Amy Poster
Regulatory Risk and Government Affairs |Risk Management|Asset Management|ESG|Fintech|Thought Leader|Operations
- Role
- Risk, Regulatory and Governmental Affairs Lead-consultant at Alpha Pacific Strategies
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Amy Poster
Top performing Financial Services subject matter expert with keen ability to assess risks holistically across asset classes, markets, US and domestic broker/dealer and alternative sector operations. Seasoned government liaison offering key advisory, analytics and training in SEC, FINRA, and Dodd-Frank regulatory reform best practices. Regulatory Risk Management| Government A••••••••@alphapacstr.com Instrumental in the execution of strategic compliance, internal audit and controls, regulatory risk management initiatives within Capital Markets, Fixed Income and Alternative Investment portfolios. Highly accomplished in the management of large-scale cross border Broker/dealer projects with global implications. Award-winning contributing writer featured in Forbes.com, Institutional Investor, Wall Street Journal, Global Association of Risk Professionals (GARP) Risk News, and other industry publications. Core Competencies • Strategic Compliance and Risk Mitigation • Audit, Internal Controls, and Operational Due Diligence• SEC, FINRA, MSRB, and Investment Advisers Act of 1940 Regulatory Compliance, Policies and Procedures Implementation• Anti-Money Laundering (AML)/BSA/OFAC and FATCA Compliance• Enterprise, Market and Operational Risk Management • Cyber Security, Risk Technology/Vendor Solutions• Fraud Examination and Due Diligence Assessments• Market Performance Analysis & Evaluation• Project Management, Training and Development• IT Needs Assessment, Data Deployment & Migration Accomplishments Created and delivered overall strategy for software applications to meet complex regulatory and policy requirements that included designing new and innovative control requirements, policies, and processes Successfully negotiated on behalf investment bank Senior management with Federal Reserve Bank of New York compliance requirements and critical technology issues for the Fed discount window transfer Identified new business opportunities for international fund administration client for new assets proficiency, scalability, and process view using scorecard on automation, custom reporting, and complex instruments Contact me a••••••@alphapacstr.com for regulatory risk and government affairs opportunities
Experience
Risk, Regulatory and Governmental Affairs Lead-consultant
Jan 2011 — Present · New York, NY, US
Consulting engagements ranged from major companies, UBS, Intertrust, Institutional Investor to fintech start ups, Horizon Fintex.
Education
Pace University - Lubin School of Business
MBA, Financial Management, with Distinction
Skills
- Alternative Investments
- Capital Markets
- Derivatives
- Operational Risk
- Finance
- Market Risk
- Valuation
- Trading
- Investment Banking
- Financial Risk
- Due Diligence
- Hedge Funds
- Equities
- Portfolio Management
- Financial Services
- Fixed Income
- Risk Management
- Options
- Equity Derivatives
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