Denise Miller

Experience

1. Vice President

   J.P. Morgan

   Jul 1989 — Present

   Managed a team of 11 analysts that perform a set of diverse responsibilities which include, Documentation Specialists, Vetting Analyst, QA Business Analyst, Security Entitlements and Approvals and Microsoft Access programmers. • Establish appropriate operational and business control procedures and policies for divisional functions. • Establish business requirements for new and existing systems.• Responsible for the creation of 20 Microsoft Access databases which lead to the controls currently in place in Equity Prime Broker.• Identify and document the business requirements for Anti Money Laundering, created the process and forms to support the new requirements• Performs root cause analysis and identify solutions and best practices.• Managed remediation processes of long term and sizable risk issues.• Managed the AML/KYC remediation process of over EPB and Fixed Income clients• Manage QA activities for new and existing business and multiple remediation efforts concurrently within designated timeframes and quality standards. • Manage Security Entitlements and Approvals for Equity Prime Broker accounts and systems to ensure client privacy is protected• Evaluate and authorize user requests for access to client data through various systems.• Create and maintain management reporting utilizing access databases for various internal business groups• Develop manual processes and system requirements to enhance business controls of client information• Train internal users on the various Investment Bank applications and procedures• Provided support to both internal Prime Broker, Fixed Income and Broker Dealer Account Managers and end clients• Assist with audits and AML/KYC related issues • Assist with audits and Compliance/Regulatory related issues • Provide sign-off for Quarterly review of suppressed client statements, confirms and prospectus