ASHLEY LEE
Dallas,TX
Summary
Dependable, results driven professional with over 8 years of compliance testing, project management, and audit experience. Currently seeking a contract or long-term position in which my professional experiences and special qualifications will help encourage the growth of the organization. I am available for both remote and hybrid positions.
Overview
12
12
years of professional experience
Work History
Controls Analyst
Wells Fargo
11.2022 - 02.2023
- Executing the auto portfolio controls work for both pre and post furnishing activities
- Identifying continuous improvement process opportunities
- Lead support functions or operations for multiple business groups and contribute to large scale strategic initiatives
- Ensure efficiency, quality, cost effectiveness of solutions, and pipeline management relating to assigned operations
- Work independently to make recommendations for support function by providing support and leadership
- Assist in the planning and execution of a variety of programs and initiatives that may include risk mitigation, efficiency, and customer experience
- Provide leadership in management of relationships and implementation of programs, services, and initiatives with cross functional business partners
Senior Compliance Tester
Discover
04.2022 - 06.2022
- Identify and review compliance issues
- Bringing issues to the attention of compliance and business management
- Review current business policies for errors and potential process gaps
- Help to ensure that current processes meet regulatory requirements
- Recording testing findings to ensure that potentially harmful process deficiencies are properly documented
- Assisting with peer reviews to ensure that identified issues are resolved
Compliance Officer
Wells Fargo
11.2021 - 02.2022
- Supported the building and execution of testing programs
- Engaged with process owners to ensure the understanding of processes and associated controls
- Designed custom test scripts for processes as well as shell scripting to have required information generated to help identify the effectiveness of the test script and process
- Executed and documented high-quality testing to defend findings when appropriate
- Reported testing findings to process owners to ensure that the developed processes meet all required standards
- Engaged with Senior compliance leaders to discuss testing and findings
Internal Auditor
Robert Half Talent Solutions, Securus
07.2021 - 10.2021
- Review and audit internal controls and policies
- Tested controls and provided findings to leadership
- Ensured control testing processes were completed by required deadline dates
- Held meetings with leadership members to identify process gaps, areas of concerns, and communicate possible resolutions to ensure process effectiveness
- Developed new process controls for various departments within the company
- Used Microsoft Excel as a key tool to review and analyze data.
Control Tester
Protiviti at USAA
05.2019 - 05.2021
- Assisted Quality Control by ensuring testing is being completed accurately, effectively, and efficiently
- Evaluated and tested controls to assess the compliance of key controls in accordance to established testing methodology
- Analyzed and reported findings to the client
- Managed multiple control test to ensure the testing process was completed within strict deadlines.
AML/KYC Compliance Analyst Level II
Capital One
05.2018 - 03.2019
- Monitor and manage potential fraud alerts
- Enhanced skills using various systems such as As400, Unix, and Excel to access review, and batch data
- Review and investigate potential fraud activity on card holder accounts using various areas of the Actimize system such as AIS, RCM, and UDM
- Documenting in detail all research findings
- Escalating all identifies fraud findings
- Utilized compliance knowledge to formulate decisions and make recommendations to help ensure that the company remained in OFAC compliant.
Compliance Paralegal
Robert Half Talent Solutions at Vizient Inc
11.2017 - 02.2018
- Collect and document key contract information within executed contract documents
- Reviewing medical facility contracts to verify contracts are current and confirming all documents are available in Vizient’s systems
- Confirming medical facilities are receiving correct product and service discounts
- Participating in daily calibration meetings with senior management to review any errors that may have been found
- Using Microsoft Excel, Word, Adobe PDF and email to communicate information to upper management, peers, as well as our clients
- Uploaded quality review findings to the Vizient share point site as well as to Excel spreadsheets
Compliance Analyst
Conifer Health Solutions
05.2017 - 08.2017
- Reviewing and revising patient information as well as responding to patient disputes
- Verifying accuracy of documentation sent to patients is not in violation of HIPPA
- Balancing patient billing and payment ledger information
- Contacting medical facilities to resolve billing discrepancies on behalf of patients.
Compliance Test Design
Bank of America
07.2016 - 01.2017
- Responsible for the end to end design of compliance test and associated test scripts, in collaboration with the Compliance
- Officers and Compliance Testing Managers at Bank of America
- Worked directly with Compliance Officers and Compliance Testing Teams to modify existing test based upon regulatory changes, new products, audit issues, Key Risk Indicators (KRI) and control assessments
- Provided training to the test execution team on test changes and enhancements
- Partnered with Compliance Test Managers and Compliance Officers to interact with Line of Business partners to facilitate test design
- Assisted in the design of reports communicating testing results to Compliance Officers
- Participated in beta and pulse check testing.
