PROFILE:

• Commitment | Compliance Leadership | Integrity
• A proven visionary and strategic leader with experience directing all aspects in a broad array of compliance related initiatives.
• Expertise in developing strategic initiatives, streamlining processes, and developing/implementing process improvements.
• Dedicated to maintaining a reputation built on quality, financial services expertise, business acumen, and uncompromising ethics.

CORE COMPETENCIES:

• Consent Orders/MRAs
• Compliance/Risk
• Project/Change Management
• Strategic Planning
• Patriot Act Compliance
• Policy and Procedure
• Bank Secrecy Act

TECHNICAL SKILLS:

Microsoft Office, MS Excel (advanced skill level), MS Visio, MS Project, SharePoint, Lexis Nexus, various AML and fraud detection/event management applications

PROFESSIONAL EXPERIENCE:

Confidential, Charlotte, NC

Change Manager/Business Development/Operations Consultant

Responsibilities:

• Implemented new policies and documentation to track sign package projects and new sales activities.
• Developed new tools to better manage receivables, project flow, marketing, web presence and social media.

Confidential, Charlotte, NC

Change Manager/Global Technology and Operations

Responsibilities:

• Delivered all project documentation in accordance with Confidential Standards.
• This documentation included: associate readiness, tollgate packages, permits to build/operate and phase QA assessment requirements.
• Led weekly status update and tollgate meetings related to the project.
• Participated in creation of the UCRA and RCF for this project and two dependent projects.

Confidential, Charlotte, NC

Responsibilities:

• Developed and delivered all project documentation in accordance with Confidential. This documentation included: process flows, procedures, communication and training plans and project level risk assessments.
• Led daily status update meetings to ensure adherence to project and audit work plans.
• Facilitated FMEA exercises to identify necessary controls for the QC Review process.
• Guided pilot phase QC testing efforts over Global Compliance Framework Elements and Global Compliance owned High Risk Processes

Confidential, Charlotte, NC

Change Manager/Legacy Asset Servicing (Operational Risk)

Responsibilities:

• Identified two new self-identified audit issues. Resolution of these issues will be instrumental in ensuring timely closure of the National Mortgage Settlement Consent Order.
• Developed and implemented a new process for reviewing complaints by operational risk partners across five vertical and seven horizontal lines of business.
• Provided risk team input for risk assessments, audit issue remediation and projects/initiatives.
• Facilitated a bi-weekly DSCR Complaint Forum. This meeting time is used to report current performance metrics and upcoming changes to our risk coverage programs.
• Conducted numerous enterprise and line of business level gap analyses for complaints related policies and procedures.

Confidential, Charlotte, NC

Change Manager/Project Manager/Global Compliance

Responsibilities:

• Responsible for all aspects of on-site assessments including pre-visit due diligence, on site interviews with associates and management as well as post assessment reporting and remediation of findings.
• Engaged internal and external stakeholders at all levels to ensure effective sharing of knowledge during all phases of the project.
• Designed and administered a comprehensive survey for all Confidential vendors to facilitate in-scope determinations for this compliance review.

Change Manager/AML Consultant

Responsibilities:

• Played a key role in developing Nationwide Securities' Risk Assessment to enhance effectiveness and regulatory compliance for their AML Programs.
• Presented audit results to department heads and Confidential senior management, which aided in decision-making processes.
• Partnered with Nationwide's Office of AML Compliance to increase the effectiveness of AML programs across all business entities.

Confidential, Pittsburgh, PA

Project Manager

Responsibilities:

• Investigated cases concerning aberrant and suspicious customer transactional histories for potential money laundering scenarios and terrorist funding activity.
• Created investigative results for internal and external reporting.
• Supported parameter tuning of Confidential 's transactional activity/customer behavior surveillance systems.
• Liaised with federal/local law enforcement, government reporting, and fraud departments to ensure complete and accurate assessment for all case assignments. Coordinated and executed professional development for the team of 60 investigators.
• Provided direction to a team charged with clearing a 6-month backlog of alerts/cases resulting from the National City Bank acquisition.
• Conducted Quality Assurance reviews of completed cases to ensure accuracy and completeness prior to submission to FinCEN.
• Responsible for filing completed suspicious activity reports and follow up requests for additional information with the appropriate regulatory authorities.
• Gained specialized expertise in alert analysis and case investigations associated with suspicious transactional behavior including abnormal cash transactions, wires, rapid movement of funds, and networks of activity.

Confidential, Charlotte, NC

Project Manager/Transitions Department

Responsibilities:

• Played a key role in the seamless conversion of financial advisors, staff, and accounts.
• Engaged stakeholders in Compliance, Legal, Technology, and Marketing departments to ensure timely satisfaction of all corporate policies and regulations prior to conversion.

Confidential, Charlotte, NC

Senior Compliance Risk Analyst

Responsibilities:

• Completed investigative results for internal and external reporting.
• Streamlined daily activities and introduced process improvements.
• Garnered recognition for consistently surpassing performance expectations by providing accurate and timely results for all case assignments.

Confidential, Charlotte, NC

Senior Operations Analyst

Responsibilities:

• Recognized as the internal subject matter expert for Identity Theft, Fraud, OFAC/Patriot Act Compliance, and Customer Identification Programs.
• Pioneered the implementation of real-time identity screening, CIP account status, and accelerated problem resolution while decreasing new account fraud losses by 96% from 2006 versus 2008.
• Designed and implemented a process for analyzing new account data which reduced man hours required for account review by 84% and increased the identification of potential fraud accounts tenfold.
• Championed efforts to decrease CIP/Fraud Prevention account processing time from 72 hours to same-day review by initiating real-time identity verification screening.
• Enhanced fraud protection on new brokerage accounts by instituting a risk management database.