James Mathis
Reisterstown,MD
Summary
With a proven track record in strategically leading data management and risk compliance initiatives, I have successfully improved operational efficiency and client satisfaction within a high-growth financial services environment. My expertise lies in leadership, analytical problem-solving, and strategic planning, all of which align perfectly with the requirements of the Vice President role at Clio. I am confident in my ability to drive product innovation and revenue growth.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Chief Data Office | Data Management & Risk | VP
T. Rowe Price
10.2024 - Current
- Develop and implement data management strategies aligned with the organization's objectives and industry best practices
- Establish and maintain data governance frameworks, policies, and procedures to ensure data quality and compliance
- Design and optimize data workflows, data integration processes, and data quality control mechanisms
- Identify potential data-related risks and vulnerabilities, conducting risk assessments and gap analyses
- Develop and execute risk mitigation plans, including data security measures, disaster recovery, and business continuity plans
- Implement data quality standards and metrics, overseeing data profiling and cleansing efforts
- Ensure adherence to data privacy regulations (e.g., GDPR, CCPA) and industry-specific compliance requirements
- Collaborate with cross-functional teams to understand data needs, resolve data issues, and provide data-related guidance
- Establish and monitor key performance indicators (KPIs) related to data quality, operational efficiency, and risk management
- Maintain comprehensive documentation of data processes, risk assessments, and remediation efforts while providing regular reports to senior leadership and regulatory authorities.
Global Investment Operations | Shared Services VP
T. Rowe Price
05.2022 - 10.2023
- Leads the GIO Strategic Operational Risk Management Program focused on optimizing risk management capabilities, developing risk mitigation strategies, and cultivating a mature risk culture
- Serves as the Privacy and Client Confidential Data (CCD) Lead for GIO and is accountable for the facilitation of Security by Design and Privacy Assessments
- Responsible for effective Incident Management and Risk Oversight that is enabled through ongoing reporting, trend analysis, and strategic partnerships with Enterprise Risk, Internal Audit, and Compliance
- Assist Investment Operations with completing risk assessments, proactively identifying risk issues, developing risk mitigation plans, and incident coordination.
Global Client Account Management (GCAS) Process Improvement Program Manager
T. Rowe Price
01.2020 - 05.2022
- Lead the Process Improvement Program for GCAS by managing process improvement initiatives from inception to implementation that are aimed at enhancing operational efficiency and effectiveness, improving client satisfaction, and controls risk
- Create and maintain strategic partnerships with business unit leadership to drive lean six sigma adoption and continuous improvement across the enterprise
- Proactively mitigate risk by identifying the level of risk within GCAS Processes and develop a strategy to effectively manage risk
- Present ongoing updates on the Process Improvement Program to the Lead Team and Risk Operations Steering Committee (ROSC)
- Lead Risk Assessments and partner with Enterprise Risk on remediation efforts.
Financial Institution Services (FIS) Operations Manager
T. Rowe Price
06.2017 - 01.2020
- Utilize advanced business and operational expertise with the transfer agent business in order to oversee complex intermediary servicing functions
- Implement process improvements and lead projects that improve operational effectiveness and mitigate risk
- Effectively manage a team that is responsible for reconciling NSCC trade rejects and transfer agent responsibilities that are critical to the T
- Rowe Price Mutual Funds
- Ensure processes and procedures are reviewed and updated to stay within compliance guidelines
- Manage the Internal Trade Team who assist with Retirement Plan Conversions, Multi-Sector Portfolio transactions, and trades that Finance sends for the T
- Rowe Price Subsidiaries
- Assist with the mutual fund Pricing oversight and communication to financial intermediaries.
Retail Account Management (RAM) Supervisor
T. Rowe Price
10.2014 - 06.2017
- Manage the Brokerage Operations team within RAM and ensure that we are following compliance and regulatory guidelines
- Own the resolution of escalated brokerage issues and serve as a point of contact for various FINRA and OSJ audits
- Supervisor Lead for the Private Asset Management Processing Team
- Serve as a lead on the project to transition processes and functions from AWD2 to AWD10, which involved reviewing existing procedures and making improvements to streamline workflow.
Education
Master - Business Administration
Johns Hopkins Carey Business School
12.2024
Bachelor of Arts - Political Science
Towson University
05.2012
Skills
- Change Management
- Program Management
- Project Management
- Risk Management
- Regulatory Compliance
- Strategic Planning
- Executive-level Communication
- Operations Management
- Organizational Development
- Business Development
Certification
- Series 63 - FINRA
- Series 7 - FINRA
- Series 24 - FINRA
- Investment Foundations Certificate - CFA Institute
- Certified Change Practitioner - Prosci
- Lean Six Sigma Black Belt (ICBB) - Villanova University
- Scrum Master Certified (SMC) - Scrum Alliance
- DCAM Certified V2 - EDM Council
- Data Ethics & Responsible AI Certified - EDM Council
Timeline
Chief Data Office | Data Management & Risk | VP
T. Rowe Price
10.2024 - Current
Global Investment Operations | Shared Services VP
T. Rowe Price
05.2022 - 10.2023
Global Client Account Management (GCAS) Process Improvement Program Manager
T. Rowe Price
01.2020 - 05.2022
Financial Institution Services (FIS) Operations Manager
T. Rowe Price
06.2017 - 01.2020
Retail Account Management (RAM) Supervisor
T. Rowe Price
10.2014 - 06.2017
Master - Business Administration
Johns Hopkins Carey Business School
Bachelor of Arts - Political Science
Towson University