JAMI S. WISEL
Flower Mound,Texas
Summary
Experienced compliance and ethics professional with over 15 years of combined legal and compliance experience. Proven ability to build strong relationships, influence decision making, and effectuate change. Successfully manages multiple projects involving numerous stakeholders, consistently resolving complex issues within tight deadlines. Skilled leader with a track record of simplifying processes and motivating team members to continuously improve. Dedicated work ethic focused on earning the respect of peers and the community.
Detail-oriented individual with exceptional communication and project management skills. Proven ability to handle multiple tasks effectively and efficiently in fast-paced environments. Recognized for taking proactive approach to identifying and addressing issues, with focus on optimizing processes and supporting team objectives.
Highly skilled legal professional with extensive experience in litigation, contract negotiation, and legal research. Known for strong focus on team collaboration and achieving results, adapting seamlessly to changing needs and priorities. Expertise in legal analysis, case strategy, and client advocacy, combined with excellent communication and problem-solving abilities. Reliable and results-driven, with proven track record of success in high-pressure environments.
Dedicated legal professional offering expertise in [Type] law. Proven success in building trusting rapport with clients and offering sound legal advice in clear and universal terms. Hardworking and dedicated to client advocacy.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Executive Director, Ethics & Sales Practices
USAA
05.2022 - Current
- Lead team of geographically disbursed compliance officers to ensure effective operation of all Ethics Office and Sales Practices programs including Investigations and Case Management, Speak Up, Conflict of Interest, Code of Conduct/Policy Administration, Training, Communications, Employee Engagement, and Reporting
- Responsible for ensuring USAA’s Ethics Program aligns with regulatory requirements and expectations including maintaining a confidential reporting system, Speak Up policy, and international whistleblowing requirements
- Partner with Employee Relations, Corporate Investigations, Chief Legal Office, Human Resources, Culture, Diversity Equity and Inclusion, and Lines of Business on the investigation and resolution of ethics concerns as well as coordination and development of overlapping processes, policies, and procedures
- Promote and communicate the standard for ethical conduct for the organization through Code and Policy creation/maintenance, messaging, training, and other leadership, and employee engagement
- Collaborate with Ethics ambassadors across the lines of business, including international partners, to promote the Speak Up and Listen Up Programs
- Prepare quarterly and ad-hoc reports for the Ethics Council, Audit Committee of the Board of Directors, and other leadership forums as requested to provide trends, insights, inform of compliance risk, and recommend corrective actions
- Present to/train senior leadership and the Boards of Directors on various ethics topics and annual ethics training
- Partner with Conduct Risk on dashboard buildout to provide insights of enterprise conduct risk including ethics, ABAC, antitrust, sensitive positions, and fraud-related matters
Compliance Principal Shared Services
USAA
01.2020 - 05.2020
- Provide Compliance support and guidance to shared services business partners including CEO Member Relations (escalated complaint handling function), Enterprise Events, CEO Operations, Board Operations, Corporate Development, Strategy, and the Ethics Office
- Support lines of business in the development and updates of process, risk, and control inventories including compliance advice as to risk mitigation measures necessary for applicable laws, rules, and regulations
- Identify issues and recommend corrective action plans to include remediation, new or enhanced controls, training, or monitoring necessary to mitigate identified risk
- Function as subject matter expert to the Ethics Office assisting in the development and implementation of the annual Conflict of Interest Program, new and updated governance documents and associated controls, guiding on the closure of issues, and enhancement of processes to meet heightened regulatory standards
- Execute risk assessments and provide credible challenge to first line risk assessments including the annual Compliance Risk Assessment, Risk Control Self-Assessment, Risk Assessment, and Risk Profile
- Review and approve policies, standards, and procedures ensuring adherence to enterprise policy standards
- Develop annual compliance monitoring plan, execute monitoring activities, report results, and partner with business to establish and implement necessary action plans
- Review and approve employee training related to complaint management processes, the Code of Business Ethics and Conduct, and the Conflict of Interest Program
- Prepare monthly reports and present to senior management on the business health for all compliance risk management initiatives and programs (i.e., Annual Compliance Plan, Standards Adherence, and Compliance Monitoring)
SVP, Senior Compliance Officer-Ethics Attorney
