Anny Tang
Westfield,NJ
Summary
Professional with 20 years of experience in global financial services, specializing in regulatory compliance and change management. Proven ability to drive transformative change through effective governance and process optimization. Strong stakeholder management skills facilitate collaboration across multidisciplinary teams to achieve strategic goals. Demonstrated leadership in developing performance-oriented strategies that meet organizational demands.
Overview
19
19
years of professional experience
1
1
Certification
Work History
Executive Director — Compliance Regulatory Remediation
WELLS FARGO
New York, NY
09.2019 - Current
- Responsible for overseeing the overall governance and reporting for Compliance remediation efforts, monitoring execution process and closure activities, providing challenge on regulatory deliverables and responses, including Compliance examinations, advising on regulatory connectivity and regulatory impact assessments, and acting as a liaison with Internal Audit.
- Monitor and independently challenge the reporting, escalation, and timely remediation of regulatory matters regarding compliance risk management; conduct impact assessments for change events to identify impacts to existing regulatory commitments, provide direction to the business on developing corrective action plans and effectively managing regulatory change; and report findings and make recommendations to senior management and to appropriate committees.
- Establish a strong governance process; develop and drive the remediation reporting, governance committee and forums decision making; facilitate discussion with key stakeholders including C-level and regulators; manage the compliance-driven initiatives including change management, root cause analysis, impact analysis, stakeholder engagement that drives more timely and nimble decision-making for client and senior management.
Business Management Lead — Chief Controls Office
BARCLAYS
New York, NY
01.2018 - 09.2019
- Led the business management team in supporting the Head of BBPLC Chief Controls Office in the implementation and maintenance of executive oversight on the control environment on a front to back basis across BBPLC.
- Developed and drove the strategic communication plan across BBPLC which includes three regional control teams and six business unit control teams along with a sustainable management process; developed reporting that supports senior management and governance committee and forums decision making; designed and produced effective presentations that facilitated discussions with key stakeholders including C-level and regulators.
Head of PMO — Remediation Office
BARCLAYS
New York, NY
12.2017 - 01.2018
- Handpicked to lead the PMO team in a unique organization dedicated to conducting multiple, multi-year look back assessments and resolving regulatory compliance issues across the Wealth business.
- Led a robust governance process; synthesize complex information into insightful communications, provide recommendations for courses of action, and effectively manage stakeholders, thereby enabling committees to effectively weigh options and make well-informed decisions.
- Established a proactive planning process that ensures a smooth and efficient handover to Barclays of all materials, records, vendor relationships, processes, and information at the conclusion of remediation efforts.
Project Manager — Wind Down Office
BARCLAYS
New York, NY
12.2015 - 12.2017
- Tapped to direct cross-functional project management office (PMO) tasks to wind down Wealth Americas division within one year. Provide best practices through proper governance, adherence to standards and use of effective tools.
- Led the closure of 12 Wealth Americas branches, relocation of 300+ employees and consolidation of remaining resources into one central location as part of division’s sale to Stifel.
- Initiated a project to minimize down-stream impact of terminating operational dependencies on Pershing as part of wind down. Sixteen impacted work streams included technology, operations, reference data, financial crime, regulatory reporting and compliance.
- Provided business oversight and issue resolution on technology strategy to decommissioned and archived data for 55 remaining complex wealth services within one year.
Project Manager — Business Risk & Control
BARCLAYS
New York, NY
02.2014 - 12.2015
- Led the Program Coordination Office and project management for multiple work streams within Control Optimization Program (COP) ($10M operating budget) to meet regulatory requirements and ensure that firm’s controls enable effective risk management. Involved in all stages of COP from assessment through delivery, verification and reporting.
- Led and managed multiple work streams including Financial Crime/AML, Compliance, Legal and Technology to build out controls to align with their regulatory and business obligations and work closely with the Accountable Executive on end-to-end Audit/Compliance reviews and their annual Risk and Control Self-Assessment (RCSA).
- Managed the review of trade data issues across all products with a focus on assessment and remediation for current state resulting in the implementation of T+1 controls and remediation with no client harm found.
