Steve Mariotti

About Steve Mariotti

Dynamic Risk, Audit, and Compliance Executive with a Big 4 foundation and extensive experience across Banking, Capital Markets, Asset & Wealth Management (AWM), and Investment Banking (IB). Recognized for deep expertise in enterprise risk management, governance and third-party management, regulatory compliance, internal and external audit methodologies, and operational excellence. Certified in Anti Money Laundering (BSA/AML), Agile/Scrum, and Six Sigma Green Belt, bringing a rare blend of technical rigor, process optimization, and adaptive leadership. Adept at navigating complex regulatory environments and fostering strong relationships with regulators and senior stakeholders. Proven track record of leading high performing, cross functional, and cross-cultural teams, delivering strategic initiatives, strengthening control environments, and driving organizational transformation. Equally effective as a hands-on contributor or as a senior leader guiding teams through ambiguity, change, and high stakes challenges.Core Competencies:• Risk Management • Internal Controls • QA/QC • SOC Reporting• Regulatory Compliance, Relations & Remediation (FDIC, CFPB, Fed, OCC, PRA, State of DE, PA Dept. of Banking) • Internal Audit (IIA) & External Audit Execution• Agile/Scrum • Six Sigma Process Re-engineering • Business Process Optimization• Sarbanes Oxley (SOX) Expertise • GAAP • SEC • Tax • FINRA• AI/Automation (BOTS) • Systems/Tech Implementation • SDLC• Data Governance • Data Management • Data Conversion • Analytics • Transformation & Operating Model Redesign• Governance over Third Party/Vendor Management• Investment Banking, Broker Dealer & AWM Operations (Front/Middle/Back Office)• Retirement/ERISA/Legal Oversight• General Ledger Controls • Business Continuity • Fraud • Privacy

Experience

1. Chair of the Supervisory (Audit) Committee Board

   Propell Credit Union

   Jul 2022 — Present · Philadelphia, PA, US

Education

• Saint Joseph's University

  BS, Accounting

• Villanova University

  EMBA, Business Administration and Management, General

  2003 — 2005

Skills

• Business Process Improvement
• Valuation
• Forecasting
• Compliance
• Cross-Functional Team Leadership
• Balance
• Credit
• Securities
• Sox
• Financial Reporting
• General Ledger
• Access
• Cost Accounting
• Financial Accounting
• Audit
• Process Improvement
• Equities
• Planning
• Tax
• Six Sigma
• Process Engineering
• Investment Banking
• Financial Management
• Cash Management
• Team Building
• Gaap
• Payroll
• Analysis
• Aml
• P&L
• Capital Markets
• Internal Controls
• Auditing
• Financial Control
• Banking
• Risk Management
• Compliance Audits
• Corporate Finance
• Executive Management
• Sec Reporting