Helena N. Huerta
Alameda,USA
Summary
Investigator Analyst with 25 years of experience in conduct management, compliance oversight, treasury operations, and customer service with a proven record of leading complex, high-risk workplace investigations involving allegations of misconduct. Adept at handling sensitive matters with discretion, professionalism, and integrity. Strong track record in internal fraud investigations, enterprise and operational risk management, regulatory compliance, and risk assessments with extensive experience at a high-profile financial institution specializing in detecting, preventing, and mitigating risk.
Overview
25
25
years of professional experience
Work History
Research Investigator | HR Governance
Wells Fargo
San Francisco, CA
05.2017 - Current
- Highly skilled in assessing allegations at the intake stage and accurately building initial cases for review by the appropriate Allegation Management Group.
- Research into allegation concerns within the expected service-level agreement (SLA) focusing on efficiency and accuracy, while meeting Regulatory Compliance expectations.
- Research and analyze evolving bank-regulated metrics, and train incoming analysts to apply them effectively to compliance inquiries.
- Consistently achieved 100% accuracy on Centralized Quality Assurance (CQA) reviews for Intake and Research work.
Business Analyst Manager
Wells Fargo
San Francisco, CA
12.2016 - 05.2017
- Assign sales-service quality allegations to analysts for research, while conducting reviews, one-on-one coaching, and training to ensure service-level agreements are met and new analysts are fully prepared.
- Collaborate with analyst teams and internal investigation departments to ensure consistent protocol use, while communicating analyst feedback to align guidelines with Wells Fargo’s mission of prioritizing customer care.
Account Reconciliation Operations Manager
Union Bank
Oakland, CA
01.2006 - 12.2016
- Managed the conversion of the account-reconciliation system for Customer Service and New Accounts teams, while also assisting in developing financial forecasts for the annual budget and reforecast cycles.
- Developed a loyal customer and employee base through personalized service while overseeing all aspects of personnel administration, including interviewing, hiring, training, managing, and evaluating staff, as well as creating and administering monthly and annual performance reviews.
Customer Service Manager
Bank of West
Oakland, CA
06.2004 - 12.2005
- Managed branch operations, new-account marketing, business development, community relations, training, and risk management, while also developing cross-selling opportunities for cash-management products.
- Developed cross-selling opportunities for cash-management products while overseeing all aspects of personnel administration, including interviewing, hiring, training, managing, and evaluating staff, as well as creating and administering monthly and annual performance reviews.
Customer Service Manager
Wells Fargo
San Francisco, CA
01.2001 - 05.2004
- Managed the daily implementation of treasury-management products and services while ensuring customer-service responsiveness to meet service-level agreements.
- Maintained strong client relationships by gathering data, assessing account performance and root causes, and identifying opportunities for additional services.
- Developed cross-selling opportunities for cash-management products while serving as a proactive liaison between customers and bank operations, independently managing and maintaining corporate customer portfolios across three corporate centers and fifty-one branches.
Education
Associate of Science -
California State University, Northridge
A.A. - Business Management
Los Angeles Community College
Skills
- Regulatory Compliance & Anti-Money Laundering (AML) – Deep knowledge of banking regulations (Regulation D, E, CC, Unfair, Deceptive, or Abusive Acts or Practices (UDAAP), Bank Secrecy Act (BSA)
- Fraud Investigations & Risk Assessments – Proactively identify and mitigate fraud and compliance risks to protect financial institutions
- Consumer Complaints Management – Analyze and investigate consumer concerns within formalized complaint management systems
- Leadership & Team Development – Mentor and guide high-performing teams to achieve operational excellence
- Proficient in Microsoft Office Suite
- Banking Platforms: HOGAN, Service Vision, Enterprise Allegation Platform, Sales Database, Investigation Research on Demand, Online Banking
- Operations: Automated Clearing House ACH, Account Reconciliation, General Ledger, Risk Management, Compliance, Workday & Service-now
KEY ACHIEVEMENTS
- Implemented process enhancements that strengthened internal controls and mitigated risks, safeguarding financial institutions through data-driven investigations and risk-management strategies.
- Prepared and managed reports on cases breaching Service Level Agreements (SLA’s) ensuring regulatory alignment.
- Resolved compliance gaps through collaboration with managers and cross-functional teams.
Timeline
Research Investigator | HR Governance
Wells Fargo
05.2017 - Current
Business Analyst Manager
Wells Fargo
12.2016 - 05.2017
Account Reconciliation Operations Manager
Union Bank
01.2006 - 12.2016
Customer Service Manager
Bank of West
06.2004 - 12.2005
Customer Service Manager
Wells Fargo
01.2001 - 05.2004
A.A. - Business Management
Los Angeles Community College
Associate of Science -
California State University, Northridge