Get to Know OCC’s Operational Risk Management and Controls Team

February 07, 2024

The Operational Risk Management and Controls (ORMC) team’s mission at OCC is to enable effective oversight of OCC’s operational and enterprise risks and to foster a strong culture of safeguarding OCC.

The team provides independent oversight, guidance, challenge and monitoring to the organization on its risk identification, assessment, and treatment, including its internal controls, in order to manage the organization’s risk in accordance with OCC’s risk management framework and tolerances.

The team is responsible for performing a variety of activities to identify, capture, assess, monitor, and report on risk across the organization through regular and ad hoc reviews of processes, controls, technologies, events, metrics, and working groups. The team is structured into four sections for overseeing operational risk; overseeing IT/security operations risk; reporting, analytics, and governance; and managing enterprise governance, risk, and compliance (eGRC) software.

Team Bios

Darci Trout

Executive Director, Risk and Control

Professional Background:

  • Head of the ORMC team overseeing the operational risk; IT/security operations risk; and reporting, analytics and governance functions at OCC.
  • 20+ years of experience in financial services and consulting, including 8 years with OCC.
  • Skilled in risk management, business process improvement, risk assessment, internal audit, and program management.

Fast Facts:

  • Named in the World Federation of Exchange’s Women Leaders 2023 list.
  • Member of the Executives Club of Chicago’s 10th LEAD Cohort.
  • Co-sponsor of OCC’s employee network group Women’s Leadership Network (WLN).

Education:

  • Bachelor of Arts degree from University of Minnesota.
  • Master of Business Administration in finance from University of Missouri Trulaske College of Business.

Duy Tran

Executive Director, Risk and Control

Professional Background:

  • Leads the IT/security operations risk and the dedicated Archer resource functions.
  • 15+ years of experience in financial, accounting, security, and technology auditing, including 7 years with OCC.
  • Skilled in risk management, internal audit, financial analysis, and risk assessment.

Fast Facts:

  • Holds a Certified Information Systems Auditor® (CISA®) certification.
  • Is a first-generation college student.

Education:

  • Bachelor’s degree in accounting and finance from DePaul University.

Celine McGuire

Director, GRC

Professional Background:

  • Leads the operational risk team responsible for the control and administrative functions of all groups within OCC’s Business Operations.
  • 20+ years of experience in financial services, including nearly 1 year with OCC.
  • Skilled in risk control self-assessment, risk management, internal controls, and change management.

Fast Facts:

  • Holds Series 7 and Series 66 licenses.
  • Previously worked at a bungee jumping site and enjoyed sky diving.

Education:

  • Bachelor’s degree from University of Quebec in Montreal.
  • Master’s degree in business administration from Dominican University.

Varun Ebenezer

Principal, Enterprise Risk Management

Professional Background:

  • Responsible for the identification, oversight, challenge and assessment of the organization’s risk related to technology and security.
  • 16+ years of experience in financial services, accounting, law, and nonprofit, including 1 year with OCC.
  • Skilled in risk management, regulatory compliance, technology auditing, and process improvement.

Fast Facts:

  • Holds a CISA certification.
  • Enjoys spending time with his family, traveling, and trying new restaurants. 

Education:

  • Bachelor’s degree in history and sociology from the University of Wisconsin-Madison.
  • Master’s degree in information systems from DePaul University.

Paige Neumann

Manager, Operational Risk Management

Professional Background:

  • Oversees OCC’s enterprise risk assessment, project risk assessment, fraud risk assessment, risk event monitoring, and risk reporting activities.
  • 9+ years of experience in financial services, including 4 years with OCC.
  • Skilled in enterprise risk management, internal audit, workflow applications, and access management.

Fast Facts:

  • Ambassador of OCC’s employee network group (ENG) Women’s Leadership Network and previously served on the board of the Women’s Initiative Network at CME Group.
  • Certified in COSO Internal Controls, COSO Enterprise Risk Management, and PRMIA Operational Risk Management and is a Certified Fraud Examiner (CFE).

Education:

  • Bachelor’s degree in international business and business administration from Lewis University.
  • Master’s degree in business administration and management from Lewis University.

Sylvia Cerino-Sauer

Associate Principal, Release Engineering

Professional Background:

  • Responsible for reviewing large volumes of GRC data, such as regulations, processes, and controls, in the enterprise GRC platform, Archer.
  • 25+ years of experience in financial services, including 6 years with OCC.
  • Skilled in RSA Archer eGRC, enterprise risk management, project management, and software development life cycle (SDLC). 

Fast Facts:

  • Served as an Archer eGRC application consultant and as a system administrator with Northern Trust Corporation for 20 years.
  • Graduate of HACE’s cohort based Mujeres de HACE Program.

Education:

  • Bachelor’s degree in economics from University of Illinois Chicago.
  • Computer Career Program Certificate from DePaul University.

Colleen Gallagher

Associate Principal, Business Operations ERM

Professional Background:

  • Responsible for helping the team manage operational risk across OCC.
  • 16+ years of experience in financial services and government administration, including 4 years with OCC.
  • Skilled in financial analysis, auditing, enterprise risk management, and control testing.

