Mary Lai

About Mary Lai

Financial Services Professional with numerous years of extensive experience within the risk management, internal audit, and regulatory compliance within capital wealth management, information security, data privacy, and consumer protection. Highly detail oriented with a proven track record in helping institutions address regulatory scrutiny through thorough remediation planning, enhancement to governance framework, issue tracking, and regulatory reporting. Recognized for effective risk mitigation, risk assessment, control design and testing, and internal audit reporting. Led project management across cross functional global staff members. Demonstrated key strengths in regulatory interpretation, end to end product management, developing and implementing a robust compliance program, handling of business related legal affairs, and a passion for identifying and developing innovative solutions for business improvement and operational excellence.

Experience

1. Regulatory Risk and Compliance

   Protiviti

   Oct 2017 — Present

   Strategic Risk & Compliance professional supporting global institutions with regulatory remediation efforts, product to process review, risk and control assessment, and compliance satisfaction. Operated as an oversight lead with execution across multi-facets of risk, compliance, and internal audit capacity for organizations under a consent order mandated by regulatory agencies. Demonstrated key strengths and passion for interpreting regulatory laws and rules, fortifying information security, project management, adaption to agile work environment, and keen eye for business operation improvements.

Education

• Queens College

  Bachelor of Arts - BA

• Baruch College

  Bachelor of Business Administration - BBA, Finance