Kim K.

Experience

1. Sr Risk Analyst, Vendor Management

   Janney Montgomery Scott LLC

   Oct 2023 — Present · Philadelphia, PA, US

   Evolve Vendor Management Program • Assess existing program to create modernization plan to include improvement to systems, process, and controls to significantly decrease the residual risk of the Firm.• Chair the Vendor Risk Management Committee• Act as the Vendor Management Officer for approval and oversight of Third Party on-boarding and On-going due diligence.• Asses third party contract negotiations to represent third party risk interests and ensure risks are identified and addressed during the contract process.• Monitor performance of third-party relationships to ensure adherence to the contract and SLA’s as well as key performance indicators.• Assess vendor’s financial viability on an annual basis.• Maintains testing methodology and performs control testing of identified third parties. • procedures to ensure an accurate record of processes and procedures exist to support audits. • Interface with internal and external auditors to evaluate Janney’s control environmentSupport LOD-1 in all aspects of Risk Management:• Support Fixed Income, Equity Capital Markets, Securities Lending, and Operations • Support Trading, Compliance, Operations, IT and Finance to meet their regulatory obligations• Identify, escalate, and report risk events. Support business partners to conduct in-depth root cause analysis for issues and assist in the development of remediation plans.• Collaborate with business groups to determine control weakness, non-compliance with contracts and root cause.

Education

• Philadelphia University

  Master of Business Administration (M.B.A.), General, Finance

  2000 — 2001

• Philadelphia University

  Bachelor of Science (BS), Finance, General

  1996 — 2000