Dianne Gittens
Summary
Accomplished professional and trusted regulatory leader with hands-on experience in assessing and analyzing potential risks and controls for global industry-leading financial institutions. Establish management best practices for enterprise risk management, issue management, and operational risk / controls. Thrives in ever-changing environments with the ability to navigate dynamic markets, improve processes, prepare reports, and continuously drive engagement. Recognized for Subject Matter Expertise across operational leadership, risk & process controls, compliance, project management, root cause analysis, internal investigations, change management, & stakeholder engagement. Adept at cultivating partnerships and building trusted relationships across global business sectors, including executive-level communications within industry-leading organizations. Unparalleled ability to lead diverse teams, ensuring a high level of performance, while simultaneously enhancing Business Operations focused on effective training and change management. Experience complemented by an MS in Management with a discipline in Organizational Leadership.
Overview
17
17
years of professional experience
Work History
Director, Business Controls Officer
RBC
01.2025 - Current
- Serve as the senior-most advisor and partner to Deposit Operations on risk and control related activities and topics
- The role has a dual reporting relationship receiving day-to-day direction from deposit operations leadership as well as being aligned to the Chief Controls Officer who is responsible for objective and strategic priorities
- Supports the identification of issues and effective execution of key risk program activities including but not limited to RCSA, KRI’s, Operational losses, and other risk assessments to identify and quantify the risks and their associated controls.
- Offer challenge capability at the leadership table as a constructive and balanced partner to support alignment of business objectives with company risk appetite and applicable established risk limits
SVP Operational Risk Management
Citigroup
01.2022 - 01.2024
- Promoted to establish and oversee the application of operational risk management policies, technology and tools, and Corporate Governance processes
- Proactively assess risk and drive actions addressing the root causes that persistently lead Global Functions risk losses by challenging both historical and proposed practices
- Leads and oversees operational control testing and operational risk assessments
- Concisely monitors indicators (e.g., KRIs, threshold policy requirements, and breach analysis) and mitigation plans executed by the business
- Develop risk appetite framework profiles for coverage areas, including Internal Audit, Legal and International Franchise Management
- Created risk appetite methodologies (e.g., qualitative, quantitative, scenario-based)
- Ensures Operational Risk Policy implementation and exception approvals
- Minimize losses by creating lasting solutions from failed internal processes, inadequate controls, and emerging risk
- Serves as a trusted resource in an oversight capacity while collaborating with In-Business and Independent Risk teams as well as senior management to ensure regulatory compliance
- During 2023-2024, completed 17 Operational Risk Challenges with accelerated timelines aligned to business reviews
- Recognized by the First Line Thematic Issue Management and Root Cause Committee for Research Analysis and Program (RAP) assessments, specific to MCA effectiveness, escalation, and flood ORM challenges
Senior Vice President, Enterprise Operations & Technology
Citigroup
01.2021 - 01.2022
- Spearheaded the risk management and assurance process, working closely with global and regional teams to ensure effective implementation
- Identified non-compliance, data quality issues, and risk trends, providing transparency to senior leaders and stakeholders
- Developed and maintained strong working relationships with Business Management & Function Risk Control Leads
- Developed and maintained the quality assurance process, including quality measures and data-driven metrics
- Reviewed and evaluated how quality measures are used to drive continuous improvement
- Designed and facilitated the implementation of scorecards and dashboards
- Tracked corrective actions and validated to ensure changes were embedded and sustained
- Identified data validation and process control weaknesses and engaged technology to find solutions to support program execution
- Escalated concerns appropriately and timely that could put timeliness/completeness of deliverables at risk
Vice President, Control Senior Officer
Wells Fargo
01.2020 - 01.2021
- Addressed operational risk-related matters for both the Federal Consent Order resubmission deliverable and 'Business as Usual' activities in independent testing and validation, risk assessment rationalization, operational risk program policy assurance, operational risk review, expanded definition of operational risk, and stress testing
- Performed functions related to the Operational Risk Maturity Model
- Design and delivered regulatory reporting and assessments across all business units
- Acted as the Aligned Control Officer for digital virtual channels
- Served as a Relationship Manager between compliance and business control organizations
- Reconciled compliance laws, rules, and regulations against regulatory controls
- Maintained Regulatory Change Management oversight
- Performed third-party relationship regulatory reviews
Vice President, Compliance Manager
Wells Fargo
01.2019 - 01.2020
- Focused on wholesale financial crimes enterprise testing and validation to support compliance, including staff management and development
