Records and information management professional with extensive experience at Wells Fargo, specializing in risk management and policy development. Demonstrated success in implementing enterprise-wide programs that enhance compliance and drive process improvements. Expertise in vendor management and training, coupled with strong analytical skills to effectively tackle complex challenges.
Overview
30
30
years of professional experience
Work History
Sr. Business Risk Execution Accountability Specialist, Records Management
Wells Fargo
Minneapolis, USA
2019.09 - Current
Evaluated Records Management Policy requirements across supported businesses and recommended control and process changes.
Identified gaps in records management controls and processes and remediated them, escalating issues and tracking actions to completion.
Oversaw physical records and electronic inventories, ensuring compliance with metadata standards and storage requirements per policy
Partnered with Group Records Coordinators to implement updated records program requirements, ensuring consistent execution across teams
Develop and align group- and business-specific procedures, communications, and training to drive adoption and effective execution of the records management program
Provide best practices and implementation guidance for electronic records purge capabilities and governance of unstructured content repositories
Support design and rollout of a centralized program to streamline manual processes for assessing and implementing risk policy requirements, including controls, procedures, and execution playbooks
Advised on accountability models and adherence to policy requirements, enhancing procedures to mitigate risk and strengthen program effectiveness
Records & Information Program Manager, Americas
Sherwin-Williams (Valspar acquisition)
Minneapolis, USA
2015.03 - 2019.09
Identified and addressed information security and privacy risks, ensuring compliance with legal and regulatory requirements through analytics and reporting
Applied federal and state legal/regulatory requirements impacting information governance; led complex projects and cross-functional teams from planning through implementation
Established retention parameters for archiving, migration, and disposition initiatives, ensuring compliance and improving process efficiency
Implemented the Global Shred-All Program for physical media to ensure secure destruction
Managed global vendor contracts for secure shredding and offsite storage, strengthening vendor relationships and optimizing service delivery
Records & Information Manager
Anderson Corporation
Bayport, USA
2012.09 - 2015.03
Led enterprise-wide implementation of Andersen’s Corporate Records and Information Management (RIM) program, including associated processes, resources, and budget; developed the enterprise RIM strategy and roadmap.
Standardized record creation, maintenance, protection, retrieval, and disposition across all media by enforcing enterprise recordkeeping policies and procedures, enhancing organizational consistency.
Defined records management compliance requirements and strategies with senior Legal and IT leaders; developed controls and governance for enterprise electronic archiving and storage.
Delivered enterprise RIM training and communications to promote adoption and compliance; ensured adherence to RIM policies through audits and ongoing monitoring.
Records & Information Manager
SEH
Minneapolis-St. Paul, USA
1998.10 - 2012.09
Modernized and standardized Records Management programs across 30+ regional offices nationwide by assessing user needs, diagnosing process gaps, and implementing budget-aligned improvements.
Improved corporate-wide program consistency by providing ongoing support and training during policy evolution; translated data analysis into actionable solutions while coordinating vendor/off-site storage contracts to uphold service levels.
Reduced program costs through effective contract renegotiation and storage oversight, ensuring retrieval and compliance. Created enablement materials and trained 40+ Records Coordinators on new forms and standardized procedures.
Strengthened legal/regulatory compliance for corporate information by governing retention requirements and leading records conversions for mergers and office relocations without disrupting client service.
Lead Records Coordinator
Midelfort Clinic/Luther Hospital
Eau Claire, USA
1996.01 - 1998.01
Requested and distributed charts for upcoming appointments to providers and requestors using bar code scanning system to ensure timely access to patient information.
Managed lifecycle of charts in and out of record room, numbering, filing, auditing loose papers, creating new patient charts, and faxing patient information to authorized parties.
Developed clerical/chart preparation role that streamlined departmental workflow, reducing processing time and improving service delivery.
Education
Associate Degree in Information Management - Records and Information Management
Electronic Records Manager Practitioner course, ERMp designation, AIIM, St. Paul, MN 2014
HIPAA Certification
Leadership Expertise
Bridge Legal, IT, Risk, Compliance, and Business teams to build scalable governance frameworks that strengthen compliance, reduce operational risk, and support audit readiness across financial services, healthcare, manufacturing, and professional services, lead retention schedules, legal holds, information security, privacy, and vendor management.
