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Meet with Treliant at ABA Risk

Treliant is a proud Sponsor of the American Bankers Association (ABA) Risk Management Conference. Members of our Regulatory Compliance, Fair and Responsible Banking, and Global Financial Crimes Compliance teams look forward to connecting with you at the conference to discuss the changes and challenges impacting the financial services industry.

Ross Marrazzo, Managing Director, will moderate the panel "Innovations in Risk Management: AI for Risk Qualification" on Sunday, March 18th from 4:00 PM - 5:00 PM. Join for a conversation on some of the new thoughts on how AI could be used for risk quantification. The panel will explore big data, predictive analytics, and questions you should ask yourself before you invest heavily in a new set of analytic tools.

Please join Susanna K. Tisa, Chief Executive Officer, Ross Marrazzo, Managing Director, Kathlyn L. (Lyn) Farrell, Senior Advisory Board Member, and James R. Causey, Senior Director, for the Power Hour Breakfast Session: "Risk Oversight at the Board Level: What Will New Expectations Mean for Risk Executives?" on Monday, March 19th from 7:00 AM - 8:00 AM. The Fed’s proposed corporate governance guidance aims to change and clarify boards of directors’ risk oversight responsibilities. Though many current guidelines will be replaced, the Fed recently applied existing expectations in a major enforcement action against board directors. This session will discuss how risk management leaders can advise boards on best practices amid changing expectations.

Kathlyn (Lyn) L. Farrell, Senior Advisory Board Member, will address "Measuring Sales and Conduct Culture Risks" on Monday, March 19th from 2:30 PM - 3:45 PM and on Tuesday, March 20th from 10:15 AM - 11:30 AM. Everyone is talking about managing sales and conduct culture risks, but as risk managers, we know it begins with establishing a process to measure, monitor, and control for risk. Join the panel as they discuss specific key risk indicators (KRIs) and other metrics in measuring conduct/sales culture risk, developing a framework for controls, as well as specifics on auditing conduct/sales culture risk.

To learn more about our Trusted Advisory Services or to reach out to us personally in advance of the ABA Risk Management Conference:



Treliant's Trusted Advisory Services include:

Regulatory Compliance

  • Risk Assessments and Monitoring Programs (Compliance and UDAAP)
  • Regulatory Exam Readiness, Support, and Remediation
  • Compliance Management System (CMS) Program Assessments
  • Sales Incentive Practice Assessments
  • Marketing and Sales Reviews
  • Deposit or Lending Operational Reviews
  • Servicemembers Civil Relief Act (SCRA) and Military Lending Act (MLA) Reviews
  • Fair Credit Reporting Act (FCRA) Reviews, including Credit Bureau Reporting and Data Usage
  • Transactional Lookbacks (Regulation E, Credit Reporting)
  • Complaint Management Reviews
  • Compliance Training
  • Third-Party Risk Management
  • Merger & Acquisition Readiness, Due Diligence, and Integration
  • Ethics Program Reviews, Assessments, and Implementation
  • First Line and Second Line of Defense Interaction Model Assessments

Fair and Responsible Banking

  • Fair Lending/Fair and Responsible Banking Risk and Control Assessments
  • Statistical Analysis, including Regression and Proxy Capabilities
  • Quantitative and Qualitative Program Assessments
  • Home Mortgage Disclosure Act (HMDA) Program Reviews
  • CMS Program Builds and Assessments
  • Model Validation
  • Redlining, including Digital Redlining
  • UDAAP Risk and Control Assessments
  • Community Reinvestment Act (CRA) Self-Assessments
  • Fair Banking and CRA Performance Context Development
  • File Reviews and Matched Pair Testing

Global Financial Crimes Compliance

(AML/BSA; Economic Sanctions/OFAC; Anti-Bribery/Corruption)
  • Program Design, Implementation, and Assessment
  • Program Health Checks and Efficiency Reviews
  • Risk Assessments and Risk Assessment Methodology
  • Customer Risk Profiling—Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and Customer Identification Program (CIP)
  • Alert and Case Management Process Reviews
  • Systems Tuning and Assessment—Rules/Scenarios; Fuzzy Logic
  • Model Governance and Validation
  • New Systems Identification and Implementation
  • Data Analytics and Investigations
  • Compliance and Audit Staff Augmentation
  • Compliance Testing
  • Independent Audits
  • Program Outsourcing
  • Lookbacks (CDD/EDD; Transactional)
  • Regulatory Issue Remediation and Corrective Action Validation
  • Regulatory Monitorships and Independent Consultancies

FinTech Compliance

  • CMS Assessments
  • Compliance Policies, Procedures, and Strategies
  • Risk Assessments and Monitoring Programs (Compliance and UDAAP)
  • UDAAP or Fair Lending Program Assessments
  • Due Diligence
  • Third-Party Risk Management
  • Strategic Advisory related to Acquisitions and Partnerships

