SUMMARY:

• Senior Financial Services Professional with proven leadership experience developing high performing teams. Unique breadth and depth of skills for developing cost effective solutions to business challenges. I am highly regarded by managers and peers for integrity and ability to generate creative solutions to complex issues.
• 20+ years experience in the Brokerage Industry
• 5 years experience in call center management
• 11 years’ experience as a Project Manager
• 9 years’ experience as a Project Manager in the Brokerage Industry/Financial Services
• 2 years experience as a Project Manager of corporate events with 300+ attendees and a budget of 250K or greater.
• Areas of Expertise: Microsoft Project, SharePoint, VISIO, Waterfall, DAIC, Agile, Testing (Unit, System, UAT, Integration) Work Breakdown Structure, Requirements Analysis, Risk Management, Compliance, US Federal Bankruptcy Regulation, Forecasting, Budgeting, Data Mapping, Clarity, FMEA, SIPOC, Root Cause Analysis, AML, Sanctions
• Formerly Life Insurance, Series 7, 63 and 24 Licensed
• Currently pursuing ACAMS Certification

PROFESSIONAL EXPERIENCE:

Confidential, Charlotte, NC

Project Manager/Contractor

• Project manager responsible for leading a team of AML and Sanctions Risk Officers through an effort to restructure an International Sanctions Program. This program would include EMEA, CANADA, LATAM, and APAC. This effort would begin its focus on reviewing and understanding Service Level Agreements (SLAs) for the purposes of sanctions screening to creating an International Framework document to address the key elements of the program such as: risk assessments, governance, screening, training, regulatory reporting, due diligence and communication. In addition to driving the effort to develop regional sanctions procedures that would further detail guidance for the lines of business (LOBs).
• Project manager responsible for managing projects created from a self - identified audit issue (SIAI) and/or a matter requiring attention (MRA) in support of the following disciplines; Treasury Management, Anti-Bribery and Corruption, and Anti-Money Laundering within the Wholesale line of business..
• Facilitate key meetings to examine and build process maps as well as consult on control enhancements to reduce risk within a process or project in support of multiple bank processes.
• Responsible for understanding and analyzing the current state of the business, determine impacts to future state enhancements and document opportunities to reduce risk to the organization and allow for a more efficient process flow across lines of business.
• Excellent communicator; leverage technical knowledge, process design, business and financial acumen to communicate effectively with client executives and their respective teams.

Confidential, Charlotte, NC

Project Manager/Contractor

• Project manager responsible for the Reporting Work stream which has a two pronged approach of examining production and test and learn reports. Production reports meaning all reports to be used by the line of business on a regular basis to monitor, track, and manage daily operations. Test and learn reports will be used in an Agile environment to validate from a business perspective the success of new functionality.
• Responsible for managing multiple projects for the Specialty Services Change Management Team in support of the following areas; Bankruptcy, Optional Insurance Products and the process re-design of a loan modification process.
• Facilitate key meetings to examine, gather and consult on control enhancements to reduce risk within a process or project in support of multiple bank products.
• Responsible for understanding and analyzing the current state of the business, determine impacts to future state enhancements and document opportunities identified to reduce risk and allow for a more efficient process across multiple lines of business.
• Responsible for using best practice PMO methodology while utilizing project management tools to fit the stakeholders/sponsor’s needs and deliver the desired outcomes.
• Excellent communicator; leverage technical, process design, business and financial acumen to communicate effectively with client executives and their respective teams.

Confidential, Charlotte, NC

Project Manager/Contractor

• Key project participant assessing, developing and proposing a strategic plan to address reducing high risk process items across the Enterprise.
• Facilitate key meetings to examine project data points to deliver a high level process recommendation for a future state End 2 End bankruptcy process.
• Responsible for understanding and analyzing the Bankruptcy process, impacted business units with priorities to comply with regulatory requirements.
• Responsible for using best practice PMO methodology while utilizing project management tools to fit the stakeholders/sponsor’s needs and deliver the desired outcomes.
• Excellent communicator; leverage technical, business and financial acumen to communicate effectively with client executives and their respective teams.

