1. Kelly Dreishpoon
Email: dreishfam@gmail.com Phone: 917-862-7885
Personal
Statement
Driven operational risk management and compliance professional with over twenty years’
experience in audit, consulting and risk and controls governance. Well rounded knowledge
of compliance and regulatory requirements applicable to banking with a deep background in
banking (very experienced with AML Compliance and Lending Practices requirements). Well
rounded experience of all areas of operational risk and Basel requirements and a strong
expertise in financial services / capital markets industries. Proven record in of establishing
relationships at all organizational levels and ensuring successful compliance with Corporate
Standards and regulatory requirements. Experienced Leader/Manager of both small and
large sized staffing teams. Skilled at recognizing talent in others and inspiring future leaders
to realize potential with successful results in promoting staff. Strong knowledge of Business
systems and tools, reporting and requirements, which aid in the ability to provide strategic
partnership to the business and providing both consulting expertise and support while
keeping the “big picture” in focus.
Proficient in Microsoft Excel, Powerpoint, Word, Project;
Expert user of Open Pages for Governance, Risk and Control
Experience Capital One Bank Melville, NY
6/2012 – 1/2016 VP / Senior Risk Manager, Commercial Business Risk
Office
● Leader of Operational Loss Event Management Team identifying and managing risk
events, operational breakdowns, technology incidents, audit, credit and regulatory
issues through to remediation and closure in order to capture accurate loss data for
Basel Capital Requirements
● Successfully implemented new system of record for Loss Event Management and
Loss Data collection, Controls monitoring and testing, Third Party Management
assessments resulting in improved data capture and reporting in accordance with Basel
requirements.
● Drove creation of and testing of business requirements for new risk event process
and system implementation resulting in clearer definitions and expectations and
ultimately more accurate and complete data capture and reporting.
● Fostered partnerships with Compliance and Business leaders providing consulting
and support regarding compliance requirements and remediation of control gaps
● Improved Executive Management reporting for all aspects of operational risk across
the Commercial Bank through new tool implementations and report specifications
working with Technical reporting team.
● Performed RCSA across various commercial business units successfully identifying
control gaps and developed risk mitigation plans with senior management within the
business units.
● Set risk appetites and monitored KRIs to provide backward looking view on risk
events and put in place early warning indication of risk appetite tolerance levels
approaching

2. Kelly Dreishpoon
● Drove process improvements throughout operations while provided full risk
management support throughout the operations areas. Included analyzing controls,
performing risk assessments, identifying gaps in process and controls; worked closely
with the senior business leaders on remediation of such gaps.
● Successfully supported system conversions in a project management capacity ensuring
all risks were mitigated and proper business analysis and requirements (regulatory and
customer focused) were identified during planning stages. Successful development and
execution of user acceptance and performance testing.
● Drove the development and completion of Business Continuity/Disaster Recovery plans
and Third Party assessments and reviews.
● Managed internal audit, external audit, and regulatory exams for the business area as
the face to these organizations. Managed the discussions around findings and the
evaluation of such to help ensure the appropriate level of risk and severity of issues
resulting in better ratings on audits and less findings. Developed
remediation/management responses to such findings.
6/2011 – 6/2012 Senior Manager, Commercial Business Risk Control
● Developed, managed and performed First Line of Defense Compliance testing across
the Commercial Bank. Developed testing plans in accordance with regulatory
requirements and Company procedures. Managed a team of testers, reviewed testing
results, presented results and fortified remediation plans with Business Senior
Leadership. Provided support to the lines of business to enhance and/or develop
procedures to ensure compliance with applicable regulations and Company Policies and
Standards. Provided process improvement suggestions to the line of business.
Developed a proficiency in Regulations (AML, Reg B, Reg Z, Reg E, Reg C, HMDA,
etc).
4/2008 – 6/2011 Senior Risk Manager, Bank Risk Management
● Project Manager – Bank-wide representative on multiple risk and control projects across
the Bank and the Company
● Performed Bank Top Risk Assessment in accordance with ERM requirements across the
Bank, and within Commercial and Small Business concentrating on support for Specialty
Lending
● Provided full risk and compliance support to Commercial Lending and Specialty
Businesses within Commercial – Audit, Issue Management, Compliance requirements,
RCSA
● Successfully led payments risk assessment efforts and instituted a new Payments Risk
function across the organization resulting in clearance of OCC MRA.
Rothstein Kass & Company New York, NY
12/2004 – 4/2008 Senior Manager, Corporate Advisory Services
● Developed Consulting Division for Compliance with Sarbanes Oxley and Hedge Fund
specific compliance requirements.
● Managed entire client base of Sarbanes Oxley Compliance Projects (managed staff of 15
consultant teams across various client projects). Managed internal audit services for
NYSE listed companies
● Assisted outside vendor in development of risk and controls monitoring and testing
software for implementation at clients and within firm for SOX testing and monitoring;
expanded use of tool to include risk and compliance monitoring

3. Kelly Dreishpoon
● Created strategic business development plans including marketing campaigns, sales, and
proposal presentation for the Consulting Division
Siegfried Resources New York, NY
12/2003 – 12/2004 Senior Consultant
● Provided Sarbanes Oxley Support to Big Four firm on major capital markets audit clients
● Provided internal audit and accounting assistance for clients in other industries
JPMorgan Chase New York, NY
2002-2003 Vice President, Global Financial Technology
● Business Analyst within Global Technology suporting Investment Banking business units
to enhance efficiency of business processing and implement operational systems
resulting in successful system and general ledger conversions
● Identified and prioritized business requirements, performed cost/benefit analysis and
funding arrangements for financial architecture projects
● Compiled and managed project plans including issue management and executive
reporting throughout the project life cycle
● Manage sections of global financial architecture implementation including writing
accounting rules and defining business requirements for all investment banking/trading
divisions
1999-2002 Vice President, Controls and Financial Advisory
● Provide various advisory support to Finance, Front, Middle and Back Office operations
within the Global Bank
● Developed a complete Risk Assessment Process and administer and maintain Self
Assessment Process throughout the Bank and Investment Bank
● Developed and support adherence to accounting policies including specific policies
around controls over financial reporting and operational controls and regulatory
compliance
● Special Projects – provided on-site project management for Institutional Trust Services
including: develop specific control and risk management processes, provide guidance to
establish reserves and determine write-offs, develop enhanced metric reporting for
management; lead forensic review/investigation sub-project
Lehman Brothers, Inc New York, NY
1998-1999 Senior Business Analyst, Corporate Audit
● Planning, supervision of staff on equity and fixed income securities audits and compliance
reviews
● Develop and discuss action plans with senior management and monitor progress of such
plans
PricewaterhouseCoopers, LLP New York, NY
1993-1998 Senior Associate Audit Lead-In Charge
Financial Services/Capital Markets Assurance Services
● Extensive audit experience in back office operational controls and regulatory

4. Kelly Dreishpoon
accounting/reporting for capital markets clients.
● Three years team leader / senior in-charge on largest client engagement.
● Broker dealer/investment-banking and hedge fund auditing specialization.
Education 1993 St. Joseph University, Philadelphia, PA B.S., Accounting
Interests Community Volunteer Programs, Long Island Soccer Youth Coach, PTA Executive Board,
Catechist for Confirmation Classes