Global Compliance Risk Management Executive Consulting

Jan. 25, 2009 - PRLog -- Global Compliance Risk Management Executive Consulting provides Subject Matter Expertise in Compliance, Regulatory Global Risk Management, Internal Audit, Internal Controls and Business Process Reengineering, SOX, Regulatory Examinations and Preparations.  

Global Compliance Risk Management Executive Consulting is proudly, woman-owned business with over 18 years of professional experience in investment management compliance; risk management; strategic consulting and corporate audit in the financial services industry.  

PROFESSIONAL PROFILE OF FOUNDER AND PRINCIPAL - Yvonne I. Pytlik, MBA, CPA

Leadership role with Deutsche Bank since 2000 focusing on global compliance, risk management/assessment and mitigations strategies.  Leadership and strategic direction to compliance and the business to identify high risk areas and to assist in writing action plans ensuring implementation.  Strong global experience leading teams in the matrixed organization, across functions and borders.  

Most recently, Ms. Pytlik was a Director, Deputy Head of Central Functions, Risk Management and Strategic Planning for Global Compliance Division at Deutsche Bank AG.  She was responsible for the Global Compliance Risk Management for Investment Banking, Asset Management and Private Wealth Management Divisions.  She was also a Head of Compliance Program Oversight at Global Asset Management Division.  During her tenure at Deutsche Bank from 2000 to 2008, she made significant contributions to the Compliance Organization, including developing and implementing global compliance risk management functions in Americas, Europe and Asia Pacific Regions.  Ms. Pytlik was instrumental in developing and implementing the Chief Compliance Officer Program Oversight for the Asset Management Division.  

Prior to joining Deutsche Bank /Scudder in 2000, Ms. Pytlik was a Lead Senior Consultant in the Advisory and Information Risk Management Practice at KPMG, LLP.  She was managing and supervising strategic business/ information risk assessment and process reengineering engagements for KPMG clients.  Prior to joining KPMG, Ms. Pytlik was associated with major financial institutions in their Corporate Internal Audit divisions with focus on the asset management and/or investment businesses.  

Ms. Pytlik has a Master of Business Administration (MBA) from Suffolk University and BS in Management with concentration in Accounting/ Finance from University of Massachusetts.  Ms. Pytlik is a member of the AICPA and she is a Certified Public Accountant in Massachusetts.  She is also affiliated with various professional and risk organizations, GARP, WBC, 85Broads, KPMG Audit Committee Institute, KPMG IFRS Institute.

DISTINCT RECOGNITIONS

•Proven track record as results-oriented team member and global leader for implementing critical strategic initiatives and risk management with recognition for significant contributions to the Compliance Organization.  Consistent performance at top two highest ratings - exceeds and far exceeds expectation at Deutsche Bank.

•Distinct recognition from the Mutual Fund Boards and SEC Regulators for comprehensiveness and best practices of annual risk assessment and reporting.  

•Distinct recognition from ICI Mutual, insurance career for Mutual Funds for the CCO Annual Report as “the best in industry” which contributed to cost savings and lower insurance premiums for the Asset Management Division.

•Implemented comprehensive global strategic planning initiatives and risk management functions for the first time in history for the Asset Management Division.

•Developed and implemented the SEC/ FINRA new regulatory requirements - Chief Compliance Officer Program (CCO) for the first time in Americas Region.

REPRESENTATIVE EXAMPLES OF THE GLOBAL LEADERSHIP AND OVERSIGHT

•Leadership and oversight to teams of 24 professionals up to 110 globally, at Director, VP and AVP levels.

•Leadership to compliance strategic initiatives for the Asset Management Division. Developed and implemented the CCO Compliance Program Oversight and Internal Controls Testing Program across all businesses and products in Americas Region.

•Leadership and strategic direction to 7 major business divisions in identifying and mitigating high compliance risks for Investment Company, Investment Advisers and Broker/Dealers.  Working closely with the business, global divisional heads and COOs on implementing mitigation strategies.

•Leadership to compliance program oversight teams for the SEC and other regulatory examinations.  Compliance liaison to control groups, Internal Audit, SOX and Operational Risk Management to address compliance issues.

•Member of the executive risk management committees and business oversight committees (MFs Pricing and Valuation, Conflicts of interest, New Product Approval, New Clients Adoption, Integrated Quantitative Products Committee, etc).

PUBLICATIONS

April 2008 – Author “Global Compliance Program Testing”
December 2007 – Co-author “Global Compliance and Ethics Program – Ethics, Governance and Compliance Challenges Facing Financial Services Attorneys”
December 2006 – Co-author “Building an Effective Compliance Program”


GLOBAL COMPLIANCE RISK MANAGEMENT EXECUTIVE CONSULTING AND PROFESSIONAL SERVICES

•Advisory Services - Compliance and Regulatory Requirements, Business Processes and Controls, Information Technology and Strategic Planning, Business Consolidations
•Annual Compliance Program Assessment and Reporting for Mutual Fund Boards
•Enterprise-wide Risk Management, Operational Risk Management, SOX
•Business and Technology Risk Assessments, Process Reengineering Consulting Engagements
•Internal Audit Outsourcing, Reviews and Testing
•Project Management, Evaluation of Business and IT Strategies, Major Business Processes, Operational Controls and Providing Senior Management with Recommendations to Gain Operational Efficiency and/or Improve Internal Controls Infrastructure
•Professional Services for Developing and Implementing of Compliance Policies and Business Procedures (Trading, Portfolio Management, Research, Operations, Marketing, Broker/Dealer, WSP, COE, AML, KYC/KYI, etc).
•Executive Recruiting in Compliance, Risk Management, Consulting, Business

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COMPANY PROFILE

Global Compliance Risk Management Executive Consulting for Chief Compliance Officers, Chief Operating Officers, Chief Risk Officers, Chief Auditors, Senior Business Management, Mutual Funds Boards and Internal Audit Committees.

REGULATORY COVERAGE

SEC Regulations, Sarbanes-Oxley Act, Basel II, Banking Regulations, Patriot Act, US Federal Securities Laws, Investment Company Act of 1940, Investment Advisers Act of 1940, - SEC Rule 38a-1, SEC Rule 206(4)-7, FINRA Broker/Dealer (Rules 3012, 3013), cross-jurisdictional regulations, COSO, COBIT, AICPA, IA, GARP, ERM Governance best practices.

INDUSTRY COVERAGE

Financial Services, Investment Management, Asset Management, Investment Companies, Investment Advisers, Hedge Funds, Alternative Investments, Private Wealth Management, Banking, Trust, Insurance, 3rd Party Service Providers, Custody.

781-835-8360 I NY 10010, http:// GLOBALRMC.com