Floyd Rogers, MBA
Compliance Governance Dir
Irving,TX
Summary
With over 17 years of experience in the financial industry, I am a Director of Compliance at Citigroup, where I deliver innovative and effective solutions for global banking. I have an MBA in Technology and Engineering, which enables application of data analytics and technology to drive decision-making and improve performance in the dynamic and challenging banking environment.
Currently, I manage the Issues Management group and ensure compliance with complex and evolving regulations, such as Regulation W, which governs transactions between bank and affiliate. I collaborate with senior stakeholders, regulators, and auditors to provide insights and recommendations that support the bank's strategic objectives and compliance goals. I am passionate about enhancing the compliance culture and standards across the organization and empowering the team to achieve excellence.
Overview
17
17
years of professional experience
Work History
Compliance Governance Director
Citigroup
08.2023 - Current
- Drove Reg W 23B Advertising compliance by from developing strategy, creating action plans, and driving progress within global bank chain and affiliates to ensure global compliance with Reg W 23B requirements.
- Strengthened internal controls by reviewing existing policies and procedures, enhancing control requirements to ensure compliance with regulatory requirements.
- Leveraged data analytics insights for informed decision-making in critical areas such as Issue Management, and Control framework Compliance.
- Evaluated employee performance objectively using established metrics, leading to employee development and business results.
SVP – Data Analytics Group Manager
Citi: Internal Audit Innovation
02.2022 - 07.2023
- Manage complex delivery of six Innovative data driven control testing solutions across the globe within Personal Banking, Wealth Management and Risk
- Ideate with Managing Directors and their staff to identify and further create wide impact control testing solutions based on critical annual priorities and emerging risks
- Full management responsibility of global team including planning and people management activities such as performance evaluation, compensation, hiring, disciplinary action, terminations, and budget approvals
- Solutions delivered within tools such as SAS, SQL, R, Python, & Hive/Impala, focusing on clearly identifying control exceptions
- Subject Matter Expert for strategic data analysis in tools such as SAS and SQL, including driving insights and implications as well as developing data driven displays
- Prepare and present executive leadership with monthly updates on critical prioritized projects
- Drive effective use of existing solutions by demonstrating use-cases globally, engaging Audit Controllers during pre-planning, focusing executives on key Innovation scorecard metrics which drive performance.
- Championed innovation by encouraging cross-functional teams to pursue creative solutions to complex challenges.
- Improved employee retention rates through enhanced talent management processes and targeted professional development programs.
- Collaborated with executive leadership team members on strategic planning that ensured sustainable progress toward Internal Audit annual goals.
SVP – Business Operational Risk Manager
Citi: CWM CBORC
03.2020 - 02.2022
- Annual Risk Assessment of Activities, Risks, Controls, and Monitoring within Consumer Wealth Management
- Provide ongoing trusted senior level analysis of Key Risks and Controls within risk based issues and regulatory issues
- Provide Credible Challenge of high visibility regulatory issues such as UGMA/UTMA, Mutual Funds, 529, SCRA, ensuring accurate and on-time closure
- Compliance analysis reporting on Sales Practices (MRA5) and Executive external email compliance.
VP – Audit Manager
Citi: CitiMortgage: Internal Audit
01.2014 - 03.2020
- Provide ongoing trusted senior level analysis of Key Risks and Controls within risk based and regulatory Internal Audits and issue validations
- Identified multiple key risks requiring reopens under MRA’s and EA’s such as Mortgage Flood, Relationship Pricing, Bi-weekly payment processing, Macy’s, and SCRA
- Provide active analysis across Citi’s Global Consumer Bank (GCB) spanning Mortgage Originations, Servicing, Loss Mitigation/Default and REO, Add-on products, all Consumer Complaints, Macy’s regulatory enforcement actions, international efforts such as CCAR, etc… Managed teams senior contractors to validate population completeness and accuracy utilizing tools such as Oracle SQL, SAS EG and SSH Tectia within the GCB Retail bank for the 2014 and 2017 Comprehensive Capital Analysis and Review stress test (CCAR)
- Tested completeness and accuracy of 10 models spanning Australia, Hong Kong, Korea, Mexico and the US.
