Christopher Rumph
Columbia
Summary
Risk and Compliance Professional with over 10 years of experience in enterprise governance and operational risk management within large financial institutions. Expertise in conducting risk assessments, control testing, and validating remediation efforts. Collaborated with business leaders and internal teams to ensure compliance with new products and process changes, enhancing overall risk oversight.
Overview
16
16
years of professional experience
Work History
Business Executive Consultant
Wells Fargo
Charlotte
06.2025 - Current
- Developed and executed test scripts and cases for comprehensive testing coverage.
- Coordinated end-to-end testing governance across KYC and Financial Crimes applications to ensure compliance with enterprise standards.
- Conducted risk and control assessments across testing environments, identifying weaknesses and documenting remediation actions.
- Ensured audit readiness by maintaining process documentation, test evidence, and control narratives.
- Collaborated with stakeholders and compliance partners to clarify issues and confirm alignment with SOX and AML controls.
- Validated system functionality against business requirements to guarantee operational effectiveness.
- Tracked and logged defects in JIRA dashboards for management visibility and efficient issue resolution.
- Led analysis of test outcomes, ensuring thorough evaluation of scenarios in an agile environment.
Sr. Business Control Analyst (AVP)
Bank of America
Charlotte
09.2018 - 04.2025
- Led operational risk assessments and governance activities within enterprise second line of defense.
- Supported implementation and monitoring of risk governance across audit and quality assurance initiatives.
- Validated controls, documented risks, and ensured compliance with enterprise standards during RCSA activities.
- Served as subject matter expert for risk compliance and assessments.
- Managed enterprise dashboards in Tableau, escalating high-risk items for executive action.
- Developed business requirements documentation for desktop procedures including control responsibilities and risk mitigation timelines.
- Identified control gaps and root causes, providing actionable remediation strategies.
- Collaborated with Internal Audit and regulatory teams to ensure audit readiness aligned with Enterprise Risk Framework.
Workforce Operations Analyst
Spectrum
Columbia
06.2018 - 09.2018
- Developed and communicated intraday service level and occupancy analysis to identify impactful events.
- Escalated service level and occupancy miss issues to Director or Vice President based on significance.
- Reviewed and assessed Forecasting and Staffing Analysts' contact forecasts for accuracy against trends.
- Utilized eWFM to adjust forecasts and improve staffing precision within a 5% variance.
- Identified KPIs, KRIs, and SLAs for accurate forecasting metrics.
- Collaborated with local staffing and outsourced teams to analyze absenteeism and turnover trends.
- Analyzed contact volume and AHT to ensure site level staffing attainment met operational needs.
Risk Analyst
Bank of America
Charlotte
03.2017 - 12.2017
- Identified and measured risks to enhance overall risk management strategies.
- Contributed to monitoring and testing coverage plans along with relevant metrics.
- Assessed policy changes for impacts on existing processes and governance controls.
- Executed control gap analysis to ensure protections for confidential data.
- Achieved 98% completion on monthly dashboards across three hierarchies for six consecutive months.
- Documented existing and emerging risks alongside potential audit issues.
- Reviewed and recommended Key Risk Indicators to track risk exposure.
- Designed, developed, and implemented a comprehensive Risk Governance framework.
Quality Audit/ Compliance Analyst
AFLAC
Columbia
11.2016 - 03.2017
- Analyzed payroll account activity reports to identify trends and document process improvements.
- Developed and tested innovative solutions to enhance service efficiency and client satisfaction.
- Utilized CRM and Workflow programs for activity monitoring and report generation using Macros.
- Audited internal employee reports by extracting data and analyzing for errors and insights.
- Maintained records of service efforts and outcomes to track performance metrics.
- Resolved service and administration issues through collaboration with supporting business units.
AML/BSA Compliance Analyst
SIGNATURE CONSULTANTS/WELLS FARGO
Charlotte
03.2016 - 11.2016
- Review Wells Fargo underlying customer accounts within the relationship to ensure full remediation.
- Collect weekly reports via Microsoft Access database containing over 30 accounts daily for analysis.
