Governance, Risk, and Compliance Talent Sourcing

MBK Search, LLC

GRC Teams Face an Array of Challenges

2

Governance, Risk , and Compliance (GRC) teams are often faced with a variety of human capital challenges which inhibit their ability to achieve organizational objectives and execute upon core mandates.

Extended time to productivity for

new hires

Bridging the gap between full time

hires

Key knowledge or skill gaps (e.g. compliance, IT,

etc..)

Financial and/or budgetary constraints

Recruiting partners lack

understanding of needs

Attrition of full time risk

management staff

Difficult sourcing/recruiting highly skilled

staff

Capacity constraints on existing teams

Stakeholders

Existing GRC

Teams

MBK Provides Flexible Talent Solutions

3

MBK helps clients meet critical objectives through sourcing talent that can immediately provide value and support existing mandates/business needs. We offer search, staffing, and sourcing all backed by our industry-leading expertise in GRC.

Search••Sourcing, cultivating and

the negotiating with qualified talent, for the acceptance of full-time positions, with your organization

••MBK provides these services on a retained or selective-contingency search basis

Staffing••Identify and place on-

demand, on-site, flexible workforce for your immediate project needs.

••MBK provides these services based on a mutually agreed upon, hourly or day, resource rate card

Sourcing/RPO••Integrating MBK’s,

recruitment operations directly into your hiring operations.

••MBK provides flexible candidate sourcing solutions in which employers are qualified candidate resumes in accordance with industry leading SLAs.

Exclusive Governance, Risk & Compliance Focus

4

MBK provides talent sourcing for existing GRC teams who require targeted human capital solutions in order to meet their critical objectives. Our GRC expertise and experience enables us to understand and quickly deploy full-time or contract resources that add immediate value.

Governance, Risk, and Compliance (GRC) Talent Sourcing

Audit/Governance

• Policy & Oversight• Internal Audit• External Audit• IT Audit• Forensics

Security

• Information/IT Security

• Investigations / Internal Affairs

• Physical Security• Executive Protection• Data Privacy

Compliance

• Compliance Audit• Compliance Support

Staff• Chief Compliance

Officer• AML/BSA• Sarbanes-Oxley• Dodd Frank

Risk Management

• Enterprise• Operational• Market• IT Risk• Credit• Quantitative• Capital Modeling• Business Continuity

Identify and Deploy GRC Talent According to Client Need

Project/Program Management Talent

Market Summary

5

Governance, Risk, Compliance, and Security continue to be “top of house” priorities across client industries – and the need for top tier talent abounds. Going into 2016, hiring demand continues to be as strong as ever.

Audit/Governance

• Growing demand for internal audit talent across financial services and publicly traded companies

• Niche-focused team of auditors (e.g. IT Audit, Compliance Audit, etc.) are growing

• Compensation and salary increases with renewed demand for talent

• One of our top areas of growth

Security

• Proliferation of cyber attacks

• Increased corporate board and regulator scrutiny/concern

• Talent demand is industry agnostic (e.g. everyone needs it)

• Shortage of qualified candidates –increased competition

Compliance

• Clients stressed to meet regulatory standards and requirements

• Demand for talent most pronounced in financial services and healthcare

• Steady demand for candidates with specific regulatory knowledge has led to strong competition for talent

• Hedge Funds/PE will see pronounced growth in 2016

Risk Management

• CROs increasing presence in corporate boardrooms and driving new hires

• Quantitative risk is a steady area of focus (e.g. CCAR, Liquidity Risk, etc.)

• Growth of ERM teams at the mid-level remains strong (e.g. ops risk, etc.)

• 2016 will see companies outside of core finance grow ERM presence

Demand for Qualified Talent at all Levels in Client Organizations

Partner Subject Matter Expertise

Matt Bieber, Partner• Subject matter expert in GRC talent acquisition and staffing

• Partner and Founder (Full Moon Talent)

• Principal (Originate Ventures)

• Executive Vice President (Interview Stream)

• Structured Finance Associate (Bear Stearns & Co)

Spencer Knibbe, Partner• Subject matter expert in operational risk management and security

• Partner and Head of the Risk Advisory Practice (Full Moon Talent)

• Head of Operational Risk and Post-Trade Security (Bridgewater Associates)

• Head of Risk – Americas (ICAP, Plc.)

• Venture Capital Investor (WFD Ventures, LLC)

6

Representative Clients

7

Sample Client Engagements

• Quantitative Risk Analysts/CCAR/PPNR (Multiple Banking Clients)

• VP, Model Validation (Multiple Banking Clients)

• VP, CCAR Governance (Commercial Bank)

• Head of Model Risk, (International Bank)

• Director, Operational Risk (International Bank)

• VP, Technology Risk Management (Commercial Bank)

• SVP, IT Risk (Commercial Bank)

• VP, IT Audit (Investment Bank)

• IT Audit Consultants, All Levels (Public Accounting Firm)

• Senior General Auditor (Insurance Company)

• Internal Auditor, Regulatory Compliance (Commercial Bank)

• Senior Investment Analyst, Energy (Hedge Fund)

• VP, Consumer Lending Compliance (Card Issuer)

• SVP, UDAAP Compliance (Card Issuer)

• SVP, Compliance Reporting (Card Issuer)

• Head of AML/BSA Training (Card Issuer)

• Export Compliance Counsel (Technology Company)

8

MBK Talent Locations

Connecticut Office40 Gilbert Street, Bldg 2

Ridgefield, CT 06877

New York Office228 Park Avenue SouthNew York, NY 10003

Pennsylvania Office1636 North Cedar Crest Blvd, Suite 121

Allentown, PA 18104

9