Citi
03.2018 - 12.2019
- Responsible for oversight of all aspects, from opening to closing, of internal Ethics investigations covering wide-ranging concerns including Anti-bribery and Corruption, Fraud, Third Parties, and Conflicts of Interest
- Provide direction and guidance to investigative partners with respect to initial assessment of allegations, analyzing data, investigative plans, delivery of findings to stakeholders, and recommendation of corrective actions and discipline
- Partner with Employee Relations, Legal, Compliance, business partners, and other control partners to ensure consistent disciplinary action is applied across substantiated matters
- Develop employee training related to the identification of risk, escalation of issues, and code of conduct
- Prepare monthly and quarterly reports for senior management for aging, discipline, and taxonomy of matters
- Solid understanding of the United States Sentencing Guidelines, the Sarbanes-Oxley Act, international whistleblowing laws and regulations, and industry best practices
SVP, Senior Compliance Officer
Citi
04.2016 - 03.2018
- Function as Global Compliance Annual Risk Assessment (CARA) Coordinator facilitating the risk assessment process across the globe and liaising between all business entities
- Partner in the development of methodology, execution, and reporting of the CARA
- Develop processes and procedures to create consistency and improve output in various aspects of the CARA cycle including category selection, reporting, controls, challenge sessions with leadership, and socialization
- Prepare a variety of detailed reports including executive level business and Board reports requiring extensive analysis
- Provide responses to various regulator and internal audit exam deliverable requests related to CARA
SVP, Senior Compliance Officer
Citi
05.2014 - 04.2016
- Manage team of five compliance officers with oversight responsibility of Pre-Foreclosure, Foreclosure, Bankruptcy, Property Preservation, REO, Recovery and Third-Party Oversight
- Recommend corrective action plans to include remediation, new or enhanced controls, training, or monitoring to mitigate identified risk
- Partner with Compliance Testing team to ensure key risk areas are covered in monitoring and testing plan and controls are designed and operating effectively
- Monitor change control process to ensure operational policy and procedure changes are fully vetted with all control partners, compliant with laws, regulations, and agency guidelines, and publication timelines are met
- Participate with team members in the development of the Compliance Annual Risk Assessment (CARA) identifying risk ratings and rationale, present CARA and Mortgage Servicing CARA to Business senior management
- Prepare monthly reports for senior management and Board of Directors; regularly communicate with leadership team regarding emerging risks and/or issues, corrective action plans, and needed escalation
VP, Compliance Officer
Citi
06.2013 - 04.2014
- Function as subject matter expert in federal and state laws and regulations applicable to mortgage servicing
- Support business with sound advice in implementation of the National Mortgage Settlement, OCC Consent Order, CFPB Final Rules, State legislation, and other laws/regulations
- Provide guidance for necessary controls, procedural updates, process improvements, and reporting
- Develop and conduct monitoring activities in a holistic and strategic manner allowing for the ability to render a comprehensive risk assessment
- Perform compliance reviews and identify and escalate issues to senior management through memos, advisements, or work papers
- Present key risk area presentations at Compliance-wide meetings to educate peers and upper-level management of identified risks and associated actions taken
VP & Associate General Counsel
Vericrest Financial, Inc.
01.2012 - 05.2013
- Extensive knowledge of FDCPA, RESPA, TILA, Dodd Frank and other mortgage and collection related statutes and regulations; advise business units on a variety of core and default mortgage servicing issues
- Provide legal opinions and guidance on legislation and government program implementation
- Partner with Compliance Department to ensure compliance with all state, federal and local laws; identify gaps and/or risk exposure and design and implement necessary measures to mitigate risk and comply
- Review customer-facing correspondence for compliance with laws and company initiatives
- Coordinate with and manage outside counsel on various mortgage and real estate matters
VP & Counsel Pre-Litigation
American Home Mortgage Servicing, Inc.
11.2010 - 01.2012
- Maintain communication with regulators, attorneys general, congressional offices, and attorneys regarding borrower disputes and resolution
- Managed a team of five escalation specialists to ensure all complaint responses meet required standards
- Identify, track, and remediate all instances of noncompliance with applicable business units
- Prepare and present monthly reports to executive management
- Negotiate borrower disputes to achieve settlement and avoid litigation
- Develop and recommend strategies for prompt and cost-effective resolution to escalated or litigated matters
AVP & Counsel Loss Mitigation
American Home Mortgage Servicing, Inc.