Fast Facts:

  • Is a CFE and a CPA.
  • Enjoys traveling, running, and reading.

Education:

  • Bachelor’s degree in accounting from Loyola University Chicago.
  • Master of Business Administration, Financial Fraud, from Saint Xavier University.

Junaid Shaikh

Associate Principal, Operational Risk Management

Professional Background:

  • Responsible for helping the team manage IT/security operations risk across OCC.
  • 12+ years of experience in financial services, telecommunications, manufacturing, and consulting, including 2 years with OCC.
  • Skilled in enterprise risk management, risk strategy and execution, IT audit, and risk assessment.

Fast Facts:

  • Holds a CISA certification and is a Certified Public Accountant (CPA).
  • Was a member of Delta UPE Honor Society at DePaul University.

Education:

  • Bachelor’s degree in accounting from University of Illinois Chicago.
  • Master’s degree in business information technology from DePaul University.

Pavan Venkata

Associate Principal, Release Engineering

Professional Background:

  • Responsible for reviewing large volumes of GRC data, such as regulations, processes, and controls, in the enterprise GRC platform, Archer.
  • 12+ years of experience in financial services, biotechnology research, and education, including 4 years with OCC.
  • Skilled in operational risk management, applications architecture, system administration, and technical analysis. 

Fast Facts:

  • Is an RSA Archer 6 Certified Associate.
  • Received OCC’s Commitment to Excellence Award twice in 2022.

Education:

  • Master’s degree in information technology and management from Campbellsville University.
  • Master's degree in computer science from Silicon Valley University.

Nick Pryor

Associate Principal, Operational Risk Management

Professional Background:

  • Responsible for helping the team manage operational risk across OCC, including enterprise risk assessments and scenario analysis exercises.
  • 8+ years of experience in financial services audit and consulting, including 4 years with OCC. 
  • Skilled in both business and IT controls’ testing and assessments.

Fast Facts:

  • Holds a CISA certification and is a CPA.
  • Received OCC’s Individual Excellence Award in 2022 and 2023. 

Education:

  • Bachelor’s degree in accounting from Michigan State University.
  • Master’s degree in accounting from University of Illinois Chicago.

Harrison Keyes

Associate Principal, Data Analytics Engineering

Professional Background:

  • Supports ORMC team in the Reporting, Analytics and Governance functions.
  • 9+ years of risk management and regulatory compliance experience in financial services, including 5 years with OCC.
  • Skilled in Tableau, Alteryx, and Structured Query Language (SQL) and has worked with Python, R, and other coding languages.

Fast Facts:

  • Previously was a licensed attorney in Illinois where he interned with an Illinois Administrative Agency, a U.S. Senator, and a Federal Magistrate Judge. He pivoted towards a career in Data Science during the pandemic.
  • Has volunteered with multiple Chicago nonprofits including One Tail at a Time and Working Bikes.

Education:

  • Bachelor’s degree in philosophy from Roosevelt University.
  • Juris Doctor from University of Illinois Chicago School of Law.
  • Completed coursework toward Master of Science in Analytics from University of Chicago.

Paulo Oliveira

Associate Principal, Enterprise Risk Management

Professional Background:

  • Supports ORMC team in the Reporting, Analytics and Governance functions.
  • 6+ years of experience in financial services and software, including 4 years with OCC.
  • Skilled in program management, risk governance and reporting, key risk indicators, and risk acceptances.

Fast Facts:

  • Completed the STARTALK Intensive Russian Language and Culture program at the University of Central Florida.
  • Is an Ambassador of OCC’s ENG HOLA (Hispanic/Latino OCC Leaders and Allies).

Education:

  • Bachelor’s degree in finance from University of Central Florida.
  • Currently pursuing a master’s degree in computer science from DePaul University.

Craig Burns

Senior Associate, Enterprise Risk Management

Professional Background:

  • Supports the management of operational risk across OCC.
  • 6+ years of experience in financial services, education, and healthcare, including 1 year with OCC.
  • Skilled in operational risk testing and monitoring, data analysis, and project management.

Fast Facts:

  • Started his career working in anti-money laundering in the banking industry.
  • Is ambidextrous.

Education:

  • Bachelor’s degree in political science from University of Illinois Chicago.

Jeremiah Mall

Senior Associate, Enterprise Risk Management

Professional Background:

  • Responsible for mastering IT/security risk across OCC by managing IT risk assessments and security controls and driving mitigation strategies. 
  • 5+ years of experience in financial services, including 2 years with OCC.
  • Skilled in agile methodologies and project management.

Fast Facts:

  • Certified in ITIL® and Cloud Security Knowledge (CCSK).
  • 7+ years of volunteer web development experience at United Methodist Communications and DePaul University.

Education:

  • Bachelor’s degree in applied science (IT) from DePaul University.
  • Master’s degree in cybersecurity from DePaul University.
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