Kenene Bartlett
West Palm Beach,Florida
Summary
Results-oriented senior compliance leader with over 14 years of experience developing and implementing compliance testing programs for employers within the banking, mortgage, and legal industries.
Overview
21
21
years of professional experience
1
1
Certification
Work History
Senior Financial Services Consultant
Deloitte
New York
08.2022 - Current
- Identified, created, and executed over 57 regulatory scope tests and developed over 30 operating procedures and protocols using a risk-based approach
- Summarized and created change management memos to the Executive committee related to the 2nd line of defense operational testing programs by Fannie Mae, Freddie Mac, and Ginnie Mae
- Develops, monitors, and possibly executes regulatory tests for third-party remediation actions, mitigation, and contingency plans when risks or events are identified
- Reviews and implements, as needed work papers to support conclusions of test findings.
Vice President, Compliance Officer
Capital One
Plano, Texas
06.2021 - 12.2022
- Execute the Bank-wide compliance testing across applicable lines of business such as Operations, IT, SOX Audit, Human Resources, Servicing and
- Development of controls and monitoring, remediation/corrective action of compliance breakdowns, and changes in law or regulation
- Oversaw business operations in their development, implementation, monitoring, testing and reporting of compliance programs to satisfy regulatory requirements and expectations that were consistent with the program’s standards and requirements
- Developed, implemented, maintained, and monitored training and educational programs for the business units, facilitating an improved understanding of regulatory compliance issues pertinent to their operations.
Vice President, Compliance Officer
Citibank
Tampa, FL
09.2020 - 02.2021
- Lead and support (ICG) 'Institutional Clients Group' Privacy Controls & Operational activities, including supporting cross-border data clearance requests and IT control testing
- Create a detailed test plan that outlines the scope, objective, methodology, and resources required for each test
- Liaise with internal leaders to establish testing plans
- Ensure alignment among security and compliance programs, i.e., testing plan, testing scripts, and testing documentation
- Documenting the test results, identifying areas of noncompliance, and developing a remediation plan to address any gaps or weaknesses.
Senior Manager, Operational Controls testing
PHH Mortgage Headquarters
West Palm Beach, FL
12.2018 - 08.2019
- Supported first line of defense testing for loan servicing requirements during multiple mergers, leading to the identification and reporting of high-risk trends and successful risk remediation
- Conducting compliance testing and providing system and operational control recommendations to promote continuous improvement of internal processes and procedures
- Delivering findings, reports, and strategic recommendations to senior leadership
- Independently analyzed the company’s 50 most critical regulatory tests, partnering with legal and compliance to ensure business processes and tests were compliant with state and federal regulations.
Senior Compliance Officer
Firstbank
Pinecrest, FL
01.2017 - 11.2018
- Developed, revised, and published 136 mortgage loan servicing policies, procedures, and guidelines, mitigating identified risks and enhancing compliance with regulatory requirements
- Administered innovative formats of training and implemented compliance training schedule, bolstering corporate training and employee compliance with various requirements
- Partnered with the SVP of IT to build an in-house regulatory change management system to automate the communication of regulatory changes, enabling the business to adapt to new regulations swiftly and sustainably.
Senior Compliance Officer
Community Mortgage Funding
Pomona, CA
01.2017 - 01.2018
- Implemented control reports across the business, leading to greater top-down awareness, more efficient identification and correction of emerging issues, and reduction in overall risk
- Recommended strategic outsourcing of vendor management program leading to lower costs, more effective operations, mitigation of risks, and improved controls.
Compliance Officer (consultant position)
CounterPointe Energy Solutions.
Boca Raton, FL
06.2016 - 12.2016
- Responsible for the financing and refinancing of renewable energy, energy conservation and efficiency, water efficiency, and wind resistance improvements
- Submitted approvals on exceptional improvements, infrastructure, and other work that be authorized by the agency
- Conformed practices with guidelines and protocols from federal agencies such as the Federal Trade Commission
- Built robust relationships with third party service providers, vendors and contractors who were approved by PACE
- Recommend process and policy enhancements to support continued improvement
- Provide training and education to the field and operations based on audit results.
Compliance Audit Analyst
CircleBack Lending, Inc.
Boca Raton, FL
12.2015 - 03.2016
- Received promotion and became key contributor in developing an in-house compliance management system, which required extensive compliance audits of entire enterprise
- Proficient in planning, testing and drafting risk based tests
- Constructed a streamlined compliance audit process
- Performed comprehensive audit analysis
- Controlled the full audit cycle including risk assessment and compliance with internal directives
- Reported audit findings to stakeholders to ensure compliance with internal policies, procedures practices
- Trained new hires as to fair lending, including but limited to: Dodd-Frank, CCPA, ECOA, FCRA, UDAAP, BSA/AML, TCPA, SCRA, and FDCPA.
Senior Foreclosure Paralegal
The Law Offices of Marshall Watson P.A.
Fort Lauderdale, FL
04.2009 - 11.2011
Senior Processor (Team Lead)
JPMorgan Chase
Sunrise, Florida
02.2005 - 04.2009
Senior Auditor
BankUnited
Miami, Florida
11.2003 - 02.2005
Education
MBA - Management
Nova Southeastern University
Fort Lauderdale, Florida12.2018
Bachelor of Arts (BA) - Legal Studies
Keiser University
Fort Lauderdale, Florida08.2015
Associate of Arts (AA) - Paralegal Studies
Keiser University
Fort Lauderdale, Florida06.2009
Skills
- PC
- Outlook
- Microsoft Word
- Excel
- Powerpoint
- Access
- CMS
- Blackknight
- Salesforce
- Transaction Testing
- Continuous Improvement & Monitoring
- 7 years of experience in Testing, Quality Assurance
- Compliance Testing Program
- 10 Audit Experience SOX
- RCA
- Maintain effective controls
- Automation/Manual/Self Testing
- Control Testing
Certification
- Six Sigma Green Belt Certified, Palm Beach State College, 08/18
- Certified Compliance & Ethics Professional, Compliance Certification Board, 2016
Degrees
- MBA
- CCEP
- PMP
Timeline
Senior Financial Services Consultant
Deloitte
08.2022 - Current
Vice President, Compliance Officer
Capital One
06.2021 - 12.2022
Vice President, Compliance Officer
Citibank
09.2020 - 02.2021
Senior Manager, Operational Controls testing
PHH Mortgage Headquarters
12.2018 - 08.2019
Senior Compliance Officer
Firstbank
01.2017 - 11.2018
Senior Compliance Officer
Community Mortgage Funding
01.2017 - 01.2018
Compliance Officer (consultant position)
CounterPointe Energy Solutions.
06.2016 - 12.2016
Compliance Audit Analyst
CircleBack Lending, Inc.
12.2015 - 03.2016
Senior Foreclosure Paralegal
The Law Offices of Marshall Watson P.A.
04.2009 - 11.2011
Senior Processor (Team Lead)
JPMorgan Chase
02.2005 - 04.2009
Senior Auditor
BankUnited
11.2003 - 02.2005
MBA - Management
Nova Southeastern University
Bachelor of Arts (BA) - Legal Studies
Keiser University
Associate of Arts (AA) - Paralegal Studies
Keiser University