Brandy Knott
Compliance - Business Execution Consultant
Godfrey,IL
Summary
Twenty years of compliance experience which include fourteen years of successful interaction with Federal and State Regulators Experience interpreting and implementing FINRA/SRO rules. Proven expertise using in-depth knowledge of regulatory requirements to provide expertise and consultation to business units. Proven success managing regulatory projects. Project management experience. Proficient at building SharePoint sites, Successful in developing and implementing training procedures. Superior troubleshooting, problem solving and conflict resolution skills. Proficient in research and able to compile and perform analysis on critical data to mitigate risk. Skilled at learning new concepts quickly, working well under pressure, and communicating ideas clearly and effectively. Excellent verbal and written communications skills with the ability to effectively articulate complex ideas. Over four years of experience working independently in a remote setting. Ability to work effectively in a team environment and in independent situations. Strong ability to work with and influence peers, leaders and team members at all levels and across functional lines,
Overview
21
21
years of professional experience
Work History
Business Execution Consultant
Wells Fargo & Company
St. Louis, MO
05.2017 - Current
- Manage and collaborate with cross functional organizational teams and workgroups on release of new applications.
- Responsible for developing an online training course for an internal system of record.
- Supervise training and reporting for the Legal Entity Governance systems.
- Manage all access request for internal systems using the Access Provisioning Application.
- Provide detailed reporting for Senior Level Mangers.
- Perform data quality assurance within the system of records.
- Responsible for writing Roles and Responsibilities.
- Perform User Acceptance Testing (UAT).
- Develop and produce periodic performance reports.
- Manage and provide training for outsourced employees.
- Comfortable monitoring multiple mailboxes to ensure issues are addressed.
- Identified HR training needs and conducted training for employees and leadership while recommending approaches to effect continual improvements in business objectives, productivity and within company to reach business goals.
- Liaised between multiple business divisions to improve communications.
- Collaborated with legal and compliance teams to review paperwork, obtain feedback and procure available information for new training processes.
Compliance Consultant II – Registration SME
Wells Fargo Advisors, LLC
St. Louis, Missouri
02.2009 - 05.2017
- Managed and ensured the accuracy of data.
- Diagnosed system issues to determine the root cause of the issue.
- Responsible for the research and implementation of new regulatory rules.
- Developed strategies for testing the effectiveness of policies and procedures.
- Designed and coordinated the development of training materials and delivery of training.
- Identified concerns resulting from internal and/or external compliance examinations.
- Worked with business units to coordinate corporate filings on behalf of the various broker- dealers.
- Acted as a liaison with industry regulators.
- Worked closely with the Legal team to gather confidential information regarding terminations and disclosure items
- Monitored a risk-based compliance program to ensure compliance with federal, state, legal and regulatory requirements.
- Generated training reports for audit and provided detail on processes.
- Reported legal disclosure items to FINRA.
- Managed the reporting of disclosure items identified on the Firms Annual Attestation.
- Trained and mentored other team members.
- Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
- Developed and implemented internal control tests to verify employee compliance with established policies and procedures.
- Managed quality programs to reduce overdue compliance activities.
- Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
- Provided guidance, advice and training to improve business understanding of related laws and regulatory requirements.
- Reviewed applicant qualifications and assisted management with hiring needs.
Product Specialist/FA Support
Wells Fargo Advisors, LLC (Wachovia Securities)
St. Louis, MO
02.2008 - 02.2009
- Facilitated the consultation, education and distribution of lending products to financial advisors throughout all channels.
- Managed the posting of Financial Advisors compensation across all banking products, including compliance and licensing oversight for Financial Advisor compensation as well as the policies and procedures which apply to pipeline management and compensation.
- Provided product support for Banking partners and Financial Advisors.
- Liaised between customers and manufacturing to design new product.
Senior Licensing Compliance Specialist
A.G. Edwards & Sons (Wachovia Securities)
St. Louis, MO
11.2000 - 02.2008
- Transferred newly hired Financial Advisors licenses to the firm in a timely and accurate manner.
- Assisted branch and home office employees with any problems that may occur while using licensing systems.
- Responsible for maintaining and renewing over 200 financial consultants insurance licenses on a monthly basis.
- Produced monthly audit reports for senior level managers.
- Kept informed regarding pending industry changes, trends or best practices.
Education
Paralegal Studies
Southwestern Illinois College
Belleville, ILSkills
Project Management
Dependable and Responsible
Training and Development
Interpersonal Communication
Teambuilding
Flexible and Adaptable
Multitasking Abilities
Good Telephone Etiquette
Problem-Solving
Timeline
Business Execution Consultant
Wells Fargo & Company
05.2017 - Current
Compliance Consultant II – Registration SME
Wells Fargo Advisors, LLC
02.2009 - 05.2017
Product Specialist/FA Support
Wells Fargo Advisors, LLC (Wachovia Securities)
02.2008 - 02.2009
Senior Licensing Compliance Specialist
A.G. Edwards & Sons (Wachovia Securities)
11.2000 - 02.2008
Paralegal Studies
Southwestern Illinois College