Danielle Reya

Professional Profile

Within EY’s Financial Services Office, Danielle supports asset management clients with business transformations and co-leads our Wealth and Asset Management RegTech offering advising clients in the selection, implementation, and use of regulatory technology solutions to advance firms’ business operations, and SEC and FINRA compliance and supervision programs.

Partnering with EY’s IT Advisory and Data and Analytics practices, Danielle enables firms to optimize their business opportunities by modernizing compliance and supervision programs through core and leading technology capabilities. Such capabilities, which include enhanced workflow, automation, data analytics, natural language processing, and machine learning, allow firms to optimize operating models, increase oversight, and reduce long-term costs.

Danielle has over 18 years of financial services regulatory experience, including 11 years at the U.S. Securities and Exchange Commission‘s Office of Compliance, Inspections, and Examinations (OCIE) leading hundreds of routine, cause, and risk-targeted examinations of registered investment advisers, registered investment companies, and broker-dealers to assess compliance with federal securities laws and regulations.  Danielle practiced securities law prior to her time with the SEC.

Relevant RegTech Experience

Danielle supports asset management leaders in creating measurable and sustainable value for their organization as the business evolves and regulations change. By leveraging RegTech capabilities and vendor solutions, Danielle empowers clients to overcome the challenges of transforming and growing their business while utilizing legacy systems and technologies that cannot always meet new compliance and supervision regulatory obligations.

►Operating Model Optimization – Design and implementation of an optimized target operating model, inclusive of standing up new functions/activities, designing processes and procedures, and implementing technology enhancements

►Inventories, Assessments, and Strategy Roadmaps – Inventory, assessment, and identification of gaps in broker-dealer and investment adviser supervision and compliance technologies resulting from changed business operations and new products

►Vendor Search and Selection – Market landscape, and vendor search and selection for supervision and compliance technology solutions, e.g., trade surveillance, market abuse, conflicts of interest management

►Solution Implementation – Business-oriented implementation support for supervision and compliance technology solutions, e.g., trade surveillance and governance, risk and compliance platforms