Anthony Joseph
VP, Senior Compliance Specialist at BNY Mellon
- Role
- VP, Senior Compliance Specialist (Compliance Risk Assessment) at BNY
- Location
- Pittsburgh, PA, US
- LinkedIn followers
- 500 followers
About Anthony Joseph
Experienced Risk Specialist with a demonstrated history of working in the financial services industry. Skilled in Sales, Leadership, Project Management, Risk Management, and Microsoft Office. Strong finance professional with a Bachelor of Science (BS) focused in Actuarial Mathematics from University of Pittsburgh.
Experience
VP, Senior Compliance Specialist (Compliance Risk Assessment)
Jun 2021 — Present · Pittsburgh, PA, US
Coordinate and lead Compliance Risk Assessment (CRA) execution working groups with the Business Compliance Officers (BCOs) and Accountable Directs (ADs) to assist in completion of this Global, Bank-wide Compliance Function• Review BCOs’ responses within their CRA Inherent Risk / Control Environment assessments as well as their Overall Conclusions to ensure narratives support risk ratings• Perform user acceptance testing and identify issues and enhancements for new CRA tool• Advise BCOs on the best way to capture their Compliance Actions, which are a result of High Residual Risk or Low Control Strength Assessment outcomes • Utilize the ServiceNow tool to track and status all of the Compliance Actions that resulted from the Compliance Risk Assessment• Supports BCOs and ADs in the creation of their respective Business Lines’ Annual Plans, since the results from the CRA populate a number of sections within the Plan• Documents feedback suggested from those executing the CRA process in order to assist in the creation of a Lessons Learned document, which ultimately aids in the annual enhancements to the CRA• Create and provide CRA training to all parties associated with the CRA Process• Assist in creation and offer review and challenge of the CRA Manual (the document memorializing the entire process) and Checklist • Recognized by senior management for completing the CRA early and also for the creation of a more efficient tool / process• Selected by manager to assist/support a new Compliance Transformation team with stretch projects while continuing to execute my duties on my Central CRA team
Education
University of Pittsburgh
Bachelor of Science (BS), Actuarial Mathematics
2008 — 2013
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