KYC/ AML Analyst
Carlisle & Gallagher Consulting Group
02.2015 - 07.2016
- Monitored, analyzed, and researched all necessary compliance activities
- Reviewed system generated alerts to determine the presence of illicit activity that may require reporting based on BSA/AML requirements
- Conducting required research and documenting detailed results
- Recording results in the departments alert management system
- Utilized compliance knowledge to formulate decisions and make recommendation
- Developed enhanced skills and knowledge using the Actimize Data system
- BPO Associate III
- Confirming the validity of client information and identify any possible fraud risk through various audit processes
- Participating in calibrations with management and peers to identify any process gaps
- Assisting in writing department test scripts
- Providing the client with information regarding audit findings and possible solutions
- Regularly using Microsoft Excel, Word, and email to communicate information to upper management, peers, as well as our client.
Bankruptcy Quality Assurance Analyst
Bank of America
11.2010 - 02.2015
- Processing and validating Proof of Claim bankruptcy documents
- Verifying all company records are updated and contacting attorneys as needed regarding documents
- Ensuring the accuracy of POC files as well as meeting daily processing goals
- Assisting with training of new Bankruptcy POC associates
- Contacting attorneys regarding bankruptcy documents as needed
- Lead the HELOC Suppression Letter Quality Assurance process - responsibilities include:
- Ensuring the accuracy of the letter, advising associates of letters that may have been processed incorrectly
- Training new and transitioning associates
- Providing reports to management and meeting with management to discuss findings, of Foreclosure
- Processing of pre and post-sale foreclosure documents as well as verifying the accuracy of these documents
- Contacting law firms on behalf of Bank of America to communicate changes in processes and policy
- Analyzed documents to verify that all legal and bank records were up to date and correct
- Processed standard foreclosure documents such as Assignments and Substitution of Trustee documents, as well as attorney executed documents and non-form documents.
Education
High School Diploma -
Northeast Guilford High School
Mcleansville, NC05.2003
Criminal Justice Studies
North Carolina A & T State University Northeast Guilford High School
Greensboro, NCSkills
- Quality Issue Identification
- Standardized Testing Methodology
- Testing Documentation
- Consistent Procedure and Protocol Use
- Problem Solving
- Solution Development and Optimization
- Data Capture and Analysis
- Verbal and Written Communication
- Adaptability and Flexibility
- Test Results Interpretation
- Quality Control Data Compilation
- Quality SOPs Development
- Information Sequencing
- Audit Assistance
- Sampling and Testing
- Word Processing
- Data Entry
- New Testing Methodologies
- Functional Testing
- Microsoft Office
- Attention to Detail
- Time Management
- Critical Thinking
Timeline
Controls Analyst
Wells Fargo
11.2022 - 02.2023
Senior Compliance Tester
Discover
04.2022 - 06.2022
Compliance Officer
Wells Fargo
11.2021 - 02.2022
Internal Auditor
Robert Half Talent Solutions, Securus
07.2021 - 10.2021
Control Tester
Protiviti at USAA
05.2019 - 05.2021
AML/KYC Compliance Analyst Level II
Capital One
05.2018 - 03.2019
Compliance Paralegal
Robert Half Talent Solutions at Vizient Inc
11.2017 - 02.2018
Compliance Analyst
Conifer Health Solutions
05.2017 - 08.2017
Compliance Test Design
Bank of America
07.2016 - 01.2017
KYC/ AML Analyst
Carlisle & Gallagher Consulting Group
02.2015 - 07.2016
Bankruptcy Quality Assurance Analyst
Bank of America
11.2010 - 02.2015
High School Diploma -
Northeast Guilford High School
Criminal Justice Studies
North Carolina A & T State University Northeast Guilford High School
Similar Profiles
Laxmikanth ChittampallyLaxmikanth Chittampally
Senior Operational Processor at Wells Fargo India Solution PVT Ltd, Wells FargoSenior Operational Processor at Wells Fargo India Solution PVT Ltd, Wells Fargo
Mayank OberoiMayank Oberoi
Financial Accounting Associate/ Alteryx SME at Wells Fargo International Solutions Private LTD (Wells Fargo)Financial Accounting Associate/ Alteryx SME at Wells Fargo International Solutions Private LTD (Wells Fargo)
Carey JonesCarey Jones
Loan Verification Analyst at Wells Fargo BankLoan Verification Analyst at Wells Fargo Bank
JACQUELINE PROWELLJACQUELINE PROWELL
Lending Officer at Wells Fargo Bank Home MortgageLending Officer at Wells Fargo Bank Home Mortgage
Lindsey MadewellLindsey Madewell
Assistant Spa and Boutique Manager at Dr. Barbara SturmAssistant Spa and Boutique Manager at Dr. Barbara Sturm