Elizabeth worked with multiple broker-dealer entities of various global banks to design and implement financial regulatory reporting business requirements within the context of various large-scale transformational projects. In these projects, Elizabeth led a workstream that interacted with all functional groups to ensure that end-to-end financial regulatory reporting processes were implemented in accordance with the relevant regulations (e.g., SEC Rules 17a-5 Broker Dealer Reports, 15c3-1 Net Capital, 15c3-3 Customer Protection). In all cases, the clients were implementing significant changes across the entities in question and needed support to ensure that the future-state design would comply with the applicable reporting and regulatory standards.

Elizabeth and her team assessed and cataloged current state processes, documented expected changes, and provided guidance to key stakeholders around the implications of future-state design on compliance with relevant regulations. The clients benefited, as they had a project leader focused specifically on the financial regulatory requirements. The project deliverables included business requirements documents, current-state vs. future-state gap analysis, future-state design, a project plan showing key interaction points across workstreams, and the mapping of relevant regulatory systems, process, controls, and ownership.

Note: This work was performed prior to joining Stout.