E. Nicole Priebe
Abingdon,MD
Summary
Performance-driven Vice President with over 20 years of experience aligning systems and processes with business controls, policies and regulatory requirements. Passionate about applying excellent organization and communication skills to manage and lead teams. Results-oriented individual well-versed in interfacing and consulting on business processes to drive results based on sound overall business judgment.
Overview
21
21
years of professional experience
Work History
Vice President - Operational Risk
Morgan Stanley
03.2022 - Current
- Demonstrated proficient leadership skills to motivate employees and build competent teams
- Conducted in depth analysis of key processes within Wealth Management including policies and procedures, stakeholder interviews and development of process flows
- Identified key risk areas which require improvement and worked with stakeholders to formulate corrective action plans
Assistant Vice President - Operational Risk
Morgan Stanley
09.2020 - 03.2022
- Verified action plans were completed as prescribed by conducting thorough review of evidence
- Collaborated with stakeholders throughout the business to ensure issues and action plans were resolved in a timely manner
- Created centralized procedure for closure verification including defining standards of evidence and roles and responsibilities for stakeholders
Compliance Officer
APGFCU
05.2018 - 09.2020
- Identified, investigated and documented compliance violations and recommended corrective measures
- Responded to employee inquiries regarding compliance regulations and procedures
- Reviewed newly opened accounts for compliance with AML/BSA customer due diligence standards
- Oversight of vendor management program to ensure compliance with internal policy and regulations
Compliance Officer
Citi
03.2016 - 12.2017
- Identified issues from various sources, investigated issues to identify root causes and develop action plans to eliminate errors and correct customer accounts
- Escalated issues and corrective actions to senior management ensuring visibility to key business issues through reports and presentations
- Developed and conducted training sessions to ensure key employees are aware of requirements and actions needed to comply with policies
Compliance Specialist
OneMain Financial
11.2015 - 03.2016
- Developed risk assessment and issues management policies based on prior policy experience and study of industry standards.
- Developed new issues management platform working with counterparts in other business lines and software development vendors.
Compliance Officer
Citi
01.2013 - 11.2015
- Conducted enterprise risk assessments reviewing 200+ key business processes annually, cataloging risks and confirming adequacy of controls to mitigate risks.
- Lead and participated in planning and execution of compliance reviews working with managers, subject matter experts, compliance officers to design and perform test programs to validate compliance with regulations.
- Organized work groups to respond to Federal exams by identifying stakeholders, developing a project plan and managing coworkers to deadlines to meet regulatory deliverable requests for Federal regulators
Compliance Analyst
Citi
07.2006 - 01.2013
- Managed the compliance self-testing program, including database administration, reporting and escalating issues to senior management.
- Administrator of issues reporting database, the business’ reporting system for recording known issues
- Lead the regulatory change process organizing cross functional teams which reviewed 100+ state law changes annually identify effects on the business.
Payments Processor
Citi
01.2004 - 07.2006
Customer Service Representative
Citi
10.2002 - 01.2004
Education
Master of Arts - Business
College of Notre Dame of Maryland
Baltimore, MD09.2008
Bachelor of Arts - Business
College of Notre Dame of Maryland
Baltimore, MD05.2006
Skills
- Change Management
- Analytical and Critical Thinker
- Account Management
Publications
- Coauthor, Forgotten Maryland Cocktails: A History of Drinking in the Free State. May 2015
Timeline
Vice President - Operational Risk
Morgan Stanley
03.2022 - Current
Assistant Vice President - Operational Risk
Morgan Stanley
09.2020 - 03.2022
Compliance Officer
APGFCU
05.2018 - 09.2020
Compliance Officer
Citi
03.2016 - 12.2017
Compliance Specialist
OneMain Financial
11.2015 - 03.2016
Compliance Officer
Citi
01.2013 - 11.2015
Compliance Analyst
Citi
07.2006 - 01.2013
Payments Processor
Citi
01.2004 - 07.2006
Customer Service Representative
Citi
10.2002 - 01.2004
Master of Arts - Business
College of Notre Dame of Maryland
Bachelor of Arts - Business
College of Notre Dame of Maryland
Similar Profiles
Stevland PoliteStevland Polite
Vice President Institutional Securities Technology at Morgan StanleyVice President Institutional Securities Technology at Morgan Stanley
Heather CutlerHeather Cutler
Participant Relationship Manager at Morgan StanleyParticipant Relationship Manager at Morgan Stanley
Saikiran Reddy DurgareddygariSaikiran Reddy Durgareddygari
Senior Azure Data Engineer at Morgan StanleySenior Azure Data Engineer at Morgan Stanley
Satyanarayana RepalaSatyanarayana Repala
Senior Data Scientist Level 3 at Morgan StanleySenior Data Scientist Level 3 at Morgan Stanley
William ShawWilliam Shaw
Foreign Military Sales Taiwan Analyst at The Great Seneca NationForeign Military Sales Taiwan Analyst at The Great Seneca Nation