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Gerald “Gerry” Roop is a Principal in Treliant’s Compliance service area. He has significant experience partnering with financial services clients and leading compliance, risk, regulatory, and financial programs. His work has also included technical requirements, operational and process transformation, controls, and security, along with supporting data and analytics.

Prior to joining Treliant, Gerry has held key roles in global advisory firms and in industry, including Chief Financial Officer for a publicly traded financial services company. In his career, he has developed proficiency across the range of financial services compliance, risk management, and operations, including the following:

Compliance. Gerry has led complex programs to develop and improve client compliance capabilities, including: compliance policy frameworks (i.e., formulation, updates, implementation, and global rollouts), operating models for efficient process and resource deployment, and integration of compliance standards and controls in operations (first line of defense). He has assisted clients by testing the effectiveness of compliance controls and policies, including internal data and client data privacy, market conduct, IT and network security, and data (backup, storage, recovery, and encryption). Gerry has also supported clients with rapid implementation of laws, rules, regulations, and programs including the European Union’s General Data Protection Regulation (GDPR), International Financial Reporting Standards (IFRS), the Sarbanes-Oxley Act, Securities and Exchange Commission (SEC) regulations, Federal Reserve requirements such as the Comprehensive Capital Analysis and Review (CCAR), Anti-Money Laundering (AML), and the Basel Committee on Banking Supervision’s standard number 239 (BCBS 239).

Risk Management. Gerry has partnered with clients in the development of comprehensive risk and control capabilities, risk registers, Key Risk Indicators (KRIs), and Governance, Risk, and Compliance (GRC) systems, along with digital tools for analytics and reporting. He has helped clients integrate and rationalize risk controls across the three lines of defense. He has developed rules-based programs for risk audit and monitoring, IT operating and general controls, and cybersecurity. Gerry has experience with risk model modernization, including common enterprise modeling tools and data, consolidation of modeling results, and multi-dimensional risk model analytics and reporting (e.g., enterprise, legal entity, business unit, channel, customer segment, and product).

Operations. Gerry has assisted clients with process transformation in key capabilities—Finance, Treasury, Tax, M&A, Investment Management, Enterprise Risk Management, Fraud and Financial Crime, Compliance and Ethics, Audit, IT, Operations, and Procurement. These transformation programs have increased productivity, reduced cycle time, improved customer service, and optimized cost-effectiveness. Gerry has supported clients in litigation, regulatory matters, financial crimes investigations, due diligence, and forensic accounting. He also has experience with FinTechs in security, vendor analysis and selection, implementation, and expense optimization.

Gerry has a BS in Accounting and Honors from Villanova University. He is a Certified Public Accountant (CPA) and Certified Information System Auditor (CISA).