08.2009 - 10.2010
- Confer with executives regarding corporate initiatives and regulatory concerns to assess legal risks to the company and recommend actions to control or minimize those risks
- Interpret and communicate investor guidelines, laws, and regulations to affected business clients
- Partner with Compliance Department, project management team, business clients and outside counsel to ensure compliance with corporate policies, laws and regulations associated with pre-foreclosure and default servicing of residential mortgages
- Collaborate with business units to create processes and recommend risk controls for Program initiatives; made major contributions to policies and procedures ensuring the company’s compliance with all Treasury directives and other applicable laws
- Participate in MHA-Compliance examinations; assisted in compiling documentation and responses to examination requests, prepared individuals for interviews with auditors
- Prepare and approve customer facing correspondence, agreements, and marketing materials ensuring compliance with federal, state and local law
Litigation Attorney
Ayers & Ayers Law Firm
08.2007 - 08.2009
- Expertise in areas including complex commercial litigation, business, employment law including workers’ compensation claims, breach of contract, non-compete agreements and bad faith claims
- Attend informal and formal hearings on a weekly basis before administrative law judges including informal discussions and negotiations, investigation, preparation and presentation of documentary evidence and examination of witnesses during formal proceedings
- Heavy preparation of pleadings including motions, briefs, orders and appeals
- Participate in all aspects of the discovery process including preparation of written discovery, depositions, and designation of expert witnesses
- Perform extensive review of documents including employment agreements and contracts
Education
Doctor of Jurisprudence -
TEXAS TECH SCHOOL OF LAW
Lubbock, TX05.2006
Master of Business Administration -
TEXAS TECH GRADUATE SCHOOL
Lubbock, TX05.2006
Bachelor of Business Administration - Management
TEXAS A&M UNIVERSITY
College Station, TX08.2003
High School Diploma - with High Honors
R.L. TURNER HIGH SCHOOL
Carrollton, TX05.1999
Skills
- JD/MBA/Leadership Professional in Ethics and Compliance Certification (LPEC)
- Experienced Compliance and Ethics professional with over 15 years of combined legal and compliance experience
- Ability to build strong relationships, influence decision making, and effectuate change
- Regularly manage multiple projects, involving numerous stakeholders, often resolving complex issues to meet deadlines
- Skilled leader with proven ability to simplify processes and motivate team members to continuously improve
- Diligent work ethic aimed toward earning the respect of my peers and the community
- Program management
Activities
- Graduate of Citi Global Compliance Development Program Class of 2015
- Texas Tech School of Law, Jurisprudence Award in Banking Law, Fall 2005
- Golden Key National Honor Society, Member
- Phi Kappa Phi National Honor Society, Member
- Ford Motor Company Scholarship, Recipient, 2002-2003
- Graduated Magna Cum Laude Texas A&M University
- Texas A&M University Mays College of Business Dean’s List 1999-2003
Certification
- Leadership Professional in Ethics and Compliance (LPEC)
Timeline
Executive Director, Ethics & Sales Practices
USAA
05.2022 - Current
Compliance Principal Shared Services
USAA
01.2020 - 05.2020
SVP, Senior Compliance Officer-Ethics Attorney
Citi
03.2018 - 12.2019
SVP, Senior Compliance Officer
Citi
04.2016 - 03.2018
SVP, Senior Compliance Officer
Citi
05.2014 - 04.2016
VP, Compliance Officer
Citi
06.2013 - 04.2014
VP & Associate General Counsel
Vericrest Financial, Inc.
01.2012 - 05.2013
VP & Counsel Pre-Litigation
American Home Mortgage Servicing, Inc.
11.2010 - 01.2012
AVP & Counsel Loss Mitigation
American Home Mortgage Servicing, Inc.
08.2009 - 10.2010
Litigation Attorney
Ayers & Ayers Law Firm
08.2007 - 08.2009
Master of Business Administration -
TEXAS TECH GRADUATE SCHOOL
Bachelor of Business Administration - Management
TEXAS A&M UNIVERSITY
High School Diploma - with High Honors
R.L. TURNER HIGH SCHOOL
Doctor of Jurisprudence -
TEXAS TECH SCHOOL OF LAW
Similar Profiles
Krista ReganKrista Regan
Senior Product Owner at USAASenior Product Owner at USAA
Angelica MorrowAngelica Morrow
Catastrophe Property Claims Adjuster at USAACatastrophe Property Claims Adjuster at USAA
Jo'Nae GarrettJo'Nae Garrett
Customer Service Representative at USAACustomer Service Representative at USAA
Kendra MooreKendra Moore
Bodily Injury Claims Adjuster at USAABodily Injury Claims Adjuster at USAA
Sang KimSang Kim
Real Estate Agent at Century 21 Judge Fite CompanyReal Estate Agent at Century 21 Judge Fite Company