Rachel Sirios

Speaker

Rachel Sirois is an experienced risk and compliance professional with a strong background in governance, compliance testing, and control improvements at global financial institutions. Her experience spans asset management, wealth management, and private banking, where she has helped firms navigate complex regulatory requirements in the U.S., Europe, and Asia.

Rachel has designed and implemented compliance monitoring programs, led regulatory risk assessments, and managed remediation efforts to improve operational resilience. She has worked closely with IT and business teams to prepare for third-party audits, including SOC 1 reports, and ensure operational controls meet regulatory standards. Having successfully gone through SEC audits, Rachel brings a deep understanding of audit readiness and what it takes to align practices with regulator expectations. Rachel’s strengths lie in turning regulatory requirements into practical procedures and training, improving risk oversight through testing and issue management, and promoting a culture of compliance through collaboration and clear communication.