Kathleen Sturgis
Columbus,OH
Summary
Strategic Leader with over 18 years of Financial industry experience. Proficient in Operations, Compliance, Risk and Controls. Currently responsible for managing Regulatory Engagements. The 18 year career has included various Leadership roles including being an HR Control Manager responsible for oversight and advancement of the HR Control environment, Employee Conduct Control Manager responsible for Governance and Oversight, roles within the Legal team responsible to manage Reputational and Legal Risk by appropriately addressing Customer Complaints and roles with Compliance and the Regulatory Complaints Management team leading a team of Compliance Officers to address a large scale critical OCC MRA.
Overview
8
8
years of professional experience
Work History
VP Control Manager - Regulatory Engagements
Chase
Columbus, OH
04.2022 - Current
- Review and coordinate responses to external regulatory financial examination requests.
- Advise and prepare Executive leaders across multiple lines of business for regulatory interactions.
- Maintain effective working relationships with regulatory authorities.
VP Control Manager - HR
Chase
Columbus, OH
11.2020 - 04.2022
- Oversight and advancement of HR Control environment. Example negotiated Firm-wide reporting enhancements resulted in sustained improved adherence metrics bringing team under required KPI metric.
- Audit readiness reviews and responses resulting in successful audit closures.
- Matured control efforts for OCC identified Matter Requiring Attention that led to timely action plan closure.
- Created Senior Management committee meeting materials. Content included emerging risks, thematic trends and escalations.
VP Control Manager - Employee Conduct
Chase
Columbus, Ohio
04.2019 - 11.2020
- Provided oversight guidance on policies and procedures to harmonize responses and appropriate investigation escalations. Example Employee Monitoring Conduct Standards.
- Provided resolution to complex and confidential issues.
- Updated training content by reviewing existing documentation, leveraging feedback from associates and working with legal and compliance teams.
- Provided oversight and business requirements to develop automated remediation reporting used to track investigation outcomes and financial impacts.
Regulatory Complaints Analysis Manager
Chase
Columbus, OH
2014 - 04.2019
- Aligned program with complaint policy which resulted in a 60K decrease of cases referred to the Executive Office.
- Strategic business lead to add Sales Practice Misconduct to the program scope resulting in timely closure of an action plan.
- Centralized regulatory complaint analysis tagging of seven lines of business leading to an action plan closure.
- Managed 50 regulations and high risks including SCRA, Fair Lending, ADA, UDAAP, Elder Abuse, Employee Misconduct and Sales Practice Misconduct, for regulatory reporting.
- Provided management oversight of 20 people.
Compliance Manager
Chase
Columbus, OH
2012 - 2014
- Compliance Officer for OCC Consent order Article VII.
- Developed and delivered Compliance training for Executive Office employees.
- Managed team of 8 Compliance Officers
Legal Specialist / Compliance Officer
Chase
Columbus, OH
2011 - 2012
- Developed and delivered training programs for Executive Office employees about compliance issues.
- Evaluated customer complaints, processes and all other response aspects to mitigate reputational and legal risk.
Foreclosure Manager
Chase
Columbus, OH
2008 - 2011
- Managed government portfolio for all 50 States ensuring adherence to FHA and VA investor guidelines.
- Provided logic for tracking database to enhance compliance with FHA first Legal requirements.
- Partnered with senior management to develop document execution training to provide proper signing authority for staff.
- Managed team of 12 foreclosure analyst.
Team Lead Default Research
Chase
Columbus, OH
01.2006 - 11.2008
- Minimized resource and time losses by addressing employee or production issue directly and implementing timely solutions.
Home Lending Customer Service
Chase
Columbus, Ohio
09.2003 - 12.2005
- Performed independent research to solve complex verbal and written complaints.
Education
Associate of Science - Business
Franklin University
Columbus, OH06.2020
Skills
- Home Lending, Credit Card, Consumer/ Business Banking, Auto
- People Management
- Employee Conduct Governance
- End to End Regulatory Supervision
- Process and Control development
- Communication and Negotiation
- Audit Engagements
- Intellectual curiosity
- Sound judgement under pressure when faced with imperfect information
Accomplishments
- 2018 Chase Rising Star Program Graduate
- 2021 McKinsey Management Accelerator cohort
Timeline
VP Control Manager - Regulatory Engagements
Chase
04.2022 - Current
VP Control Manager - HR
Chase
11.2020 - 04.2022
VP Control Manager - Employee Conduct
Chase
04.2019 - 11.2020
Team Lead Default Research
Chase
01.2006 - 11.2008
Home Lending Customer Service
Chase
09.2003 - 12.2005
Regulatory Complaints Analysis Manager
Chase
2014 - 04.2019
Compliance Manager
Chase
2012 - 2014
Legal Specialist / Compliance Officer
Chase
2011 - 2012
Foreclosure Manager
Chase
2008 - 2011
Associate of Science - Business
Franklin University
Similar Profiles
Martha McGuffeyMartha McGuffey
Fraud Specialist at ChaseFraud Specialist at Chase
RUMPA DEOGHARIARUMPA DEOGHARIA
Relationship Banker at ChaseRelationship Banker at Chase
Lorrie ThorsonLorrie Thorson
Branch Manager at ChaseBranch Manager at Chase