Cassity Sandlund
Heber,UT
Summary
Expirienced and enthusiatic risk management professional with a track record of success and years of experience supporting various lines of businesses in process improvement and risk mitigation while utilizing effective leadership, collaboration, and communication skills.
Overview
17
17
years of professional experience
Work History
Lead Business Execution Consultant
Wells Fargo, N.A. Consumer Lending Compliance
05 2019 - Current
- Program leader for compliance risk oversight of governance documents and compliance program effectiveness in support of Consumer Lending
- Execute an annual compliance program assessment to evaluate the reasonableness of design and intended execution of compliance across twenty elements such as issue management, escalations, reporting etc
- Evaluate compliance-managed regulatory requirements associated with third-party engagements are identified and assessed accurately and on time
- Provide oversight of compliance engagement through the development of policy, applicability assessments and overall implementation of procedures to align to compliance policies (inclusive of third-party)
- Establish, implement, and maintain standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Oversee the Front Line's execution and challenge appropriately on compliance related decisions
- Designed and executed monitoring routines to measure the business and compliance execution of compliance program elements to provide oversight and monitoring of risk-based compliance programs (inclusive of third-party)
- Provide direction to the business and compliance peers on developing corrective action plans for issues
- Investigate allegations and policy violations to determine if there is a potential violation of laws (inclusive of third party)
- Provide program leadership through the support of peers planning and execution of compliance related activities
- Perform quality assurance control for compliance program; leveraging reporting and providing credible challenge to Business and Compliance ratings and artifacts used to evidence effectiveness.
Compliance Consultant
Wells Fargo, N.A. PVSI Business Control
04.2014 - 05.2019
- Designated compliance consultant responsible for review of compliance and controls of various Treasury Merchant and Payment Solutions (TMPS) business groups and products around regulations and Wells Fargo established polices
- Regulatory Program Administrator supporting existing requirements, new initiatives and annual program reviews
- Provide compliance oversight and solution-driven risk management, including developing robust controls, implementing change and monitoring Treasury Sales and Affiliate Relationship Team’s regulatory programs
- Performed accurate and timely review and challenge of Inherent Risk Questionnaires and Compliance Assessments at initial due diligence and at periodic recertification of engagements
- Implement and support Conduct Management Programs for TMPS, including successfully transitioning oversight to a new Conduct Management group
- Design, implement and evaluate issues and corrective actions through collaboration with audit, testing teams, risk managers, product managers and operational teams
- Assess, design, and develop training materials, training needs and training assignments as the training liaison for TMPS, monitoring and reporting on team member completion
- Planned and executed risk-based compliance testing to evaluate the effectiveness and adequacy of controls
- Collaborate with Affiliate Relationship Team and Volcker Compliance Office to support regulatory requirements with Super 23A/B requirements, annual attestation and Volcker targeted training design and delivery.
Treasury Service Manager
Wells Fargo, N.A. Wholesale Treasury Services
02.2012 - 04.2014
- Staff and manage the CIP Prepaid, Card Distribution and Implementation Build Teams that are responsible for onboarding and operational support for the commercial card and prepaid product
- Provide operational consulting to define and establish third-party requirements to support Customer Identification Program for prepaid card customers
- Implement and monitor operations to execute CIP compliance risk requirements
- Collaborate with risk operations manager to identify, and refine process gaps supporting a strong, clearly defined operation that protects the bank and supports the customer
- Supporting PIN & Chip migration project to convert all customers to PIN & Chip cards by 2015 for the liability shift
- Identified as a Next Generation Leader and fully participating in the program.
Treasury Service Manager
Wells Fargo, N.A. Wholesale Treasury Services
07.2009 - 02.2012
- Staff and manage the Wholesale Enrollments and Card Distribution (WECD) team
- WECD is a specialized team that focuses on internal user set up and external customer support
- Responsible for the distribution of Wells One Commercial Credit cards
- Provided application access and support through email, service view and the team hotline
- Managed the re-organization of the WISE team into WECD and WTDS teams, splitting procedures and processes between sites and managers to create more efficient processing
- Manage the group’s innovation zone page through project identification, cost benefit analysis, implementation impacts, identifying business priorities and working with application teams to development solutions
- Critical involvement with BRDs, production checks out during each wave install for all included creating test scripts during production check out
- Designed project for the redistribution of CEO tokens due to a breach in vendor security
- Managing the day-to-day project on site, including the distribution of thousands of tokens a week, hiring, managing, and training a large temporary staff
- Conducted team projects with application developers and stakeholders
- Allowing automatic processes in multiple applications to assist with reducing the number of FTE while maintaining aggressive SLA’s.
Client Service Manager
Wells Fargo, N.A. Health Benefit Services (HBS)
02.2008 - 07.2009
- Staff and manage Process and Data Support (PDS) and Fee Operation teams supporting Health Savings Account (HSA) customers and the HSA product
- Consulted and designed key business processes transitioning HBS to Hogan
- Managed the implementation and on boarding of large new companies to the file processing team
- Developed and executed QA test scripts and production check out process during installs
- Consulted with project managers and collaborate with business teams to identify pain points, define solutions to improve the overall process
- Design strong controls including replacing manual steps with reliable automated processes
- Journey Masters Winner”- recognized as a top performer.
Team Lead, Operations Analyst II
Wells Fargo, N.A. Health Benefit Services (HBS)
08.2007 - 02.2008
- Responsible for completing daily production tasks, monitoring work assignment and completion, training team members on new processes, and sharing managerial tasks
- Guided team through issue resolution and problem analyses
- Trained team members and documented processes
- Compiled and managed reporting and enhancements
- Aided in application development and testing for access databases enhancements
- Recognized through service excellence awards and team excellence awards.
Team Lead, Operations Analyst I
Wells Fargo, N.A. Health Benefit Services (HBS)
10.2006 - 08.2007
- Responsible for monitoring teams work, providing leadership and training for skill development and completing production tasks related to the processing of health benefit contributions for employers
- Tracked performance, trained, and re-trained team members towards improvement
- Managed and monitored all work to meet daily service level agreements
- Evaluated customer facing documents to maintain a professional appearance and voice.
Education
M.S.W. - Masters Degree in Social Work
University of Utah
B.S. - Bachelors Degree in Psychology
University of Utah
A.S. - Associate of Science Degree in General Studies
Dixie State College
Skills
- Regulatory Risk Management
- Compliance Testing & Validation
- Effective Project Management
- Process Improvement
- Issue Management
- Quality Assurance
Timeline
Compliance Consultant
Wells Fargo, N.A. PVSI Business Control
04.2014 - 05.2019
Treasury Service Manager
Wells Fargo, N.A. Wholesale Treasury Services
02.2012 - 04.2014
Treasury Service Manager
Wells Fargo, N.A. Wholesale Treasury Services
07.2009 - 02.2012
Client Service Manager
Wells Fargo, N.A. Health Benefit Services (HBS)
02.2008 - 07.2009
Team Lead, Operations Analyst II
Wells Fargo, N.A. Health Benefit Services (HBS)
08.2007 - 02.2008
Team Lead, Operations Analyst I
Wells Fargo, N.A. Health Benefit Services (HBS)
10.2006 - 08.2007
Lead Business Execution Consultant
Wells Fargo, N.A. Consumer Lending Compliance
05 2019 - Current
M.S.W. - Masters Degree in Social Work
University of Utah
B.S. - Bachelors Degree in Psychology
University of Utah
A.S. - Associate of Science Degree in General Studies
Dixie State College
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