Danielle M. Ryea, Managing Director, Wealth & Asset Management

Danielle currently co-leads EY’s WAM RegTech initiatives supporting wealth managers, asset managers, and family office entities in the selection, implementation, and use of technology platforms and solutions to enhance firms’ operations, risk management, compliance, and supervision programs.

Experience (Selected)

• Regulatory Remediation and Lookbacks - Development and execution of multi-year lookback analysis to assist in remediating weak controls and client harm identified from internal compliance monitoring and testing efforts, regulatory examinations, and regulatory enforcement actions/inquiries (e.g., mutual fund sales practices, 529 Plans)
• Regulatory Technology Assessments and Implementations - Identification of gaps in broker-dealer and investment adviser supervision and compliance technology assets resulting in recommendations for technology enhancements to meet regulatory requirements and expectations
• Compliance and Supervision Operating Models - Co-developed a broker-dealer centralized supervision target operating model, inclusive of standing up new supervision functions, designing processes and procedures, and implementing technology enhancements; Developed investment adviser compliance policies and procedures, annual compliance review, risk assessments, and testing plans for SEC registered and non-registered entities
• Regulatory Examination Readiness - Led mock regulatory examinations executed through an assessment of the firm’s overall compliance program and areas of high regulatory scrutiny, including due diligence, fund expense allocations, conflicts of interest, valuation practices, and vendor oversight

In her roles as an Attorney Adviser and then a Branch Chief, Danielle led routine, cause and risk-targeted examinations of registered investment advisers and registered investment companies to assess compliance with federal securities laws and regulations.