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18 years of experience in compliance, risk management, strategic planning, consulting and audit in the financial services industry. Leadership role and.

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Presentation on theme: "18 years of experience in compliance, risk management, strategic planning, consulting and audit in the financial services industry. Leadership role and."— Presentation transcript:

1 18 years of experience in compliance, risk management, strategic planning, consulting and audit in the financial services industry. Leadership role and 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, 85 Broads, KPMG Audit Committee Institute, KMG IFRS Institute. Yvonne I. Pytlik, CPA, MBA Global Compliance Risk Management Professional Profile

2 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. Distinct Recognitions 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 DeAM MFs for the CCO Annual Report as “the best in industry” which contributed to cost savings and lower insurance premiums for DeAM. Comprehensive strategic planning initiatives and risk management functions were implemented for the first time in history for Asset Management Division. Member of the risk management committees and business oversight committees (MFs Pricing and Valuation, Conflicts of interest, New Product Approval, New Clients Adoption, etc). Representative 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”. Yvonne I. Pytlik, CPA, MBA Global Compliance Risk Management Global Leadership and Oversight – Major Accomplishments

3 Representative Examples of Global Leadership and Oversight Leadership and oversight to teams of 24 professionals up to 110 globally, at Director, VP and AVP levels. Leadership and strategic directions to 3 global heads – Directors (CRS sub-divisions) in process reengineering and global initiatives (e.g., divisional consolidations, implementation of automated compliance monitoring for control room, surveillance and investigations units, strategic planning). Leadership and strategic direction to the Global Compliance Risk Management Practice Group, 7 Directors and VPs in developing risk assessment standards, methodologies and reporting. Leadership, oversight and implementation of the risk management functions with Regional Heads of Europe and Asia Pac, and 21 Compliance Officers globally. Leadership and strategic direction to 7 major business divisions in identifying and mitigating high compliance risks globally. Working closely with the business, global divisional heads and COOs on mitigation action plans. Leadership and oversight to the AM Global Practice Group in developing and implementing the Chief Compliance Officer Program in Americas. 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. Leadership to Investment Management Compliance teams to enhance and automate guidelines monitoring/ trading surveillance standards and processes across all products and clients in the Asset Management Division. Yvonne I. Pytlik, CPA, MBA Global Compliance Risk Management Global Leadership and Oversight - Major Accomplishments

4 2008 – Director – Deputy Head of Central Functions, Risk Management and Strategic Planning – Global Compliance – Deutsche Bank AG (2000-2008) Responsible for the enterprise-wide global compliance risk management functions for the Investment Banking, Asset Management and Private Wealth Management Divisions at Deutsche Bank AG Established and enhanced the global compliance risk management functions, methodologies, standards and reporting 2005 - 2007 – Director – Head of Compliance Program Oversight – Global Compliance Asset Management Compliance Senior Advisory role. Led and supported the key global compliance strategic initiatives and global projects Developed and implemented the Global Compliance Risk Management Program in Americas, Europe and Asia Pacific Regions (21 countries) Developed and implemented the Chief Compliance Officer Program for the Investment Company, Investment Advisor and Broker Dealer businesses Supported Mutual Fund Boards and integrated the risk management functions with the Senior Business Management Developed and implemented the industry best practices for risk management methodologies, standards and reporting 2002 – 2004 – Vice President – Head of Investment Management Compliance (IMC) Group Compliance Senior Advisory role to Portfolio Managers, Traders and Investment Management regarding compliance and regulatory requirements Implemented the risk-based and automated compliance guidelines monitoring programs applying industry best practices 2000 – 2002 – Vice President – Internal Audit and Corporate Risk Management Overall responsibilities for business risk (operational, investment and compliance) and technology risk assessments. Managed internal audit functions. 1990 – 2000 – Progressive Experience in Major Corporations: KPMG LLP Consulting, John Hancock, BayBanks/ Bank of Boston, FHLB Yvonne I. Pytlik, CPA, MBA Global Compliance Risk Management Professional Experience

5 Yvonne I. Pytlik Performance Evaluation and Rating 2006 to 2008 Performance Management Report Performance CategoryPerformance Evaluation 2006/2007 (1) Rating (Dual) Performance Evaluation 2007/2008 (1) Rating Financial and Business Success Far Exceeds Expectations5/5Far Exceeds Expectations5 Operational ExcellenceExceeds Expectations4/4Far Exceeds Expectations5 Culture and Behaviour – Franchise Building Far Exceeds Expectations/ Exceeds Expectations 5/4Far Exceeds Expectations5 Culture and Behaviour – Leading People Exceeds Expectations/ Meet Expectations 4/3Exceeds Expectations4 Technical Knowledge and Skills, Self Development Exceeds Expectations4/4Far Exceeds Expectations5 2008 Overall Quarterly Rating (2) Exceeds Expectations4 (1)Dual performance evaluations (Manager / Additional Manager) as of February 2007 and January 2008, respectively. (2)1Q – 2008- overall performance evaluation as Deputy Head of CRS Global Division as of April 2008 (exceeds expectations 4). Performance Evaluation Rating/ Scale from 1 to 5 Far Exceeds Expectations as the highest rating. Far Exceeds Expectations (5), Exceeds Expectations (4), Meet Expectations (3), Below Expectations (2), Do not meet expectations (1)


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