Summary
Overview
Work History
Education
Skills
Certification
Professional Development
Activities
Timeline
05
Joseph Haefner

Joseph Haefner

Sahuarita

Summary

I am a dependable Compliance Officer with track record of success in field, attention to detail and proactive mindset. Seeks opportunities to improve processes and workflows for team benefit. Conscientious, hardworking and excels at multitasking in fast-paced environments.

Professional risk management expert skilled in enhancing organizational safety and compliance through effective risk assessment and control measures. Known for collaborative approach and delivering consistent results in dynamic environments. Expertise in regulatory compliance and risk analysis, dependable in adapting to evolving challenges.

Overview

12
12
years of professional experience
1
1
Certification

Work History

Principal Business Risk Control Specialist

Discover Financial
09.2024 - Current
  • Directed the business compliance risk/control activities within Consumer Banking, which included risk assessment, controls, procedure documentation, process design, control workflow/systems, remediation, regulatory change management, and third-party management.
  • This included education and training for business partners to ensure compliance with, and implementation of, all U.S. federal and state rules, regulations, and regulatory trends.
  • Evaluated current operations across all Consumer Banking business units to identify areas for enhancements and worked with business partners to implement these processes.
  • Worked with legal, technology, and business to understand how the process changes are implemented within each business unit and evaluate potential impacts.
  • Actively managed and escalated risk and customer-impacting issues within the day-to-day role to management.

Compliance Business Control Officer

Citigroup
04.2022 - 09.2024
  • Managed the Issue Management process from Start to Finish ensuring alignment with Issue Management Procedure and Policy.
  • Developed, produced and monitored issue metrics for Senior Leadership on a consistent basis and confirm through quality assurance controls that Issues management is being performed according to Issue Management Procedure and Policy.
  • Build partnerships with supported Line of Businesses Operations leaders, process owners, client experience leaders, control leaders, Legal, Compliance, Risk, Internal Audit and Training, so that efforts are aligned with strategy and department efforts, ensuring downstream impacts are considered and business solutions are optimized.
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding the Company.

Senior Control Management Specialist

Wells Fargo
07.2021 - 04.2022
  • Company Overview: Wealth and Investment Management
  • Provided risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes, and business controls.
  • Monitored, measured, evaluated, and reported on the impact of decisions and controls to the relevant business group or functional area.
  • Provided guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess, and mitigate risk.
  • Collaborated with relevant business group to identify current and emerging risks associated with business activities and operations.
  • Wealth and Investment Management

Director of Financial Institutions

CliftonLarsonAllen (CLA)
01.2021 - 06.2021
  • Company Overview: Financial Institutions
  • Worked with clients and other staff to determine engagement/relationship objectives, develop appropriate budgets, and assist in coordinating resources to meet the objectives.
  • Developed an understanding of the client's business activities, controls, processes, and associated risks.
  • Coordinated the development of risk assessments, audit plans and scopes for compliance engagements.
  • Financial Institutions

Operational Risk Consultant

Wells Fargo
08.2018 - 01.2021
  • Company Overview: Wealth and Investment Management
  • Work with other teams to ensure business process risks are adequately identified and assessed and provide expertise to ensure associated controls are comprehensively and appropriately identified.
  • Perform control assurance reviews to validate the controls are properly assessed.
  • Provide consultation and Business Process Risk Management program expertise to dependent programs, including enterprise testing, assist with high-profile projects and initiatives, support risk assessment activities, and coordinate exams and audits.
  • Wealth and Investment Management

Compliance Quality Assurance (CQA) Quality Assurance Manager

US Bank
11.2013 - 08.2018
  • Designed and facilitated training programs to all team members to guarantee accurate Federal and State Regulatory testing Record Retention requirements.
  • Earned the Platinum Shield Award for quality testing of Default Management's processes, resulting in the Bank's successful release from the Office of the Comptroller of the Currency (OCC) Mortgage Consent Order.

Education

Bachelor of Science - Business Administration

University of Phoenix
Tempe, AZ

Skills

  • Investigation leadership
  • Strategic Planning
  • Report Preparation
  • Report Writing
  • Innovation and Creativity
  • Reporting and documentation
  • Project Planning
  • Continuous Improvement
  • Self-Motivation
  • Time Management
  • Quantitative skills
  • Excellent Communication
  • Attention to Detail
  • Written Communication
  • Goal Setting
  • Problem-Solving
  • Effective Communication
  • Active Listening
  • Problem-solving aptitude
  • Task Prioritization
  • Adaptability
  • Time management abilities
  • Professional Demeanor
  • Adaptability and Flexibility
  • Organizational Skills
  • Issue Research
  • Process Improvement
  • Analytical Skills
  • Teamwork and Collaboration
  • Operational risk management
  • Risk mitigation
  • Internal controls
  • Investigative skills

Certification

Certified Consumer Banking Compliance Officer (CCBCO)

Professional Development

  • American Bankers Association (ABA)
  • Risk, Audit, and Compliance Executives (RACE)

Activities

Member, Delta Mu Delta and Sigma Alpha Pi Honor Societies

Timeline

Principal Business Risk Control Specialist

Discover Financial
09.2024 - Current

Compliance Business Control Officer

Citigroup
04.2022 - 09.2024

Senior Control Management Specialist

Wells Fargo
07.2021 - 04.2022

Director of Financial Institutions

CliftonLarsonAllen (CLA)
01.2021 - 06.2021

Operational Risk Consultant

Wells Fargo
08.2018 - 01.2021

Compliance Quality Assurance (CQA) Quality Assurance Manager

US Bank
11.2013 - 08.2018

Bachelor of Science - Business Administration

University of Phoenix

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