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Versatile, results-oriented Strategic Leader with 20+ years of experience in Compliance Management roles within the banking industry. Advanced experience in improving daily productivity levels along with steadfast listening skills which provide a valuable asset/tool to internal clients and ensures high efficiency levels. Equipped with a significant level of communication and interpersonal abilities with a strong background in effectively fostering positive relationships with internal/external teams.

Banking/Financial Compliance Workflow/Process Improvement Client Support & Communication

Issue Remediation Decision Making/Planning Complex Problem Solving Internal Auditing

Productivity/Efficiency Staff Management & Recruiting Data Analysis Financial Statement Analysis

• Direct day to day compliance logistics within a fast-paced banking environment with a focus on leading the design and implementation of an enterprise control framework and governance strategies
• Identify departmental needs and develop appropriate initiatives, create an Enterprise Data Management policy, and provide training to team members in regard to a QA program
• Successfully designed and executed standard requirements and report assessment training for over 700 employees worldwide

• Led the development and implementation of end to end compliance frameworks which required identifying regulatory requirements, creating internal controls, and handling testing activities
• Reviewed compliance program metrics and solved outstanding issues, provided expert level guidance to third-party teams, and supervised a cross-functional team
• Maintained an expert level knowledge of compliance related to Regulation W, Global Financial Regulatory Reporting and Infrastructure, Home Loans, and Asset Management Conflicts
• Oversaw the GWIM conflicts of interest program, supported compliance testing for SOW contracts totaling over $50MM, and coached staff members on policies and internal guidelines
• Delivered training to a group of 1,300 Compliance Associates on new enterprise policies and played a lead role in the creation of 80 instructor-led training sessions/web-based programs which reached over 45,000 team members worldwide
• Identified program issues and created appropriate solutions, responded quickly to external regulatory inquiries, and updated External Regulators on issues remediation and/or program status

• Supported internal audits within finance, capital management, fixed income and trading desk, fiduciary accounts, and consumer lending operation divisions
• Utilized superior analytical acumen to plan audits, oversee auditing team members, generate ad hoc reports, and lead discussion related to audit issues