Dustin Crosby

Dustin Crosby is a Director in KPMG’s Financial Services Regulatory and Compliance Risk practice with over 15 years of Financial Services experience. He’s led initiatives implementing and enhancing operational and compliance policies and procedures; responding to regulator exams and inquiries; enhancing supervisory controls; and systematizing regulatory rules.  Those initiatives have traversed regulatory reform, process improvement, change management, technology delivery and operations transformation. His domain experience has included payment and receivable solutions, online banks, securities broker dealers, risk management and investment banking swap dealers.  He has a strong interpersonal background across multiple organizational levels having worked with C-level executives and global teams.

Professional and Industry Experience

• Led regulatory driven risk and control operational risk workshops for Capital Markets senior Partners inclusive of current state analysis and competitor bench-marking (Direct team manager for 6+ team members, Matrixed management of 12+) 
• Lead for a project at a top 10 U.S. financial institution that focused on developing and executing a controls testing program
• Led a global PMO for a leading investment bank’s conduct remediation, inclusive of CFTC, FINRA and other Reg tradable requirements (100+ person global team).
• Developed and implemented a comprehensive risk management framework, inclusive of gap analysis, remediation plan and LoD testing
• Analyzed comprehensive legal records management processes and systems for the legal department of a top Investment Bank
• Led a global PMO for regulatory remediation of Supervision, Surveillance, Policies and Procedures, Compliance Testing, Risk Assessment, New Activities, Training, New Rules and Regulations, Duties and Responsibilities, Issues Escalation, E-Trading, and Programmatic reviews
• Managed a team of business analysts, testers PMs, architects and QA analysts in a highly matrixed environment
• Led global build of a new compliance system for cross-asset tradable product set
• Systematized global selling restriction logic for a leading investment bank
• Led current state system and process assessments, including workshops for end to end analysis
• Synthesized and created materials for presentation to C-Level leadership and Board of Directors
• Developed target operating model for reporting, metrics and scorecards
• Implemented Data Lineage and Data Quality people, process and technology improvements
• Led end to end Agile daily scrum (12+ persons); quality assurance for governance and communication