Brian brings over 25 years of experience in working with both the financial regulators and the financial services industry to:
Advise financial regulators as it relates to structuring and implementing policy, surveillance, and oversight programs to effectively operationalize and achieve financial market and banking policy objectives.
Advise financial services clients on strategy, process, architecture, and implementation of regulatory compliance, risk management, and customer insights programs.
Representative Client Engagements
Enterprise Data Management (EDM) & Risk Data Aggregation (RDA) programs and tools to evaluate, design, and implement data management programs and systems.
Digital Labor Analytics (DLA) operationalizes and integrates analytics, cognitive, and RPA techniques using reconciled risk, finance, and operations data.
Governance, Risk Management, and Compliance (GRC) and issues management systems to understand, track, and remediate enterprise risks and issues utilizing natural language processing, cognitive, and advanced analytics.
Precision Lending Sales and Marketing Programs that utilize the full historical credit files of over 250 million potential borrowers to precision target potential borrowers for very specific product/lending programs.
Big Data Analytics EDWs from design through implementation of multi-platform Big Data EDWs, implanting roadmaps of analytics pilots for system shakeout and production.
Insider Trading Surveillance program that monitors trade activity amongst billions of equity trades evaluating trade patterns using advanced analytics to identify insider trading networks.
Regulatory Examination Prioritization and Management using Natural Language Processing (NLP) and
IBM Watson’s cognitive capabilities to draw relationships between the regulatory filings and other publicly available information and the SEC’s enforcement actions taken against Registered Investment Advisors.