- Oversaw the development and maintenance of ongoing testing schedules to include management and allocation of staff to ensure timely completion of plans, documentation, and reporting
- Ensured compliance with regulatory requirements (BSA, OFAC, CDD, EDD, CIP)
- Directed the planning, execution, and reporting phases of testing
- Identified risk to process and control gaps in various wholesale lines of business
- Conducted qualitative analysis
Director, Core Compliance
DLL Financial Services
01.2018 - 01.2019
- Led core compliance across two states by managing risk assessments, compliance controls and policy administration
- Provided regulatory guidance and support to internal stakeholders
- Oversaw internal investigations and collaborated with global forensic teams to uncover potential fraud
- Directed internal investigations, in collaboration with Legal and HR
- Handled QA testing across Consumer, Commercial, and BSA/AML business units
- Spearheaded the development of the Compliance Code of Conduct
- Oversaw exam management
Vice President, Regulatory Testing
JPMorgan Chase
01.2017 - 01.2018
- Ensured the effective and regulatory compliant execution of collection strategies, systems, and operations
- Ensured compliance within company guidelines, policies, and procedures
- Recommended and implemented improvements for productivity and continuity
- Oversaw, developed, and maintained third-party relationships while monitoring performance
- Led, directed, and improved the Collections Department’s work to assure internal controls were in place
- Spearheaded the 2017 CFPB Research Request Program acting as the Project Lead for collections
Vice President, Compliance, Investments
Cipperman Compliance Consulting Services
01.2016 - 01.2017
- Provided regulatory oversight, risk management and policy implementation for investment advisory relationships
- Directed and guided internal/external associates on investment compliance issues, including fiduciary responsibility, advisory regulation, and strategic relationships
- Assisted in annual reviews and amendments to Form ADV, while performing code of conduct testing
- Oversaw onsite client visits and participated in onboarding presentations
- Facilitated quarterly and annual compliance training while assessing compliance manuals for accuracy
- Supported SEC regulatory exams and ensured the implementation of new policies and procedures
Vice President, Compliance, Card
JPMorgan Chase
01.2015 - 01.2016
- Led oversight and governance of regulatory issues to manage regulatory exposure
- Provided oversight and challenges to the business to identify regulatory risks and effects on other business
- Delivered support on legal and regulatory changes while leading mitigation processes
- Conducted and participated in risk control self-assessments and testing requirements
- Identified control enhancements and process improvements that aligned with business goals
Vice President, Risk Management, Card & Corporate
JPMorgan Chase
01.2014 - 01.2015
- Spearheaded the subdivision for process, procedural, and systemic breaks that impacted the customer experience
- Oversaw RCSA testing, action plans, business resiliency, credit bureau activity, and control mapping
- Managed control enhancements, process improvements, and gap analysis
- Administered the user tool process
- Facilitated meetings with Development and UAT Test Managers to identify trends that caused system outages
Project Manager, Governance
JPMorgan Chase
01.2013 - 01.2014
- Managed Chase Card Service projects that supported customer issues, marketing initiatives, and other areas
- Conducted triage meetings and offered resolutions while providing oversight and insight into the customer experience
- Ensured appropriate business and IT controls were aligned with process, procedural, and systemic breaks
- Reduced potential risks by identifying root causes in collaboration with process owners and control officers
Risk Management Associate; Project Lead
Vanguard Group
01.2008 - 01.2013
Education
Master of Science (MS) - Management with discipline in Organizational Leadership
Wilmington University
Wilmington, DEBachelor of Science (BS) - Human Performance Management
Immaculata University
Malvern, PASkills
- Risk & Controls
- Compliance
- Project/Program Management
- Root Cause Analysis
- Change Management
- Financial Services
- Operations
- QA Testing & Monitoring
- Leadership
- Process Improvements
- Control Design Effectiveness Assessment
- RCSA
- Tableau Reporting
- Operational Risk Management
- Relationship Management
- Microsoft Office Suite (Word, Excel, PowerPoint, Visio, Project)
Websites
Timeline
Director, Business Controls Officer
RBC
01.2025 - Current
SVP Operational Risk Management
Citigroup
01.2022 - 01.2024
Senior Vice President, Enterprise Operations & Technology
Citigroup
01.2021 - 01.2022
Vice President, Control Senior Officer
Wells Fargo
01.2020 - 01.2021
Vice President, Compliance Manager
Wells Fargo
01.2019 - 01.2020
Director, Core Compliance
DLL Financial Services
01.2018 - 01.2019
Vice President, Regulatory Testing
JPMorgan Chase
01.2017 - 01.2018
Vice President, Compliance, Investments
Cipperman Compliance Consulting Services
01.2016 - 01.2017
Vice President, Compliance, Card
JPMorgan Chase
01.2015 - 01.2016
Vice President, Risk Management, Card & Corporate
JPMorgan Chase
01.2014 - 01.2015
Project Manager, Governance
JPMorgan Chase
01.2013 - 01.2014
Risk Management Associate; Project Lead
Vanguard Group
01.2008 - 01.2013
Master of Science (MS) - Management with discipline in Organizational Leadership
Wilmington University
Bachelor of Science (BS) - Human Performance Management
Immaculata University