, consumer protection, fair lending, privacy, and market conduct).
- Monitored and reported performance metrics and emerging risk trends through the Risk and Compliance Committee. The RCC created a culture of compliance and accountability among senior leaders at the bank.
- Ensured clear communication of risk to top level management by reporting on progress and raising key decisions and issues for resolution when needed.
- Coordinated the identification and assessment of compliance risk inherent in product and services through change risk assessments and privacy impact assessments. The CRA and PIA were also leveraged as tools to provide guidance on new business initiatives, product launches and system changes to ensure compliance risk were appropriately addressed.
- Consulted with the business leadership and second line compliance to design and implement effective controls and mitigation strategies.
- Supported regulatory exam readiness, issue remediation, and corrective action planning.
Head of Enterprise Regulatory Management at TD Bank (2018-08 – 2023-01)
- Championed a proactive approach to regulatory strategy by identifying and translating data management-related regulatory changes and trends into enterprise-wide action.
- Advised various business segments and corporate functions on leveraging risk and control programs to meet compliance and industry best practice expectations.
Financial Services Consultant at Deloitte Consulting (2014-12 – 2018-08)
- Responsible for the execution of a comprehensive BSA/AML regulatory program for a large US financial institution.
- Established, maintained and enhanced the Enterprise Risk Management program and framework including monitoring adherence to the bank's risk appetite statement and other change governance documents for a globally systemic important bank.
Staff Attorney at Sullivan and Cromwell (2010-01 – 2014-11)
- Represented a major financial institution during the Department of Justice and Securities and Exchange Commission's investigations involving collateral debt obligations that hinged on the performance of subprime residential mortgage-backed securities.
- Negotiated vendor agreements for my clients, and in doing so, worked closely with their information security and data security teams.