- Handpicked by COO to manage 2014 Third-Party Assurance (TPA) exams on Barclays’ custody and alternative investment business. Brought needed structure to the process and delivered project within established milestones.
- Translated business requirements into reporting specifications that developed COP reports and funneled information to easy-to-understand dashboards from multiple data sources. Enabled C-level to keep a pulse on project health, revenue expectations and strategic analysis.
Financial Analyst — Technology Portfolio Management Office
BARCLAYS
New York, NY
09.2012 - 02.2014
- Managed financial reporting for global tech portfolio ($200M annual spend). Supported budget-planning process to determine annual projected book of work and potential funded and non-funded budget, as well as implementation of governance routines.
- Designed and introduced scalable, multi-dimensional financial modeling database that captured reporting requirements, improved data quality and standardized financial management for technology book of work. Database enables more efficient monthly and annual decision-making on technology portfolio budget.
Senior Consultant
CAPCO
New York, NY
01.2012 - 08.2012
- Managed financials, PMO implementation, and IT project support for the Uniform Loan Delivery Dataset Project at a top mortgage provider. Trained six project managers within a cross-functional team of 30+ resources at peak within five work streams.
- Financial Manager: Led all aspects of financial management, from developing operating and capital budgets to reporting financial results and resource allocations. Streamlined and standardized financial reporting process, which includes creation of dashboards and metrics to drive timely and nimble decision-making for client.
- IT Project Manager: Oversaw development integration effort, influenced decision making and consistently achieved all milestones on time, with no issues and within budget.
Consultant
CAPCO
New York, NY
07.2010 - 08.2012
- Delivered financial analysis, data management and risk assessment consulting services to a leading mortgage provider, a mortgage-backed securities organization and a multinational diversified financial services firm.
- Lead Financial Analyst: Enhanced financial reporting, budgeting and forecasting process to transform client’s $30M+ portfolio that included 100+ team members across more than five cost centers into actionable information. Designed automated, multi-dimensional forecasting model to facilitate standardized financial management.
- Process Improvement Leader: Defined methodology that assisted client in regulatory remediation for investors, delivering reimbursement of $10M in erroneous fee charges for 5,000 investors.
Senior Portfolio Analyst
PILOT ADVISORS, LP
New York, NY
01.2008 - 07.2010
- Promoted to monitor $700M client portfolio, develop asset allocation strategies to optimize performance and supervise reporting process for 20+ clients’ trading relationships with four brokerages. Analyzed market movements.
Portfolio Administrator
PILOT ADVISORS, LP
New York, NY
09.2006 - 01.2008
- Reconciled investment portfolios, including auditing accounting data for accuracy and resolution of holdings/transactional discrepancies. Provided client management support on processing wires and transfers.
Education
BBA - Finance & Investment
Baruch College
NY08-2006
Skills
- Compliance remediation
- Regulatory impact assessments
- Governance development
- Stakeholder engagement
- Root cause analysis
- Risk management
- Change management
- Project management
- Business management
- Program management
Certification
- Project Management Professional, Project Management Institute
- Six Sigma, Cornell University
- Certified Regulatory Compliance Manager (CRCM), American Bankers Associations
Timeline
Executive Director — Compliance Regulatory Remediation
WELLS FARGO
09.2019 - Current
Business Management Lead — Chief Controls Office
BARCLAYS
01.2018 - 09.2019
Head of PMO — Remediation Office
BARCLAYS
12.2017 - 01.2018
Project Manager — Wind Down Office
BARCLAYS
12.2015 - 12.2017
Project Manager — Business Risk & Control
BARCLAYS
02.2014 - 12.2015
Financial Analyst — Technology Portfolio Management Office
BARCLAYS
09.2012 - 02.2014
Senior Consultant
CAPCO
01.2012 - 08.2012
Consultant
CAPCO
07.2010 - 08.2012
Senior Portfolio Analyst
PILOT ADVISORS, LP
01.2008 - 07.2010
Portfolio Administrator
PILOT ADVISORS, LP
09.2006 - 01.2008
BBA - Finance & Investment
Baruch College