Senior Compliance Manager with expertise in developing and executing regulatory compliance programs for financial institutions. Proven ability in risk assessment, internal auditing, and leading teams to ensure compliance with industry standards. Achievements include implementing strategies that improved operational efficiency and reduced risk exposure.
Overview
4
4
years of professional experience
Work History
Senior Risk Management Consultant
Wells Fargo
Charlotte, NC
09.2021 - 06.2025
Developed risk management frameworks for diverse client portfolios to enhance resilience.
Conducted thorough risk assessments to identify vulnerabilities and recommend improvements.
Collaborated with cross-functional teams to strengthen risk mitigation strategies.
Facilitated training sessions on best practices in risk management protocols.
Advised clients on strategic decisions regarding risk tolerance and policy formulation.
Reviewed internal controls to verify effectiveness in managing organizational risks.
Provided actionable recommendations for mitigating risks through appropriate control measures.
Performed quantitative and qualitative assessments to evaluate potential impacts on business objectives.
Senior Compliance Manager
Wells Fargo
Charlotte, NC
2005 - 08.2018
Established and revised policies for USA PATRIOT Act compliance applications.
Cultivated relationships with regulatory representatives, vendors, and key internal stakeholders.
Achieved high success rates during corporate audits while ensuring compliance across systems.
Led cross-departmental projects to enhance efficiency through analytics and strategic implementation.
Oversaw performance benchmarks, schedules, and deliverables while managing project teams.
Facilitated collaboration between Line of Business and Technology to identify improvement areas.
Conducted regular audits to detect compliance gaps and propose necessary enhancements.
Collaborated with legal teams to accurately interpret regulations and guidelines.
Client Services Manager
GE Consumer Finance
Charlotte, NC
2002 - 2005
Designed, created and led a cross-functional team which resulted in multiple new initiatives in the areas of Data Analysis, Customer Service, Positive Management Practices and Improved Customer Experience.
Assessed monthly reports and data to review client activity and identify opportunities for improvement and growth.
Recruited and trained Credit Service Representatives and provided evaluations with feedback to cultivate highly talented teams.
Forecasted, scheduled and monitored project timelines, personnel performance and cost efficiency.
Created project plans with established timelines for integral phases, assigned to appropriate teams, managed workflow and achieved RFP submissions and completion deadlines on or before schedule.
Performed risk based analysis on several key data points to identify opportunities for improvement and to achieve optimal efficiency and compliance with company standards.
Assistant Vice President of Consumer Services
AmeriCredit Financial Services
Huntersville, NC
1997 - 2002
Led and oversaw a robust multi-tiered workforce including Customer Service Representatives, Team Leaders and Managers who worked in various areas of credit and accounts receivable.
Analyzed the site budget, predicted future spending, calculated burn rate analysis and implemented cost management procedures.
Proposed and drafted new corporate policies and procedures for enhanced departmental performance in a quickly growing company with a high degree of continuous large scale change.
Communicated regularly with executive team members to deliver pertinent details related to progress status and direction for projects.
Boosted company profits by optimizing performance strategies and increasing efficiency.
Coordinated work across departments to keep teams on track with company goals.
Cultivated and maintained positive working relationships with employees, executives and other stakeholders.
Collateral Valuation Analysis at Wells Fargo Home Mortgage and Wells Fargo Bank NACollateral Valuation Analysis at Wells Fargo Home Mortgage and Wells Fargo Bank NA
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)