Daphne Armstrong

Knowledgeable Risk Manager equipped with strategic planning and program leadership abilities honed in Operational Risk Management in financial industry environments. Establishes strong and successful policies to mitigate risk at each level and establish clear procedures for assessments, prevention and containment. Familiar with regulatory requirements to maintain strict controls.

Possess exceptional analytical skills and research capabilities as well as excellent written and verbal communications. Highly organized and very detail oriented; thrive when challenged with difficult tasks; able to triage workload to switch tasks immediately and effectively. Over a decade of experience using Financial Services Systems and Tools and extensive knowledge on these systems. Fluent with Process Flow creation, Workflows, and Process and Procedure guide creation. Thorough knowledge of Control Creation/Implementation and gap detection. Key Partner in FINRA and other regulatory directive implementations; most recent FINRA 2231. Evaluated and Identified risks and gaps with current controls with the Business Units; established corrective action to mitigate said risks; 1st LOD. Extensive use of Microsoft Products, with a concentration on Excel, Word, and PowerPoint

Auditing/Reconciliation of Retirement Plans to enable linking to Data Feeds from Providers. Monthly/Quarterly reporting/metrics for leadership; including creation of such materials. Work closely with Internal Audit (3rd LOD) on Desktop Procedures and Program Processes to align with Risk Controls including RCSA's; create and implement new controls as needed. Develop remediation plans, both long-term and short-term solutions for audit-identified and self-identified exceptions, while working with External Auditors, Internal Auditors, and the business units.