DARIUS MADDOX
Newark,NJ
Summary
An enterprising operations leader and compliance and risk project manager with a proven track record of success exceeding goals while transforming operations. Possesses robust business unit experience within a Fortune 100 company. A confirmed strategist and critical thinker with progressive corporate leadership experience. Builds and sustains strong internal relationships. Leads and develops strong teams and drives culture change. Implements creative and innovative solutions to achieve corporate goals. Introduces best practices and processes to improve underperforming operations, drives revenue increase, and grows market share. Introduces and spearheads strategic initiatives in compliance with regulatory requirements. Effective in leading both within centralized and decentralized organizational structures. Skilled in strategy development and execution. Results-oriented leader with experience in budgets. Self-motivated and effective communicator with the ability to influence change. Implements process re-engineering in achieving corporate mission.
Overview
12
12
years of professional experience
Work History
Regulatory Affairs Examination and Monitoring Lead
Fannie Mae
Washington D.C.
09.2025 - 02.2026
- Coordinated end-to-end regulatory examinations, supervisory reviews, and monitoring engagements led by FHFA and other oversight bodies. Define timelines, owners, and success metrics for remediation activities, and track them to closure.
- Managed intake, tracking, and delivery of regulatory requests, ensuring completeness, accuracy, and alignment with internal standards.
- Monitored regulatory findings, supervisory concerns, and remediation commitments to ensure timely closure and sustained compliance.
- Supported risk assessments by identifying emerging regulatory themes and potential areas of supervisory focus.
- Partnered with Legal, Compliance, Risk Management, and business units to gather documentation, validate responses, and prepare subject-matter experts for regulatory interactions
- Coordinated meetings, prepared talking points, and ensured completion of follow-up actions to facilitate effective supervisory engagement.
- Maintained examination workpapers, response packages, and tracking dashboards to ensure audit-ready documentation and support regulatory responses.
- Streamlined examination workflows, enhanced documentation quality, and strengthened internal controls to improve regulatory compliance processes.
- Contributed to the development of standardized templates, guidance materials, and best practices for regulatory engagement.
Consumer Controls Audit Project Manager (Temporary contract)
American Express
New York, NY
07.2025 - 09.2025
- Audit and Regulatory Exam Preparedness by providing evidence of assessments, action plans, and remediation efforts.
- Define timelines, owners, and success metrics for remediation activities, and track them to closure.
- Lead a team of analysts to identify gaps or areas of concern and recommend corrective action plans. Prepare detailed assessment reports with findings, gap summaries, and risk implications.
- Review and assess existing policies, procedures, and workflows against internal standards and external regulatory requirements
- Conduct surveillance and monitoring activities to ensure ongoing compliance with applicable laws and internal policies.
- Supported execution of compliance risk assessments by analyzing regulatory/compliance risks and evaluating control effectiveness to ensure risk mitigation.
- Provided periodic audit status updates and contributed to internal reporting and tracking for enhanced visibility into compliance status.
- Develop effective relationships within Compliance and with key stakeholders across the organization.
- Support the establishment and/or enhancement of policies and procedures as well as their implementation.
- Organized BAU forums to gather results of regulatory controls, internal audits, industry insights, and regulatory guidance, delivering comprehensive updates to TLS management on compliance improvements and associated risks.
Associate Director of Regulatory Affairs
UBS
Weehawken, NJ
07.2022 - 06.2024
- Led and coordinated regulatory examination activities involving FINRA, the SEC, and the OCC, partnering with Regulatory Affairs, Compliance, Legal, Risk, and business stakeholders to manage examination requests, facilitate information gathering, oversee submission quality, and support timely, accurate responses to regulatory inquiries.
- Managed the end-to-end coordination of regulatory requests, examinations, and ad hoc inquiries, including quality assurance of regulatory submissions, tracking examination findings, monitoring remediation commitments, and reporting progress and outstanding issues to senior management and governance committees.
- Coordinated end-to-end regulatory requests, examinations, and ad hoc inquiries, ensuring quality assurance of regulatory submissions, tracking examination findings, monitoring remediation commitments, and reporting progress and outstanding issues to senior management and governance committees.
- Prepared executive-level briefing materials, presentations, and talking points for UBS senior management ahead of regulatory meetings and examinations, translating complex regulatory matters, risk exposures, and examination developments into clear, concise, and actionable insights.
- Enhanced inventory of regulatory deliverables using internal data repositories and reporting tools, including SORT, by coordinating with accountable business owners to validate data, address deficiencies, establish remediation timelines, and ensure completeness and accuracy of regulatory reporting.
- Analyzed regulatory monitoring results, examination trends, deliverable metrics, and recurring issues to identify emerging risks, assess potential control weaknesses, and enhance management reporting, monitoring processes, and regulatory engagement practices.
- Reported and escalated material compliance and operational risks associated with governance, risk, and compliance (GRC), ensuring communication of significant issues, control deficiencies, and remediation delays to appropriate levels of management.
- Interpreted regulatory reporting requirements and collaborated with the Accounting Policy Group to evaluate Federal Reserve reporting instructions, clarify reporting expectations, and mitigate regulatory reporting risk through consistent interpretation and application of applicable requirements.
Associate Financial Services Regulatory and Compliance Risk| OFFICER
KPMG
New York, NY
06.2021 - 07.2022
- Identified regulatory requirements and conducted related analysis creating or revising regulatory standards, policies, and procedures; monitoring regulatory adherence; and reporting on regulatory efforts and programs and validating reviewing regulatory programs and content.
- Managed and directed all aspects of regulatory exams to ensure consistent exam practices, successful execution, and reduction of risk exposure.
