Daniel Clawson
Belmont,NC
Summary
With expertise in risk management, I excel at identifying, analyzing, and mitigating risks to ensure organizational stability and growth. A strong focus on team collaboration, clear communication, and strategic problem-solving driven results. Adapting to changing needs, I conduct comprehensive risk assessments, develop policies, and implement proactive risk mitigation strategies. Reliability and the ability to manage and implement effective risk management processes have earned the trust of colleagues and superiors alike.
Overview
15
15
years of professional experience
Work History
Operations Coordinator
Wilson Financial Group
04.2024 - 12.2024
- Provided operational support for the Chief Financial Advisor and the firm
- Ensured the firm met its financial and service commitments to all clients
- Assisted the Chief Financial Advisor with following up on marketing leads and prospect opportunities
- Set, rescheduled and confirmed client appointments via telephone, email, and other media outlets
AVP, Financial Crimes Governance Analyst III
Regions Bank
08.2023 - 11.2023
- Directed cross-functional projects focused on process improvement, stakeholder engagement, and regulatory compliance within financial crimes governance
- Developed and maintained performance dashboards to track key metrics and project milestones, ensuring transparency and accountability
- Conducted budget and headcount analysis to optimize resource allocation for compliance and operational projects
- Managed end-to-end 2023 fraud federal examinations, ensuring compliance with fraud, BSA/AML, and OFAC regulations
PM / IT Business Analyst V
Bank of America Contractor
04.2023 - 08.2023
- Spearheaded Risk and Control Self-Assessments (RCSA) initiatives to ensure alignment with compliance requirements, including BSA/AML, and OFAC standards
- Established an oversight and governance framework for low-risk concerns by collaborating with Global Technology Risk, ensuring timely issue resolution, and coordinating with key stakeholders to achieve project milestones
- Orchestrated meetings with key stakeholders to ensure successful implementation of project objectives
Lead Strategy & Planning Consultant
Wells Fargo Contractor
04.2021 - 04.2023
- Developed an executive summary highlighting risk exposure to the line of business
- Provided insight into control gaps and its effect on the risk environment
- Identified relevant issues and corrective actions for inclusion in RCSA Fact Packs
- Reviewed new and existing control procedures to determine company conformity
Business Analyst / Compliance Analyst
LPL Financial
08.2009 - 02.2021
- Created a new digital content governance framework within the Compliance, Legal, and Risk Department
- Designed and implemented effective risk management processes, enhancing the organization's ability to detect and mitigate financial crime threats
- Prepared organizational publications such as employee newsletters and senior leadership reports
- Provided PowerPoint support to the senior leadership team and Board of Directors, and oversaw key budget insights
- Designed a monthly operation health report to promote accountability across all lines of business
- Led multiple continuous improvement projects to eliminate redundancies and create efficiencies
- Reduced investor response times by creating a complaint intake form using Adobe Acrobat
- Led reporting efforts for a 500+ organization with an emphasis on key metric indicators
- Collaboratively launched a one-stop-shop service model for institutional advisors
- Leveraged extensive knowledge of broker-dealer operations with an emphasis on retirement account regulations
- Maintained customer satisfaction with forward-thinking strategies which focused on resolving client concerns
Education
No Degree - Physics
East Carolina University
Greenville, NC12-1997
High School Diploma -
South Point High School
Belmont, NC06-1994
Skills
- Operational support
- Risk and Control Self-Assessment (RCSA)
- IT business analysis
- Project management
- Compliance and Governance Frameworks
- Risk Management
- Process improvement
- Stakeholder Coordination and Engagement
- Meeting facilitation and Reporting
- Quality Control and Policy adherence
- Performance dashboard development
- PowerPoint presentation design
- Adobe Acrobat (form creation)
- Compliance Consulting Experience
Honor graduate
4.0 GPA from South Point High School
Languages
English
Native or Bilingual
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline
Operations Coordinator
Wilson Financial Group
04.2024 - 12.2024
AVP, Financial Crimes Governance Analyst III
Regions Bank
08.2023 - 11.2023
PM / IT Business Analyst V
Bank of America Contractor
04.2023 - 08.2023
Lead Strategy & Planning Consultant
Wells Fargo Contractor
04.2021 - 04.2023
Business Analyst / Compliance Analyst
LPL Financial
08.2009 - 02.2021
No Degree - Physics
East Carolina University
High School Diploma -
South Point High School
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