Confidential, Pittsburgh, PA

Project Manager/Contractor

• Project Lead developing and implementing strategic plan to ensure bank compliance with ATR/QM, MLO Compensation, HOEPA, etc. regulations.
• Provided project analysis by delivering reports to assist working teams with maintaining an on-time delivery of regulatory compliance.
• Responsible for using best practice PMO methodology to create a project plan to fit the stakeholders/sponsor’s needs and deliver on desired outcomes.
• Excellent communicator; leverage technical, business and financial acumen to communicate effectively with client executives and their respective teams.

Confidential, Charlotte, NC

Project Manager/Contractor

• Experienced project manager offering 8years of success leading all phases of diverse array projects; and eighteen years of brokerage industry experience.
• Plan and manage multimillion-dollar projects aligning business goals with technology solutions to drive process improvements, competitive advantage and bottom-line gains.
• Excellent communicator; leverage technical, business and financial acumen to communicate effectively with client executives and their respective teams.
• Experienced in waterfall and DMAIC project management methodologies.

Confidential, Boston, MA and Niles, OH

Project Manager/Contractor

• Project Lead to design, manage, implement and develop strategic plans for privacy lead governance routines developed to opine on privacy issues with the purpose of mitigating risk to the organization.
• Developed knowledge to become subject matter expert in Affiliate Sharing Rule, Affiliate Marketing Rule, and Telephone Consumer Protection Act (TCPA). Obtained valuable knowledge of Dodd-Frank privacy regulations.
• Responsible for monitoring, tracking and reporting on privacy focused proposed, passed or amended global legislation.
• Project Lead for the implementation of new or amended legislation when impacting the organizations policies and procedures.
• Designed SharePoint sites used to collaborate on projects, track information, monitor meeting routines and maintain business tools.
• Establish, develop, and maintain relationships with channel partners/affiliates.
• Writing compliance notices based on summary translations from the law’s original language and published to key stakeholders.
• Develop and publish privacy directed monthly Regulatory Change newsletter focusing on proposed, passed, amended legislation as well as key news stories.
• Ability to manage multiple projects, report on and communicate efficiently with senior and executive management team

Confidential

Project Manager/Contractor

• Analyzing current international compliance policy to determine if revisions are required to support various retail lines of business.
• Act as liaison to legal department responsible for obtaining current securities laws in 39 different countries as well as writing new policy to conform to firm and jurisdiction specific legal requirements.
• Partner with IT department to publish revised policy content in a web environment.
• Manage work flow to meet critical regulatory deadlines by utilizing tracking tools and providing weekly progress reports.

Confidential

Project Manager/Program Manager

• Led project team to create and design new project manager collaboration tool in support of client events addressing project managers concern regarding project efficiency with business partners.
• Built credibility, established rapport, and maintained communication with stakeholders at multiple levels, including those external to the business unit.
• Maintained continuous alignment of program scope with strategic business objectives, and make recommendations to modify the program to enhance effectiveness toward the business result or strategic intent.
• Effectively identified and created a project team collaboration tool utilizing Microsoft SharePoint and Microsoft FrontPage web designing software.
• Designed and created Access database to maintain client information, monitor client training classes with attendee information, as well as capture and track client issues during large scale client events allowing the implementation team to resolve client issues in a timely manner.
• Selected to lead a challenging documentation publishing unit, utilizing influencing and motivating skills to provide turn-key services to meet department goals.
• Enhanced the reputation of publishing unit by successfully turning around morale and providing strong leadership.
• Implemented new publishing process to increase department efficiency and better adhere to deadline expectations.
• Oversaw Pre-Risk review process to adhere to current FINRA guidelines for Client training documentation.