Kelly Dreishpoon
Patchogue,NY
Summary
Seasoned senior-level executive with over 25 years of experience in risk management and regulatory compliance within the financial services industry. Demonstrated success in creating and implementing robust risk management frameworks to effectively mitigate financial and operational risks while ensuring compliance with regulatory requirements. Strategic thinker with strong leadership skills, prioritizing the development of cohesive teams and the cultivation of a culture focused on strategic risk management.
Overview
32
32
years of professional experience
1
1
Certification
Work History
SVP, Enterprise Risk Management
CardWorks, Inc.
07.2016 - Current
- Led the development and implementation of a comprehensive risk management framework; risk appetite, KRI development and monitoring against risk tolerance levels
- Implemented an operational risk management program conducting regular risk assessments, identifying and mitigating potential threats including an Issue Management Process
- Implemented and managed a robust Third-Party Risk Management program
- Restructured and managed governance of the Company’s Business Continuity and Disaster Recovery Program as well as implemented a Crisis Management protocol
- Managed a team of 20 risk professionals both at the Holding Company and subsidiary Bank
VP, Business Risk Office
Capital One Bank
06.2012 - 01.2016
- Leader of Operational Loss Event Management Team
- Successfully implemented new system of record for Loss Event Management and Loss Data collection, Controls monitoring and testing, Third Party Management assessments resulting in improved data capture and reporting in accordance with Basel requirements
- Drove creation of and testing of business requirements for new risk event process and system implementation
- Successfully fostered partnerships with Compliance and Business leaders
- Improved Executive Management reporting for all aspects of operational risk across the Commercial Bank
- Performed RCSA across various banking business units and developed mitigation plans
- Set risk appetites and monitored KRIs
- Successfully supported system conversions in a project management capacity
- Drove the development and completion of Business Continuity/Disaster Recovery plans and Third Party assessments and reviews
- Managed internal audit, external audit, and regulatory exams for the business area.
Senior Manager, Commercial Risk Control
Capital One Bank
06.2011 - 06.2012
- Developed, managed and performed First Line of Defense Compliance testing across the Commercial Bank
- Managed a team of testers, reviewed testing results, presented results and fortified remediation plans with Business Senior Leadership.
Senior Risk Manager, Bank Risk Management
Capital One Bank
04.2008 - 06.2011
- Project Manager – Bank-wide representative on multiple risk and control projects across the Bank and the Company
- Performed Bank Top Risk Assessment in accordance with ERM Standards
- Provided full risk and compliance support to Commercial Lending and Specialty Businesses
- Successfully led payments risk assessment initiative and instituted a new Payments Risk function across the organization resulting in clearance of OCC MRA.
Senior Manager, Corporate Advisory Services
Rothstein Kass & Company
12.2004 - 04.2008
- Managed entire client base of Sarbanes Oxley Compliance Projects (managed staff of 15 consultant teams across various client projects)
- Managed internal audit services for NYSE listed companies
- Assisted outside vendor in development of risk and controls monitoring and testing software for implementation at clients and within firm for SOX testing and monitoring; expanded use of tool to include risk and compliance monitoring
- Created strategic business development plans including marketing campaigns, sales, and proposal presentation for the Consulting Division.
Senior Consultant
Siegfried Resources
12.2003 - 12.2004
- Provided Sarbanes Oxley Support to Big Four firm on major capital markets audit clients
- Provided internal audit and accounting assistance for clients in other industries.
Vice President, Global Financial Technology
JPMorgan Chase
01.2002 - 01.2003
- Business Analyst within Global Technology supporting Investment Banking business units to enhance efficiency of business processing and implement operational systems resulting in successful system and general ledger conversions
- Identified and prioritized business requirements, performed cost/benefit analysis and funding arrangements for financial architecture projects
- Compiled and managed project plans including issue management and executive reporting throughout the project life cycle
- Manage sections of global financial architecture implementation including writing accounting rules and defining business requirements for all investment banking/trading divisions.
Vice President, Controls and Financial Advisory
JPMorgan Chase
01.1999 - 01.2002
- Provide various advisory support to Finance, Front, Middle and Back Office operations within the Global Bank
- Developed a complete Risk Assessment Process and administer and maintain Self Assessment Process throughout the Bank and Investment Bank
- Developed and support adherence to accounting policies including specific policies around controls over financial reporting and operational controls and regulatory compliance
- Special Projects – provided on-site project management for Institutional Trust Services including: develop specific control and risk management processes, provide guidance to establish reserves and determine write-offs, develop enhanced metric reporting for management; lead forensic review/investigation sub-project.
Senior Business Analyst, Corporate Audit
Lehman Brothers, Inc.
01.1998 - 01.1999
- Planning, supervision of staff on equity and fixed income securities audits and compliance reviews
- Develop and discuss action plans with senior management and monitor progress of such plans.
Senior Associate Audit Lead-In Charge
PricewaterhouseCoopers, LLP
01.1993 - 01.1998
- Extensive audit experience in back office operational controls and regulatory accounting/reporting for capital markets clients
- Three years team leader / senior in-charge on largest client engagement
- Broker dealer/investment-banking and hedge fund auditing specialization.
Education
B.S., Accounting -
St. Joseph University
Philadelphia, PA01.1993
Skills
- Enterprise Risk Management
- Risk Assessment and Mitigation
- Regulatory Compliance
- Strategic Planning
- Crisis Management
- Risk Reporting
- Team Leadership
- GRC Implementation and Management
- Policy Development
- Program Oversight
- Business Planning
- Leadership and People Development
Accomplishments
- Implemented a full scope GRC software platform inclusive of Risk, Compliance, Business Continuity Planning and Testing, Third-Party Risk, Issue/Loss Event Management that improved risk visibility across the organization
- Played a key role in the successful launch of a First Line of Defense Risk and Control Monitoring Function
- Successfully navigated through multiple regulatory audits with no major findings (both for my organization and client organizations)
Hobbies and Interests
- Member of CHIEF Women's Executive Network
- Community Volunteer Programs
- Long Island Youth Soccer Coach
Certification
CERP (Certified Enterprise Risk Professional)
CRMP (Certified Risk Management Professional) - in process of Completing
Timeline
SVP, Enterprise Risk Management
CardWorks, Inc.
07.2016 - Current
VP, Business Risk Office
Capital One Bank
06.2012 - 01.2016
Senior Manager, Commercial Risk Control
Capital One Bank
06.2011 - 06.2012
Senior Risk Manager, Bank Risk Management
Capital One Bank
04.2008 - 06.2011
Senior Manager, Corporate Advisory Services
Rothstein Kass & Company
12.2004 - 04.2008
Senior Consultant
Siegfried Resources
12.2003 - 12.2004
Vice President, Global Financial Technology
JPMorgan Chase
01.2002 - 01.2003
Vice President, Controls and Financial Advisory
JPMorgan Chase
01.1999 - 01.2002
Senior Business Analyst, Corporate Audit
Lehman Brothers, Inc.
01.1998 - 01.1999
Senior Associate Audit Lead-In Charge
PricewaterhouseCoopers, LLP
01.1993 - 01.1998
B.S., Accounting -
St. Joseph University
CERP (Certified Enterprise Risk Professional)
CRMP (Certified Risk Management Professional) - in process of Completing
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