- Assisted in writing processes for AML KYC program and process improvement
- Extracting and interpreting data in order to monitor resolve suspicious activity
- Participate in User Acceptance Testing (UAT) by preparing scripts and articulating testing results
- Generated reports using Microsoft excel as well as the Access IRT database to determine tax ID numbers
- Used pivot tables, charts, graphs to determine customer negative customer activity
- Write SARS reports for suspicious activity or terrorist related occurrences
- Use of File Net, IRT database, Microsoft excel, and Access to meet compliance standards
- Used Due Diligence to screen and monitor customer Retirement and Trust accounts.
- Ensure banks and customers were complying within AML regulations, with the Corporate Customer Identification Process (CIP)
- Customer Due Diligence (CDD) and standards in partnership with Financial Crimes Compliance (FCC).
- Track and monitor customer questions as well as receipt of completed compliance questionnaires via a dedicated support email box.
Analyst/Finance Coordinator II
Department of Mental Health
Columbia
01.2015 - 10.2015
- Provide analytical and technical data analysis as needed; also providing weekly, monthly, annually and ad hoc reporting to assigned area
- Worked with Tricare, Aetna, Blue Cross Blue Shield, private insurance for Medicaid, Medicare for claim processing
- Generated reports daily for financial queries in excel database
- Monitored revenue weekly and devised plan based on data analysis to lower errors by 25% quarterly
- Develop, create and implement report standards, formats and procedures
- Briefly used Microsoft project to implement ideas for planning and to track progress and trends
- Create spreadsheets in excel, reports and analyzing data to generate revenue based off forecasting from the previous months which generated revenue by 20%
- Budget analysis for hospital notice of non-coverage, days per stay, and close attention to detail for billing
- Maintain and manage reports for financial reimbursement for Medicaid, Medicare, Insurance, Optum, Tricare, Aetna, Blue Cross Blue Shield, and Care Improvement
- Responsible for Current Denial Report, Payer Aging Report and Negative Balance Report
- Coordinator and responsible for daily follow up with their insurance correspondence to ensure claim payment in a timely manner
Sr. Care Analyst/Manager
Verizon Wireless
Columbia
07.2011 - 05.2014
- Delivered presentations to diverse audiences, including difficult groups, ensuring high engagement levels.
- Tracked customer budgets via Microsoft Project to optimize budget management processes.
- Extracted and analyzed data to identify ERP and RR resolutions, enhancing customer efficiency.
- Determined average handle time through data analysis, leading to reduced operational costs.
- Generated comprehensive reports on sales efficiency and technical support metrics for strategic decision-making.
- Utilized visual aids, such as charts and graphs, to pinpoint negative team trends for targeted improvements.
- Trained and supervised 10 to 20 employees in mobile broadband troubleshooting and technical support practices.
- Provided actionable recommendations based on data analysis to minimize debits and credits in call center operations.
Customer Service Trainer
Verizon Wireless
Columbia
07.2009 - 05.2014
- Performed research and analysis on customer experience to include benchmarking and best practices
- Worked with customers and the mobile provider’s customer service department to resolve customer billing issues, technical support with apps ensuring a high level of customer service
Education
Masters of Business Administration - Microsoft Suite, SPSS
University of Phoenix
Columbia, South Carolina01.2013
Bachelor of Arts - Business Management
Francis Marion University
Florence, South Carolina05.2009
Skills
- Risk management and governance
- RCSA Assessment
- Enterprise risk framework development
- Compliance testing and validation
- Issue remediation strategies
- Third-party risk assessment
- Internal audit support
- Team leadership and project management
- User acceptance testing (UAT)
- Operational risk assessment
- Policy and procedure development
Timeline
Business Executive Consultant
Wells Fargo
06.2025 - Current
Sr. Business Control Analyst (AVP)
Bank of America
09.2018 - 04.2025
Workforce Operations Analyst
Spectrum
06.2018 - 09.2018
Risk Analyst
Bank of America
03.2017 - 12.2017
Quality Audit/ Compliance Analyst
AFLAC
11.2016 - 03.2017
AML/BSA Compliance Analyst
SIGNATURE CONSULTANTS/WELLS FARGO
03.2016 - 11.2016
Analyst/Finance Coordinator II
Department of Mental Health
01.2015 - 10.2015
Sr. Care Analyst/Manager
Verizon Wireless
07.2011 - 05.2014
Customer Service Trainer
Verizon Wireless
07.2009 - 05.2014
Masters of Business Administration - Microsoft Suite, SPSS
University of Phoenix
Bachelor of Arts - Business Management
Francis Marion University