Vivek Misra, Senior Director with Treliant’s Regulatory Compliance and Risk Management practice, is a senior financial services risk and control management executive with extensive experience in consumer, wealth management, commercial, and institutional banking businesses. He has demonstrated success in enterprise-wide leadership roles in enterprise, compliance, anti-money laundering, operational, conduct, and reputation risk and controls management, with impactful engagement in driving transformational change.

Vivek’s prior U.S. and international roles have also included Chief Financial Officer, Operations Head, and Audit Director at Citigroup, JPMorgan Chase, and Wells Fargo.

He brings strong banking product and process knowledge, and a breadth of experience through effective execution across all key risk management and audit pillars. These include risk program framework and policy design, program implementation and execution, emerging risks, adoption of safety and soundness principles and heightened regulatory standards, new product programs, metrics and analytics, reporting and governance, risk assessment and testing programs, issues and remediation management, process reengineering, training, regulatory engagement and exam management, project and change management, automation and technology, and engagement with business leadership and board risk committees.

 

Areas of Specialization

  • Anti-Bribery and Corruption
  • Anti-Money Laundering / Bank Secrecy Act
  • Commercial Banking
  • Community Reinvestment Act (CRA)
  • Compliance Audits
  • Compliance Programs
  • Conduct Risk
  • Consumer Laws / Regulations
  • Corporate Governance
  • Corporate Investigations
  • Credit Card / Payments
  • Data Privacy
  • Data Risk Management / Data Science
  • Due Diligence
  • Ethics Programs
  • Executive Leadership
  • Fair Lending
  • FinTech Compliance
  • Fraud Risk Management
  • Government Investigations / Whistleblower Response
  • Home Mortgage Disclosure Act (HMDA)
  • Information Security
  • Lookbacks
  • Model Validation
  • Mortgage Law / Regulations
  • Mortgage Operations and Servicing
  • OFAC / Economic Sanctions
  • Operational Risk
  • Program Management
  • Recovery and Resolution Planning (Living Will)
  • Regulatory Exam / Management
  • Remediation Plans / Implementation and Effectiveness Testing
  • Retail Sales Incentive Practices
  • Risk Assessments
  • Securities Compliance / Brokerage
  • Technology Services
  • Third-Party Risk Mitigation
  • TILA-RESPA Integrated Disclosure (TRID) Compliance
  • Unfair, Deceptive, or Abusive Acts or Practices (UDAAP) Readiness