- Develop and maintain lasting relationships with clients and transfer our team's knowledge to clients
- Identified regulatory requirements and conducted related analysis creating or revising regulatory standards, policies, and procedures; monitoring regulatory adherence; and reporting on regulatory efforts and programs and Validated and reviewed regulatory programs and content.
- Assessed impacts of implementing new regulations and statutes, including necessary notifications, changes, and training.
- Performed gap analysis and data remediation for client's rule-specific compliance program, contributing to development of a comprehensive controls environment for relevant BAU processes.
- Managed and directed all aspects of regulatory exams to ensure consistent practices and successful execution, minimizing risk exposure.
- Develop and maintain lasting relationship with clients and transfer our team's knowledge to clients
EAC Compliance and Operational Risk | OFFICER
Bank of America
Charlotte, NC
02.2020 - 06.2021
- Prepared monthly GBAM State of Compliance and Operational Risk Reports (SCORs) for senior leaders and regulatory agencies, and quarterly GBAM submissions to ensure informed decision-making.
- Assess compliance and operational risks, and review and challenge the FLU/CFs' Risk & Control Self-Assessments (RCSA).
- Prepare monthly GBAM State of Compliance and Operational Risk Reports (SCORs) for senior leaders and regulatory agencies, and quarterly GBAM submissions.
- Contributed to the creation of ad hoc GBAM reports, enhancing oversight of International Compliance and Operational Risk.
- Assisted in developing reporting inventory and justifying reporting across GBAM and International to enhance clarity and compliance.
- Provide compliance support, advice, and guidance to the CCO of GBAM and the GBM Global Markets businesses in connection with Title VII (swap dealing activities) of the Dodd.
- Maintain regulatory inventory, and update relevant policies to ensure compliance with regulatory requirements for FLU/CF.
- Monitor and test coverage plans and related metrics, assess the effectiveness of front-line unit, and control function compliance and operational risk controls.
- Monitored and tested coverage plans and metrics, assessing effectiveness of front-line unit and control function compliance and operational risk controls to ensure regulatory adherence.
- Perform project management for various initiatives, oversee GBAM Records Management, and lead records retention desktop procedures for the Risk Group.
- Serve as Project Coordinator for Highly Restrictive Confidential Information (HRCI) Remediation.
- Assist in preparation of materials and support ad hoc initiatives and regular routines for the Office of the CCO, including 4530(b) committee obligations.
Product Pricing Specialist
Bank of America
Charlotte, NC
11.2018 - 02.2020
- Provided refund and fees analysis visibility to regional channel leaders and partnered with channel leaders and operation business units to define business requirements.
- Enhanced exception reporting processes, produced accurate reports, and facilitated rate visibility.
- Delivered refund and fees analysis to regional channel leaders, collaborating with them and operations business units to define business requirements.
- Minimized risk and business continuity issues while supporting Legal, Compliance, and Risk functions.
- Streamlined exception reporting processes, generating accurate reports and improving rate visibility.
- Reduced risk and business continuity occurrences while supporting Legal, Compliance, and Risk.
- Assisted with full lifecycle projects pertaining to the bank's expansion in Kentucky, product discontinuations, and termination of business advantage products from GF rate sheets.
Operations Analyst
Bank of America
Charlotte, NC
05.2016 - 11.2018
- Maintained Straight Through Processing (STP) of Bank of America's trade process.
- Developed standard operating procedures and document workflows, addressing funding issues and resolving position breaks for DTC, FED, and Citi reconciliation reports.
- Developed standard operating procedures and document workflows, and improved funding and root caused position breaks for DTC, FED, and Citi reconciliation reports.
- Led operations for the Depository Trust Corporation account, overseeing team performance and process management.
- Supervised International Trade Capture team of 4, ensuring accurate processing and settlement of international trade positions.
HR BPO Financial Representative
Aon Hewitt, Discover Financial Services
Charlotte, NC
01.2014 - 01.2015
- Established customer relationships, resolved issues with 401(k) loans, and facilitated 401(k) rollovers and distributions.
- Audited 401(k) account reconciliation, identifying anomalies in rollovers and distributions to ensure compliance.
- Coached clients on investment trends and IRS regulations, enhancing their understanding of retirement planning.
- Analyzed Discover online operations that streamlined 40 401(k) transactions processes.
Education
Bachelor of Science - Business Administration
University of North Carolina- Greensboro
Skills
- Regulatory Reporting
- Regulatory Compliance
- Regulatory Risk and Compliance
- SEC filings
- SEC filings Review
- Financial reporting
- Operational reporting
- Data reporting
- Data analysis
- Trend analysis
- Risk Mitigation and Management
- Process improvement
- Quality controls
- Needs Analysis and Issue Resolution
- Project Management
- Relationship Management
- Advanced Excel
- Research & Analysis
- Advanced Excel
Personal Information
Title: AN ANALYTICAL & METICULOUS COMPLIANCE & OPERATIONS RISK LEADER
Timeline
Regulatory Affairs Examination and Monitoring Lead
Fannie Mae
09.2025 - 02.2026
Consumer Controls Audit Project Manager (Temporary contract)
American Express
07.2025 - 09.2025
Associate Director of Regulatory Affairs
UBS
07.2022 - 06.2024
Associate Financial Services Regulatory and Compliance Risk| OFFICER
KPMG
06.2021 - 07.2022
EAC Compliance and Operational Risk | OFFICER
Bank of America
02.2020 - 06.2021
Product Pricing Specialist
Bank of America
11.2018 - 02.2020
Operations Analyst
Bank of America
05.2016 - 11.2018
HR BPO Financial Representative
Aon Hewitt, Discover Financial Services
01.2014 - 01.2015
Bachelor of Science - Business Administration
University of North Carolina- Greensboro