Susan Paul

Susan Paul

Susan Paul is an affiliate expert with Bates Group and is based in New York. She uses her extensive experience in the securities industry to advise clients regarding risk management, corporate governance, compliance and regulatory issues.  Ms. Paul has worked with major financial institutions to prepare for regulatory examinations, respond to regulatory inquiries and to develop risk assessments and remediation plans.

Ms. Paul began her career in the financial services industry providing financial audits of numerous securities firms and their trading subsidiaries which were focused on swaps, derivatives and other trading instruments. In addition, she has conducted audits of mutual funds, investment advisors and broker-dealers.

Ms. Paul has spent over a decade with Goldman Sachs and was responsible for analyzing margin and collateral risk and counterparty exposure. She has also managed risk and control teams throughout Goldman Sachs in New York and Hong Kong. In addition, Ms. Paul was part of the regulatory and compliance committee working closely with regulators in managing the transition of Goldman Sachs to a bank holding company.

Most recently, Ms. Paul worked with Morgan Stanley developing a robust operational risk framework in according with regulatory standards. Her group designed and implemented the risk and control self-assessment program across Morgan Stanley globally.

She has also worked closely with Federal Reserve industry committees on issues related to risks in the derivatives industry, including counterparty exposure. 


Credentials

EXPERIENCE

Bates Group, Affiliate, 2015 - present

BronxWorks, an Encore Fellowship sponsored by Goldman Sachs, 2013 - 2015

Morgan Stanley, Independent Consultant, 2011 - 2012

Goldman Sachs, Vice President, Operational Risk Management, 2000 - 2011

UBS Investment Bank, Assistant Vice President, Derivatives Risk and P&L, 1995 - 1998

DKB Financial Products, 1992 - 1995

Coopers & Lybrand, Financial Services Audit, 1988 - 1992

EDUCATION

Certified Public Accountant, 1991

Villanova University, BS Accounting, cum laude, 1988

PROFESSIONAL QUALIFICATIONS

Series 7- General Securities Representative

Series 63 - Uniform Securities Agent State Law Examination

Automat:ee