Solution-oriented professional with extensive experience in leadership, client account management, enterprise/operational risk management, governance and advisory. Focus on building sustainable, scalable platforms, including development and improvement of policies, processes, and internal controls, overseeing and conducting RCSAs for first and second line of defense and reviewing third-party administrator controls. Demonstrated ability to adapt quickly to market conditions and to identify and act on important trends.
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Linda prager risk and controls 1 2017
1. Linda C. Prager
New York, NY 10003 lprager1@gmail.com (646) 469-1190
Senior Financial Services Executive
Risk and Controls Operational Excellence Special Projects Advisory Client Management
Solution-oriented professional with extensive experience in leadership, client account management,
enterprise/operational risk management, governance and advisory. Focus on building sustainable, scalable
platforms, including development and improvement of policies, processes, and internal controls, overseeing and
conducting RCSAs for first and second line of defense and reviewing third-party administrator controls.
Demonstrated ability to adapt quickly to market conditions and to identify and act on important trends. Clients
include bulge-bracket financial institutions, asset managers, hedge funds, real estate funds, private equity funds,
institutional investors, other financial services firms, and Fortune 500 companies across industries.
Extensive Client management skills
Built and lead Citi’s equity PB business advisory
15+ years driving strategic, enterprise risk
management, operational risk, and advisory initiatives
Director, 10+ years PwC strategy, risk and controls,
operational excellence & special projects
Advanced degrees include JD and MBA
Work closely with risk/legal/audit and internal audit
to ensure efficient and effective processes and controls
Selected to serve on Coopers & Lybrand (now PwC)
COSO and SOX committees to design frameworks
Participate in senior management governance
forums
Work closely with the businesses to design and
implement key initiatives
Proven track record of influencing stakeholders at
all levels of an organization
Manage simultaneous projects across multiple
functional areas/divisions
Unique ability to navigate large organizations and
generate relationships at senior levels
Expert in internal/external client and relationship
management
Credit Suisse, New York, NY 2015 - Present
Americas Head - Operational Risk Framework and Governance
Primary areas of concentration are framework, governance, policies and procedures Bank-wide:
Currently design framework, governance and structure to reflect best practices for the management and oversight of
operational risk for the Bank;
Americas focus changed to a Global focus in the first two months;
Serve on the Americas Management Team for Operational Risk, along-side Americas Corporate Functions, CCAR,
Change Management, Business, BCM, Advisory Leads among others;
Collaborate with the Americas and Global Operational Risk Management teams on a regular bases to discuss priorities
and to resolve problems or questions as they arise, including those from the business;
Work closely with Enterprise Risk Management to ensure consistency in messaging to regulatory agencies and to the
Bank;
Consistently maintain client account relations.
Barclays Bank PLC, New York Branch, New York, NY 2013 - 2015
Director - Operational Risk
Hired as the RCSA lead for the 2nd line of defense for RCSAs globally by product and functional area;
Worked closely with the framework and governance team;
Conducted review/challenge, identifying gaps, weaknesses/deficiencies in controls, and remediated action plans;
Worked closely with key control areas, the businesses, and senior risk and compliance committees;
Presented to governance forums, BICs, the New York Branch and BCI Board;
Lead special projects for senior management in response to events in the IB;
Navigated the firm to find the resources necessary to meet client needs, and influenced all levels of management.
Citibank N.A., New York, NY 2012 - 2013
Director - Risk Policy Compliance & Control, NA Consumer
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Hired as NA lead to establish industry-leading governance structure and to participate in senior governance forums;
collaborate across control functions (e.g., compliance, enterprise and operational risk management, bank regulatory, Fair
Lending and legal) and the businesses;
Support senior management on initiatives in response to key business and regulatory developments;
Provide broad representation in key control-related forums with businesses and risk and compliance committees;
Work closely with ERM, ORM and risk teams on rollout of new annual risk and management control assessments;
Part of senior working group assessing in-business and oversight risk teams’ interaction for potential redesign.
TATA America International Corporation, New York, NY 2011 - 2012
Director/Consulting Partner
N.A. lead for Risk and Controls, Compliance and Optimization for Banking and Financial Services practice;
Worked closely with clients (both on first and second line of defense initiatives) in the implementation of risk
management frameworks; drafted policies, procedures and controls, conducted gap analyses, and provided
recommendations for improvement;
Worked with senior and C-level management and clients in the front, middle and back office functions maintaining client
relationships and resolving issues at all levels.
ICAP North America, New York, NY 2009 - 2010
Director - Alternative Investments Group (Nine-month engagement)
Hired for a nine-month project during the financial crisis to build ICAP’s secondary market platform and infrastructure:
Defined business strategy, hired staff, built a sustainable, scalable business platform and implemented controls;
Connected GP and LP buyers/sellers of hedge fund, private equity, and real estate secondary market product;
Citi Prime Brokerage, Global Markets & Banking, New York, NY 2005 - 2009
Director/US Head - Optimization/Risk/Compliance
Built Citi Prime Brokerage’s (Citi PB) Business Advisory Practice; promoted to US Head within first six months;
Worked with Citi internally and for Citi’s hedge fund clients on process optimization, risk and controls, including third-
party administrator reviews and resolving client issues, leveraging Citi resources where needed;
For some of Citi’s clients, designed/implemented ERM/ORM Frameworks, conducted RCSAs (first line of defense),
drafted policies, procedures and controls, conducted gap analyses, and provided recommendations for improvement,
including implementing change;
Assessed/redesigned Citi PB’s on-boarding process: Optimized operational infrastructure, people, processes, technology
and internal controls; drafted new policies/procedures, developed accountability matrices and selected technology.
Coordinated senior management across multiple lines of business and disciplines.
PricewaterhouseCoopers, LLP, New York, NY 1996 - 2005
Director - Financial Services Advisory
Served on original C&L committee to develop the COSO and RCSA framework created to help organizations address
risk, controls and compliance matters;
Worked with clients (both on first and second line of defense initiatives) to strengthen operational/enterprise risk
management effectiveness, including third-party administrator reviews;
Worked closely with IA, legal, and other LOBs to assist clients in building sustainable, scalable business platforms;
Reengineered/streamlined business models, resulting in strengthened internal controls, reduced risks, increased revenues,
cost savings, operational efficiencies, and regulatory compliance;
Served on PwC’s SOX and Investment Advisors Act of 1940 committees to help design frameworks for Audit readiness;
Deloitte & Touche LLP, New York, NY 1995 - 1996
Senior Manager/Manager
Fanning, Harper, & Martinson, Dallas, TX 1992 - 1995
Attorney
SuperClub 1990 - 1991, Grant Thornton 1989 - 1990, Neiman-Marcus Group 1988 – 1989, Dallas, TX
Financial Consultant/Analyst 1988 - 1991
Education
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JD, Texas A&M affiliated STCL, 1994
MBA, The University of North Texas, 1988
BBA Finance/Marketing (double major), The University of Texas at Austin, 1986
Licensed by the State Bar of Texas July, 1994. Member, American Bar Association and Texas Bar Association
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