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More>Leo Panda
Graduated with honors; focused on corporate finance, accounting, and business law.
Risk and Compliance Manager with 8+ years of experience in financial services, insurance, enterprise risk management, and regulatory compliance. Skilled in SOX controls, audit readiness, policy governance, issue remediation, and executive reporting. Known for building practical compliance programs that reduce exposure, improve accountability, and support sustainable business growth.
- Led quarterly enterprise risk assessments across 14 business units, translating findings into mitigation plans accepted by executive risk committee.
- Managed SOX, BSA/AML, and privacy control testing calendar, improving evidence readiness and reducing late audit requests by 31%.
- Partnered with Legal, IT, and Operations to remediate 46 high-priority issues before regulatory deadlines, with zero repeat findings.
- Built KRIs and board-level dashboards in Tableau, increasing visibility into vendor, operational, and compliance risk trends across portfolios.
- Performed compliance monitoring for claims, underwriting, and third-party administrators, identifying control gaps that prevented $1.2M in potential exposure.
- Drafted policy updates aligned with NAIC, state insurance regulations, and internal risk appetite, reducing policy exception volume by 24%.
- Coordinated internal audit walkthroughs and remediation tracking, closing 89% of action items on or before committed target dates.
- Trained 120 employees on code of conduct, conflicts, and reporting obligations, raising annual compliance attestation completion to 99%.
Standardized risk scoring methodology across compliance, operational, vendor, and technology risk domains for consistent leadership decisions.
Improved regulatory exam preparedness by creating reusable evidence libraries, ownership matrices, and management response templates.
Recognized by senior leadership for building practical controls that balanced regulatory expectations with business execution needs.
Leo Panda
Graduated with honors; focused on corporate finance, accounting, and business law.
Risk and Compliance Manager with 8+ years of experience in financial services, insurance, enterprise risk management, and regulatory compliance. Skilled in SOX controls, audit readiness, policy governance, issue remediation, and executive reporting. Known for building practical compliance programs that reduce exposure, improve accountability, and support sustainable business growth.
- Led quarterly enterprise risk assessments across 14 business units, translating findings into mitigation plans accepted by executive risk committee.
- Managed SOX, BSA/AML, and privacy control testing calendar, improving evidence readiness and reducing late audit requests by 31%.
- Partnered with Legal, IT, and Operations to remediate 46 high-priority issues before regulatory deadlines, with zero repeat findings.
- Built KRIs and board-level dashboards in Tableau, increasing visibility into vendor, operational, and compliance risk trends across portfolios.
- Performed compliance monitoring for claims, underwriting, and third-party administrators, identifying control gaps that prevented $1.2M in potential exposure.
- Drafted policy updates aligned with NAIC, state insurance regulations, and internal risk appetite, reducing policy exception volume by 24%.
- Coordinated internal audit walkthroughs and remediation tracking, closing 89% of action items on or before committed target dates.
- Trained 120 employees on code of conduct, conflicts, and reporting obligations, raising annual compliance attestation completion to 99%.
Standardized risk scoring methodology across compliance, operational, vendor, and technology risk domains for consistent leadership decisions.
Improved regulatory exam preparedness by creating reusable evidence libraries, ownership matrices, and management response templates.
Recognized by senior leadership for building practical controls that balanced regulatory expectations with business execution needs.
