Joseph Swipes

Results oriented operational risk management executive with 30 years of industry and 20 years with of leadership experience developing, implementing and leading business and IT risk management programs for large global banking, broker/dealer and financial institutions.

Extensive experience assessing the risks and evaluating control environments associated with the Consumer and Commercial Banking, Treasury Services, Credit Cards, Global Equities and Global Markets lines of business. Excellent qualifications working in both a leadership and individual contributor capacity. Extensive experience presenting to all levels within an organization including Executive Management.

I built my career working in an operational and enterprise risk management capacity for global and regional financial institutions as both a people leader and as an individual contributor. I have a passion for working collaboratively with my business partners to identify and reduce risk. My areas of expertise include Risk and Control Self-Assessment (RCSA), Control Testing, Issue Management, Key Risk Indicator (KRI) development, reporting and analysis, Business Continuity, Operational Loss analysis along with corporate policy development and implementation.

I have extensive experience in both operational processes and Information Technology. My knowledge of workflows and regulations spans multiple business verticals including community and commercial banking, global equities, global markets, foreign exchange and investment banking.

Throughout my career, I have identified many unmitigated critical and high risks, significantly reduced the number of operational issues across multiple business units, redesigned control testing programs, identified non-compliance with regulatory requirements, provided analysis and reporting to executive management which was very well received along with other items that led to a significant reduction in risk. I’ve spent many years working in both the first and second line of defense capacity.

Bachelor of Science - Accounting and Finance June 1993 WILMINGTON UNIVERSITY, New Castle, DE.