Corinthian Thomas
Frisco Area,TX
Summary
Highly driven Compliance & Risk Management professional with 20+ years of experience working with executive teams to examine, implement, or enhance risk management practices; and adherence to regulatory compliance requirements. Successful leader with a passion for excellence and professional performance.
Overview
25
25
years of professional experience
Work History
Vice President-AM Global Control Manager
JP Morgan Investment Bank
10.2019 - Current
- Asset Wealth Management Global AML/KYC, RFP & Client Report/ Latin Amer. Asset Management (AM) is a leading investment manager of choice for institutions, financial intermediaries and individual investors, worldwide
- Serve as the Control Manager Globally for AM; ensuring a broad range of core and alternative strategies, and investment professionals operating in multiple regions are meeting all firmwide / regulatory program requirements.
- I managed Global Client Reporting, RFP, AML/KYC, and Latin America activities were my duties included:
- Manage control-related activities, including risk event data occurrences, and new business initiatives and provide control related due diligence to business units to foster a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols
- Partner effectively with colleagues across the firm, business, operations management, legal, compliance, risk, audit, regulators and technology control functions to drive consistent and rigorous operational risk practices and Control programs including: control committees, risk mitigation, key risk indicators, control design and performance evaluation
- Establish control governance and reporting to identify meaningful metrics to inform on health of operational risk and control environment; escalate control deficiencies based on key reporting indicators; and manage control committees and forums.
Vice President-Elevated Issues Validation Group
JP Morgan Investment Bank
09.2018 - 10.2019
- AWM Control Management
- EIVG specialized team was formed to address the most critical, complexed, and elevated issues that were either identified from internal audits, external examiners, federal regulators, or internal business
- This team was responsible for identifying issue exposure/gaps, creating test plan validation, and administrating final assessments for issue closure
- During this time I served as the Compliance and Risk lead of the team where I validated all issue closure related to rules, regulation, and laws.
Vice President Ops Risk Manager
JPMorgan Chase, JPMorgan Chase & Co
01.2016 - 09.2018
- Responsible for risk oversight & governance to drive awareness of emerging trends, inadequate/insufficient control effectiveness, and issues of non-compliance
- Assist in the development and execution of a complex Operational Risk program to manage risk exposure in a dynamic & evolving market within Consumer & Commercial Banking
- Designed & Administrated Targeted Risk Assessments (TRA) that have led to multiple business enhancements and process improvements
- Advised LOB Executive Management on strategic initiatives that have led to implementation of preventive controls and audit readiness reporting with successful results
- Have the ability to work both independently and as a core team member, engaging line of defense and functional support colleagues across multiple disciplines (e.g. Technology, Risk Management, Legal, Controls, etc.), exhibiting strong relationship management and negotiation skills, providing creditable challenges during implementation
Head of Originations Compliance
JPMorgan Chase
12.2015 - 01.2017
- Manage a team of Compliance Officers that provides day to day regulatory support within Mortgage Banking Originations (HELOC, Retail & Consumer Direct)
- Analyzes and manage compliance risks associated with all business initiatives, taking into account the potential penalties, operational risks, scope and potential regulatory exposure
- Reviews and assesses the adequacy of system specifications, operating procedures, workflows, and training materials to meet the business objectives
- Develop operational plans to provide constructive compliance advice, influence the process and development of the project and find creative ways for the business to meet its goals and objectives without compromising compliance controls
- Advise Compliance Testing & Internal Audit teams with the development and tracking of corrective action plans related to regulatory exposure
- Provides Compliance review & approval on all agency or regulatory examinations (CFPB, OCC, Rating Agencies, ect) that includes initial review of examination materials to ensure responses are complete and accurate
- Responsible for the regulatory development of Mortgage Digital Mortgage.
Vice President-Compliance Manager
JPMorgan Chase
06.2014 - 12.2015
- Remediation Management-MB Consent Orders
- Developed an overarching Compliance Oversight/Governance program for all Mortgage Banking (Origination, Servicing, and Default)
- Assesses all Remediation cases to provide severity rankings for compliance risk relative to all federal compliance regulations
- Perform 3rd party vendor onsite risk assessments to identify regulation adherence with customer facing processes to evaluate internal oversight/governance and management monitoring routines.
Vice President Compliance & Risk Ops
Retreat Capital Management
02.2012 - 06.2014
- Manage small to large scale initiatives including process design, reporting development and implementation, risk assessment, regulatory impacts
- Perform 3rd party vendor onsite risk assessments and manage contingency plans to resolve process breakdown, audit findings, and controls gaps.
Senior Audit Manager
Morgan Stanley
09.2010 - 02.2012
- Manager of Internal Audit, reporting to the Executive Director of Internal Audit NY, that oversaw Saxon Mortgage Servicing, a $65 billion subsidiary of Morgan Stanley (MS)
- Managed Internal Audit (Compliance) teams in all phases of the planning and execution of internal audits specific to the US residential mortgage banking.
Assistant Vice President–Business Solution, Sr, Sr. Manager
Bear Stearns & Co
07.2006 - 09.2010
- Business and Compliance Reg AB, Researched, organized, and presented evidential matter of compliance regarding Regulations A/B (i.e Annual 10K, monthly 10D, 8K and monthly 1122 procedures) for executive approval.
AVP /Compliance Officer, Fraud/Regulatory Manager
Citigroup
05.1999 - 07.2006
- (including Auto & Credit Card)
Education
Bachelor of Science - Criminology
University of North Texas
Denton, TXBachelor of Science - Political Science
Texas A&M University
College Station, TXSkills
- Procedural Guidance
- Operational Risk
- Audit
- Regulatory Compliance
- Customer Remediation
- Vendor Management
- Strategic Initiatives
- Exam Management/MRA Resolution
- Project Management
Timeline
Vice President-AM Global Control Manager
JP Morgan Investment Bank
10.2019 - Current
Vice President-Elevated Issues Validation Group
JP Morgan Investment Bank
09.2018 - 10.2019
Vice President Ops Risk Manager
JPMorgan Chase, JPMorgan Chase & Co
01.2016 - 09.2018
Head of Originations Compliance
JPMorgan Chase
12.2015 - 01.2017
Vice President-Compliance Manager
JPMorgan Chase
06.2014 - 12.2015
Vice President Compliance & Risk Ops
Retreat Capital Management
02.2012 - 06.2014
Senior Audit Manager
Morgan Stanley
09.2010 - 02.2012
Assistant Vice President–Business Solution, Sr, Sr. Manager
Bear Stearns & Co
07.2006 - 09.2010
AVP /Compliance Officer, Fraud/Regulatory Manager
Citigroup
05.1999 - 07.2006
Bachelor of Science - Criminology
University of North Texas
Bachelor of Science - Political Science
Texas A&M University
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