Katharine Poplos
Middletown,DE
Summary
Results-driven and detail-oriented professional with a strong background in compliance and regulations management. Skilled at tracking, monitoring, and ensuring adherence to regulatory requirements across multiple workstreams and business units. Proven ability to develop comprehensive reports, streamline processes, and provide training to support compliance and operational efficiency. Collaborative team player with a focus on improving workflows, mitigating risks, and consistently achieving deliverables.
Overview
11
11
years of professional experience
Work History
Global Regulatory Compliance Risk – Vice President
Citibank
10.2021 - Current
- Streamline end-to-end process for handling new and changes to existing regulations, from initial notification to completion of required actions, including identifying process inefficiencies and suggesting enhancements.
- Spearhead proactive and real-time status-based reporting, ensuring business units are aware of overdue tasks and upcoming deadlines related to regulatory changes.
- Provide input on defining key performance indicators and develop a comprehensive suite of reports to provide actionable insights on business performance against newly developed key performance indicators as well as universal key indicators, enabling leadership to make informed decisions.
- Collaborate closely with business users to gather feedback, conduct user acceptance testing, and ensure smooth implementation of consent order related workstreams and process changes.
- Manage the tracking and monitoring of progress for consent order deliverables related to regulations, ensuring deadlines were met and compliance was achieved.
- Design and deliver training materials on a variety of compliance-related topics, increasing awareness and ensuring adherence to regulatory requirements.
Control Manager – Program
JPMorgan Chase
02.2021 - 09.2021
- Collaborate with Control Managers to evaluate the end-to-end execution of Risks & Controls to mitigate control gaps or breaks in order to reduce financial loss, regulatory exposure, and reputational risk.
- Engage with business, management, legal, compliance, audit, regulators and technology control functions as needed to remediate issues and errors and perform root cause analysis to prevent future occurrences.
- Work with leadership and Control Managers to identify improvement and enhancement opportunities within the existing control framework.
- Identify and report meaningful metrics to inform senior management on the health of the operational risk and control environment.
- Provide training and ongoing feedback to Control Managers to maintain a strong control environment which identifies, escalates, addresses, and mitigates risks in a timely manner.
- Perform ongoing analysis of program related data and develop ad-hoc reports as needed for Control Managers and senior management.
Suitability/Options Hub – Analyst
JPMorgan Chase
12.2017 - 02.2021
- Process and verify thousands of requests to update suitability information as well as add options approvals to accounts to ensure high net worth clients are qualified and able to trade within department standards.
- Monitor team's workflow to ensure accounts are updated according to procedure.
- Respond to inquiries including status updates, questions and escalations from requestors, investors, and supervisory managers.
- Review and process accounts on the SEC Exceptions report to ensure all newly opened brokerage accounts receive the appropriate regulatory required SEC letter.
- Coordinate with technology partners to streamline process of approving options on accounts by identifying and resolving technology barriers.
Due Diligence Operations – Analyst
JPMorgan Chase
08.2016 - 12.2017
- Research, document, and analyze background information on JPMorgan's prospective and existing clients in order to properly identify risks and escalate derogatory findings to senior management.
- Communicate derogatory information in written form and exercise sound judgement in determining how to disposition records.
- Analyze and summarize large volumes of data to report accurate metrics to the line of business.
- Ability to multi-task and meet deadlines in a high-pressure environment while maintaining one of the highest throughput and quality standards in the department.
- Utilize time management skills to prioritize cases based on due date and line of business priorities to ensure high risk findings are compiled and forwarded to review in a timely manner.
- Lead bi-weekly touchpoints within the line of business communicating metrics to senior management, resolving discrepancies with findings reported by Due Diligence Operations, and communicated applicable policy and procedure changes to appropriate stakeholders.
Team Lead and Reviewer
Delaware Claims Processing Facility
06.2014 - 08.2016
- Analyze asbestos claims in order to properly pass the claim or identify any medical or exposure deficiencies.
- Re-review asbestos claims to determine if the assigned deficiency codes are correct.
- Review assigned arbitration claims and summarize analysis to senior management.
- Train incoming claim reviewers and attorneys new to the arbitration project.
- Evaluate employee skills and knowledge regularly, providing hands-on training and mentoring to individuals with lagging skills.
- Wrote standard operating procedures as well as job aids to ensure the same standard was applied to all claims being reviewed.
Education
Bachelor of Arts - English - Professional Writing
University Of Delaware, Major: English
Newark, DE06.2014
Skills
- Regulatory Compliance: Tracking, monitoring, and managing adherence to new and existing regulations
- Reporting & Data Analysis: Designing and implementing reports for compliance tracking and performance monitoring
- Process Improvement: Streamlining workflows, providing feedback, and suggesting process enhancements
- Project Management: Managing timelines, deliverables, and compliance-related initiatives
- Training & Development: Creating training programs and conducting sessions for business users on regulatory compliance and relevant updates to enhance understanding and adherence
- Cross-functional Collaboration: Engaging with business units to ensure alignment on regulatory requirements and deadlines
Timeline
Global Regulatory Compliance Risk – Vice President
Citibank
10.2021 - Current
Control Manager – Program
JPMorgan Chase
02.2021 - 09.2021
Suitability/Options Hub – Analyst
JPMorgan Chase
12.2017 - 02.2021
Due Diligence Operations – Analyst
JPMorgan Chase
08.2016 - 12.2017
Team Lead and Reviewer
Delaware Claims Processing Facility
06.2014 - 08.2016
Bachelor of Arts - English - Professional Writing
University Of Delaware, Major: English
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