Daniel Szwabiuk

Senior Manager First Line of Defense Operational and Compliance Risk @Westpac

New York, NY, US

Risk Identification, Risk Management and Self Assurance, Responsibility of the Divisional Business Units for the New York Branch Working closely with leadership in supervision, monitoring and management of non-financial risks, inclusive of control and risk assessments. Driving and embedding a risk compliance culture and awareness in day-to-day business decisions and strategic initiatives. Design and Implementation of Controls and Processes to Operational, Conduct, Compliance Risks for branch activities with application of Financial Crime, Technology and Cyber Risks to strengthen operating environment. Ensuring robustness of Incident and Issue management practices including Root Cause Analysis and working with global partners on recommendations for tactical and strategic solutions. Establishing, maintaining and monitoring a risk aware and safe escalation culture across First and Second Lines of Defense. Managing both local and global review, evaluation and updates to local policies and procedures. Business Continuity Management, ensuring annual branch updates to Impact Assessments, Continuity Plans and participation in annual BC exercises for both Branch and Cyber scenarios. Operational Resilience, work cross-business functions to reaffirm the branch’s business services and impact tolerances, assessment of outsourced and third-party service providers, including key dependencies Vendor Management, ensuring appropriate on boarding and monitoring of third parties. Coordinating Relationship Managers, Services Level Owners and Central Team to maintain vendor data and communicate news transparently. Working with Internal Audit and Regulators to provide documentation and timely responses to inquiries, ad hoc requests and standard reporting.