Mortgage Operations and Compliance

  • Mortgage Origination and Servicing Risk Assessments
  • Loss Mitigation Compliance Analysis, Remediation, and Process Repair
  • HMDA Data Integrity and Filing
  • Merger and Acquisition Due Diligence and Integration
  • Technology Strategy and Integration
  • Anti-Money Laundering (AML) and Bank Secrecy Act (BSA) Compliance
  • Audit: Staff Augmentation and Training
  • Servicing Transfer Compliance Testing
  • Secondary Marketing Operational and Compliance Risk Assessments
  • TILA-RESPA Integrated Disclosure (TRID) Rule Compliance Implementation, Testing, and File Reviews
  • Process and Procedure Writing
  • Fair Lending and CRA Compliance
  • Litigation Support and Crisis Response, including Expert Services

Litigation Support

  • Pre-Trial Investigation and Claim Analysis
  • Expert Witness Services and Associated Support Teams
  • Expert Report Preparation
  • Government Investigation Response and Risk Analysis
  • Federal Housing Administration (FHA) Origination and Servicing Disputes
  • Damages Estimates and Reports
  • Litigation Document Management

Financial Markets Conduct and Compliance

  • Comprehensive Spot and Electronic Markets Expertise, including Fixed Income, Equities, Rates/Benchmarks, Futures/Derivatives
  • Health Checks of International Banks’ Trading Activities
  • Design, Implementation, and Validation of Preventative Market Surveillance and Controls
  • Automated Trading and Pricing Algorithm Model Review and Validation
  • Culture, Conduct, Sales Practices, and Governance Reviews
  • Compliance Gap Analyses and Design of Compliance Remediation Programs, including MiFID II Compliance
  • Internal Investigations and Regulatory Remediation Planning and Implementation
  • Litigation Support

Treliant Team at the ABA Risk Management Conference 2018

Ross Marrazzo

Ross Marrazzo

Managing Partner

Ross Marrazzo is Managing Partner of Treliant. He is also responsible for the firm’s Corporate & Regulatory Compliance and Global Financial Crimes Compliance services areas. Ross has over 34 years of domestic and international experience in the design, oversight, and assessment of corporate and regulatory compliance, Anti-Money Laundering/Bank Secrecy Act, Global Economic Sanctions/Office of Foreign Assets Control, fraud, and anti-bribery/corruption programs, along with operational risk management. He possesses a thorough knowledge of executive and operating functions and responsibilities within public companies and the financial services industry, including for corporate compliance, consumer and commercial banking, investment banking, insurance, and securities. Ross has held compliance and audit executive positions within a number of institutions, covering a wide range of geographical locations, including GE Capital; First Niagara Financial Group; The Depository Trust & Clearing Corporation; and Citigroup. He has also worked in the securities industry on public and private offering compliance, and as an examiner at the New York State Securities Division.

Ross has extensive experience in remediating and testing controls to remediate regulatory issues, and in working with U.S., state and foreign regulators. Through his international experience, Ross possesses a broad understanding of foreign regulatory expectations. Ross’ U.S. government agency experience includes working with the FRB, OCC, CFPB, SEC, FTC, FINRA and DOJ, along with state banking, securities, and insurance government agencies. He has led large teams on independent consultancies and monitorships for federal and state government agencies, involving U.S. and foreign institutions and their U.S. subsidiaries covering AML/BSA and Economic Sanctions/OFAC compliance and fraud issues encompassing multiple jurisdictions worldwide.

Ross is a graduate of St. John’s University and is a Certified Fraud Examiner. 

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Corp LevelExecutive Leadership
Corp LevelExecutive Leadership
Professional Sort Order4
Emailrmarrazzo@treliant.com
Phone202.815.8203
First NameRoss
Last NameMarrazzo
CertificationCFE
Skills
  • Anti-Bribery and Corruption
  • Anti-Money Laundering / Bank Secrecy Act
  • Compliance Audits
  • Compliance Programs
  • Conduct Risk
  • Corporate Governance
  • Due Diligence
  • Ethics Programs
  • Executive Leadership
  • FinTech Compliance
  • Fraud Risk Management
  • Independent Monitorships and Consultancies
  • Lookbacks
  • OFAC / Economic Sanctions
  • Operational Risk
  • Regulatory Exam / Management
  • Regulatory Relations
  • Remediation Plans / Implementation and Effectiveness Testing
  • Risk Assessments
  • Strategy / Strategic Planning
  • Third-Party Risk Mitigation
  • Unfair, Deceptive, or Abusive Acts or Practices (UDAAP) Readiness
Professionals Sort By Title5
Service Areas
  • Executive Leadership
  • Financial Crimes Compliance
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