Louis D Keung
Greater Tacoma-Seattle
Summary
Senior Operational Risk specialist with over nine years in Financial Services and six years in Risk Management across first, second and third lines of defense. Demonstratable and proven experience in coordinating Risk and Control Self-Assessments, leveraging GRC tools, managing controls design reviews and effectiveness testing. Articulate speaker and seasoned Risk Advisory professional, seeking mid-senior level Risk Management positions.
Overview
5
5
years of professional experience
Work History
Senior Operational Risk Analyst
Morgan Stanley Investment Management Operations
01.2023 - 05.2024
- Company Overview: Parametric Portfolio Associates and Morgan Stanley| Remote Hybrid
- Performed the annual RCSA exercise. The project was completed and converted into a living RCSA workflow. The prior RCSA exercise was a static exercise and didn’t account for the timeliness of updating Risk-profiles when the businesses experienced a relevant change.
- Coordinated the annual refresh for the RCSA exercise for Parametric Portfolio Associates. Directed the internal controls testing and design review of controls. Credit card requirements and lending requirements were also vetted in a timely manner.
- Provided leadership and advisory services for the Parametric Technology Division, to assist them with their alignment towards new internal risk-program requirements, due to the acquisition by Morgan Stanley.
- Demonstrated a strong background with utilizing Governance Risk and Compliance (GRC)/risk-reporting toolkits. The firm's GRC system was leveraged to manage the life of controls identifications/assessments and risk-profile dimension updates.
- Performed continuous monitoring of auditable business activities such as: applicable lending and payment card processes.
- Parametric Portfolio Associates and Morgan Stanley| Remote Hybrid
- Frameworks used in this position: 2017 IIA Global Internal Audit standards, ITGC's, ISO 27001, ISO 31000, NIST SP 800-37, NIST SP 800-53.
Risk Analyst II - Enterprise Risk Management
Umpqua Bank
01.2022 - 01.2023
- Company Overview: Remote
- Managed the Risk and Control Self-Assessments (RCSA) workstream to ensure the initiation of the firm’s first RCSA annual exercise. Business units with payment cards and lending processes had their processes mapped alongside attaching risks and controls and slated for testing cycles.
- Coordinated the SOX testing engagements. Contractors were tasked with the strategic benchmarking of the effectiveness and appropriateness of the Enterprise Risk Program.
- Delivered the implementation of a centralized GRC risk management tool (Logic Manager). The central database streamlined one single location for all: processes, risks, controls, policies and risk-management activity.
- Developed in partnership with the Board, the standing up and implementation of the new Umpqua Bank Enterprise Risk Management program.
- Remote
- Frameworks used in this position: 2017 IIA Global Internal Audit standards, ISO 31000, NIST SP 800-37, NIST SP 800-53.
Enterprise Testing Analyst / Transaction Risk Management
PNC Bank
Pittsburgh
01.2019 - 01.2022
- Company Overview: Pittsburgh, PA
- Effectively tested a range of Tier 1 and Tier 2 RCSA controls, with a variety of risk assessment units, which included operational controls in commercial banking, retail banking, lending and payment cards.
- Performed continuous monitoring of Know Your Customer (KYC) / Customer Due Diligence (CDD) controls due to increased scrutiny of Bank activities from regulatory agencies.
- Collaborated with analysts to update the policies, procedures and testing artifacts for the testing teams.
- Pittsburgh, PA
- Frameworks used in this position: 2017 IIA Global Internal Audit standards, ITGC's, ISO 27001, ISO 31000, NIST SP 800-37, NIST SP 800-53.
Education
Master of Arts - Global Security and Intelligence
Point Park University
Pittsburgh, PA08.2016
Bachelor of Arts - International Studies, Security and Intelligence
The Ohio State University
Columbus, OH06.2015
Skills
- Risk coordination
- Risk and Control Self-Assessment (RCSA)
- SOX/SOC compliance testing
- SOX related third party coordination
- PCI credit card processing compliance
- Lending requirements
- Enterprise Risk Reporting
- Business data visualization
- Risk and Controls systems architecture
- SOX/SOC project management
- Second line of defense coordination
- Lending and credit card compliance reviews
- Lending risks and controls
- Credit cards compliance
- Project management
- Controls testing methodologies
- Policy and procedures
- First line of defense
- RCSA coordination
Certifications Professional Memberships
- ISACA CSX- Cyber-security Fundamentals Certification.
- FBI Infragard - Partnership for Protection- defending critical U.S. infrastructure.
- CompTIA- prior experience with Network +, Security +, A+ certification materials.
- Institute of Internal Auditors (IIA)- Internal Audit practitioner certificate (in-progress).
- Certified Internal Auditor certificate (in-progress).
Timeline
Senior Operational Risk Analyst
Morgan Stanley Investment Management Operations
01.2023 - 05.2024
Risk Analyst II - Enterprise Risk Management
Umpqua Bank
01.2022 - 01.2023
Enterprise Testing Analyst / Transaction Risk Management
PNC Bank
01.2019 - 01.2022
Master of Arts - Global Security and Intelligence
Point Park University
Bachelor of Arts - International Studies, Security and Intelligence
The Ohio State University