Alonso Guzman
Chicago,IL
Summary
Versatile operations risk specialist with a proven track record at Discover Financial Services, excelling in risk management and compliance. Adept at control design and governance, I led successful validation efforts, ensuring alignment with regulatory standards. Strong leadership and collaboration skills drive my commitment to process improvement and sustainable solutions.
Overview
13
13
years of professional experience
1
1
Certification
Work History
Lead Operations Risk Oversight Compliance Specialist
Discover Financial Services
Riverwoods, USA
11.2024 - Current
- Perform a quality review of testing workpapers to ensure that execution and documentation meet the Control Testing Methodology and testing quality expectations.
- Evaluate the design of new controls introduced as part of issue resolutions, ensuring their adequacy and effectiveness in preventing the recurrence of identified problems.
- Conduct an effective challenge of existing controls as part of the RCSA process to verify that the tester followed internal testing procedures.
- Validate the efforts for fixes (eProb) implemented as part of the issue management process, ensuring alignment with regulatory requirements and internal policies.
Lead Operational Risk & Internal Control Specialist
Discover Financial Services (Student Loans)
Riverwoods, USA
05.2023 - 11.2024
- Collaborate closely with issue owners and problem managers to gather necessary evidence, facilitating a comprehensive assessment of the implemented solutions.
- Evaluate the design of new controls introduced as part of issue resolutions, ensuring their adequacy and effectiveness in preventing the recurrence of identified problems.
- Conduct thorough reviews of existing controls to verify that they are aligned with industry best practices, and regulatory guidelines.
- Work collaboratively with cross-functional teams to gain insights into underlying problems, and provide recommendations for sustainable solutions.
- Act as a primary point of contact between the Validations team and issue owners, fostering effective communication and collaboration.
Quality Analyst I
JPMorgan Chase (Commercial Bank)
Chicago, USA
11.2021 - 05.2023
- Led the creation, development, and maintenance of a data dashboard for the QC team to enable visibility of volume, density, and other metrics to establish an action plan to address a backlog.
- Contributed extensively to the remodeling of the work assignment process by creating a path to close the Backlog Action Plan ahead of schedule.
- Charted the creation and preparation of interactive reports combining power queries and pivot tables through employment of Excel for upper management.
- Orchestrated all elements of the implementation of a revamped work assignment process for the QC Dept. through utilization of Microsoft Teams, improving the ability to pivot work between people.
- Furnished training, coaching, and mentoring to a new group of 5 QC Specialists based in Bangalore, India.
Quality Assurance I-II/Quality Control I-IV
JPMorgan Chase (Commercial Bank)
Chicago, USA
01.2012 - 11.2021
- Received multiple promotions to administer quality processes and guarantee accuracy and efficiency in new and amended and restated deals to meet regulatory guidelines, company policies, and client goals.
- Searched for, identified, and reported non-compliances and conducted the evaluation of credit agreements and related items.
- Played a key role by pinpointing the root causes of trends by administering targeted reviews to ensure success.
- Conducted the evaluation and assessment of legal credit agreements for syndicated international transactions to guarantee alignment with internal, Federal, and international regulations, including HMDA, AMI, KYC, FinCEN, BSA, OFAC, and SAR.
Education
Bachelor of Business Administration -
Skills
- Risk management and compliance
- Leadership and collaboration
- Control design and governance
- Solutions development
- Project management
- Root cause analysis and issue management
- Change management
- Process improvement
- Problem solving
- Microsoft Office Suite
- LoanIQ, Archer, and ServiceNow
Certification
- Certificate in Applied Project Management
- Certificate in Data Analytics
- Certificate in Business Analytics
- Certificate in Lean Six Sigma Green Belt
Languages
Spanish
Native/ Bilingual
Timeline
Lead Operations Risk Oversight Compliance Specialist
Discover Financial Services
11.2024 - Current
Lead Operational Risk & Internal Control Specialist
Discover Financial Services (Student Loans)
05.2023 - 11.2024
Quality Analyst I
JPMorgan Chase (Commercial Bank)
11.2021 - 05.2023
Quality Assurance I-II/Quality Control I-IV
JPMorgan Chase (Commercial Bank)
01.2012 - 11.2021
Bachelor of Business Administration -
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