VP - Senior Reporting Analyst
Citi: CitiMortgage: Repurchase
01.2011 - 01.2013
- Prepare daily, weekly, monthly & Quarterly Executive KPI reports utilizing SAS EG, SQL, Oracle, Cognos BI, Access, Excel
- Create monthly Treasury Reserve reporting for Finance
- Provide analysis, data mining, and Ad hoc reporting across Repurchase & Mortgage Default business
- Gather business requirements for LawBase system design
- Develop, test, trouble-shoot and administration within LawBase (Repurchase SQL software system of record)
- Document swim-lane and waterfall analysis of the Repurchase process utilizing Visio
- Responsible to develop reporting solutions and implement Cognos BI solution for 200+ person team
- Design and implement automated MIS reports & tracking to improve efficiency of daily reporting utilizing script tools, saving 60+ hours of monthly production.
Operations Analyst
Citi: CitiMortgage: Loss Mitigation – Short Sales
01.2010 - 01.2011
- Prepare Operational reports for Loss Mitigation Short Sales, highlighting KPI’s, manage non-performing loan asset sales process for department, and compose test scripts for vendor case studies
- Analyze inventory, forecast future bookings, provide daily, monthly, quarterly and annual department business reports
- Utilized knowledge of Mortgage Servicing alongside data-mining analysis to suggest action plans correcting operational in-efficiencies.
Analyst / Manager (TAP)
Citi: Citigroup (Commercial Credit Cards)
01.2008 - 01.2010
- Prepare Monthly Operational reports for Diners Club Corporate Cards and THD PROX Commercial cards
- Prepare daily automated reporting, ad hoc operational reports and monthly department Incentive
- Analyze and suggest quarterly phone metrics for cross-site use utilizing various statistical analysis methods
- Manage team of 9 front-line call center Account Managers in delinquency and relationship management
- Led team of cross-functional Promise Card Champions to initiate change management across 275 FTE’s
- Initiate, propose and deliver Change management presentations involving best practices in client service
- Establish balanced scorecard metrics from statistical analysis of call center data to drive winning performance
- Utilize SWOT analysis and TQM approach to improve overall team performance.
Workflow Coordinator II, Commercial Card Operations US and Canada
Citi: Citigroup (Commercial Cards)
01.2007 - 08.2007
- Provide leadership and workflow support for 70+ commercial customer service and credit phone agents
- Daily Responsibilities: coach, mentor, motivate, and provide regular feedback and training solutions for staff through quality monitoring, resolve escalated conflicts for multiple corporate commercial credit portfolios.
Education
Master of Business Administration (MBA) - Technology & Engineering
Dallas Baptist University
Dallas, TX08.2010
Bachelor of Science - Business Management
Metropolitan State University of Denver
Denver12.2006
Skills
- Logistics Management
- Project Coordination
- Project Management
- Staff Management
- Staff Development
- Business Planning
- Operations Management
- Business Administration
- Issues Resolution
- Talent Acquisition
- People Management
- Rules and regulations
- Strategies and goals
- Team Management
Technical Relevant Skills
- Data Analytics: 15+ Years SAS, SQL, Oracle, Qlikview, VBA, scripting
- Basic programming: Python, html, and Java coding
- Dashboards: 4 years Excel, 2 years MicroStrategy & 1 year Power BI
Awards Extracurricular
- Quality Excellence Award Winner for driving winning department performance
- Board of Director Consultant for the Southwest Region of the American Music Therapy Association (SWAMTA)
- Volunteer for the Red Cross, Grape Creek Independent School District, and area Churches
- Extensive travel through Europe, US, and the South Pacific
Timeline
Compliance Governance Director
Citigroup
08.2023 - Current
SVP – Data Analytics Group Manager
Citi: Internal Audit Innovation
02.2022 - 07.2023
SVP – Business Operational Risk Manager
Citi: CWM CBORC
03.2020 - 02.2022
VP – Audit Manager
Citi: CitiMortgage: Internal Audit
01.2014 - 03.2020
VP - Senior Reporting Analyst
Citi: CitiMortgage: Repurchase
01.2011 - 01.2013
Operations Analyst
Citi: CitiMortgage: Loss Mitigation – Short Sales
01.2010 - 01.2011
Analyst / Manager (TAP)
Citi: Citigroup (Commercial Credit Cards)
01.2008 - 01.2010
Workflow Coordinator II, Commercial Card Operations US and Canada
Citi: Citigroup (Commercial Cards)
01.2007 - 08.2007
Master of Business Administration (MBA) - Technology & Engineering
Dallas Baptist University
Bachelor of Science - Business Management
Metropolitan State University of Denver
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