EXPERTS IN ENTERPRISE RISK MANAGEMENT

Daniel Rothstein

Chief Executive Officer

 

Dan Rothstein is a recognized authority in Enterprise Risk Management, Financial Regulatory Compliance and Mergers and Acquisition analysis, due diligence and integration. Dan’s career spans more than thirty years, and he has spearheaded the development, implementation and successful integration of best practice operational risk management models, compliance programs and full M&A integration processes for six banks and an acquisition of a Registered Investment Advisor.

 

He consistently serves as an effective thought leader and problem solver on executive teams, including roles as General Counsel and Chief Risk Officer, Chief Credit Officer, Senior Loan Officer, and leader of regulatory relations. He believes in driving value by integrating metrics driven, risk-adjusted frameworks into the determination of strategic paths and performance measurement.

 

Dan has been a frequent contributor to trade groups throughout his career, as a moderator, speaker, and as a frequent committee member.

 

An attorney in the state of New York, Dan’s academic accomplishments are many. He graduated 2nd in his class from Pace Law School, which he attended at night, where he was published in the Law Review and won six American Jurisprudence awards. His academic and professional experiences have always focused on the allocation of risks and risk assessments in managing financial portfolios, considering acquisition opportunities and integrating highly effective risk and compliance models and practices.

 

Dan and his wife live in New York City, where they enjoy a myriad of cultural activities, including theater, museums, and live music. He is a board member of Capabilities Partnership, Inc., which focuses on programs for sufferers of epilepsy and traumatic brain injury.

 

 

Marisa de Belloy

Senior Managing Director

 

Marisa has 15 years experience in investment banking, corporate development and finance oriented consulting. She most recently created a highly successful media practice at investment banking boutique Michel Dyens & Co. where she was responsible for many high profile deals. 

 

She has worked at Goldman Sachs and the LEK Partnership and taught finance at ESLSCA, a French business school. Marisa speaks fluent French in addition to her native English and has spent over 10 years working in Europe.

 

She received her MBA from Stanford University and her BA from Yale. 

Previous Projects

 

  • Creation from scratch of the bank’s operational risk management program as part of the development of ERM, including establishment of an independent IT Risk function and upgrade to audit programs based on the risk analysis.

 

  • Establishment of a complete Sarbanes-Oxley compliance program, including governance, disclosure, and the construction of the system of internal controls over financial reporting mandated by section 404, leading to clean audit opinions.

 

  • Construction of a complete Enterprise Risk Management System (“ERM”), which has won sustained praise from regulators and the Company’s Board of Directors alike.

 

  • Fulfillment of a lead role in major aspects of M&A, including screening, diligence, negotiation, and regulatory approval. M&A experience encompasses six bank acquisitions and one acquisition of a Registered Investment Adviser.

 

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