Timeline
Sr. Business Risk Execution Accountability Specialist, Records Management
Wells Fargo
2019.09 - Current
Records & Information Program Manager, Americas
Sherwin-Williams (Valspar acquisition)
2015.03 - 2019.09
Records & Information Manager
Anderson Corporation
2012.09 - 2015.03
Records & Information Manager
SEH
1998.10 - 2012.09
Lead Records Coordinator
Midelfort Clinic/Luther Hospital
1996.01 - 1998.01
Associate Degree in Information Management - Records and Information Management
<ul><li>Company Overview: Group Company of PUIG, Spain</li><li>Team Leadership & Process Excellence: Organised the transformation of the Finance & Accounts function, establishing performance-driven goals, and embedding a culture of accountability and continuous improvement. Drove operational efficiency through process redesigns, SOP implementation and optimal resource deployment, leading to measurable improvements in turnaround time and accuracy.</li><li>Strategic Partnering with CXOs: Acted as a key advisor to the CEO, CFO, and other CXOs on business planning, pricing strategies, and business model pivots to support scale-up and profitability. Contributed to investor communications with data-backed insights to enhance stakeholder confidence and secure strategic funding.</li><li>Cross-Functional & Global Stakeholder Management: Functioned as the strategic finance business partner to cross-functional heads and the PUIG global finance team, aligning local execution with global financial strategies and compliance requirements.</li><li>ERP Transformation & System Automation: Led end-to-end ERP reimplementation to address system gaps, enforce role-based controls, and automate core finance processes—resulting in enhanced data accuracy, faster reporting and improved internal controls.</li><li>Costing, Inventory & Profitability Optimization: Designed and implemented plant-level costing models to ensure accurate COGS determination. Improved inventory management across pricing, consumption tracking, and aging analysis—enabling better working capital control and cost efficiency.</li><li>Manufacturing Finance & Statutory Compliance: Supervised end-to-end accounting for manufacturing operations and ensured full statutory compliance.</li><li>Financial Reporting, MIS & Profitability Analytics: Delivered accurate and timely monthly MIS reports, including P&L, Balance Sheet and KPI dashboards with deep-dive variance analysis across stores, business verticals, and geographies. Supported board-level decision-making through insightful presentations on financial health and business performance.</li><li>Budgeting, Forecasting & Business Planning: Led the Annual Operating Plan (AOP) and rolling forecasts, ensuring alignment with strategic objectives and market dynamics. Monitored key financial metrics to enable business decisions and proactive cost management.</li><li>Statutory, Internal & Tax Audit Management: Finalized standalone and consolidated financials under Ind AS and IFRS, ensured timely group reporting and compliance with international standards. Delivered clean and timely closures of statutory, tax, and internal audits in coordination with Big 4 auditors. Strengthened audit readiness through pre-audit diagnostics and rectification of recurring control gaps.</li><li>Regulatory Compliance & Risk Management: Ensured end-to-end compliance which includes ROC, RBI, FEMA, Income Tax, GST, Transfer Pricing, DTAA, and Customs. Reviewed cross-border contracts and transactions to ensure arm’s length pricing, accurate TDS application, and proper documentation under Transfer Pricing regulations.</li><li>Commercial Negotiation & Contract Governance: Led commercial negotiations and structured deals with vendors and franchisees. Reviewed key business contracts to ensure financial viability, risk protection, and compliance with regulatory standards.</li><li>Treasury & External Commercial Borrowing (ECB): Managed fund planning and liquidity management including ECB drawdowns, bank negotiations, and interest optimization. Improved working capital cycles through proactive cash flow forecasting and receivables control.</li><li>Internal Controls & Governance Framework: Led organization-wide reviews of internal control systems, identified process gaps, and redesigned or implemented over 40 SOPs and IFCs. Established a governance structure for financial discipline, risk mitigation, and policy compliance across departments.</li></ul> at Kama Ayurveda Pvt. Ltd. & PUIG India Pvt. Ltd.<ul><li>Company Overview: Group Company of PUIG, Spain</li><li>Team Leadership & Process Excellence: Organised the transformation of the Finance & Accounts function, establishing performance-driven goals, and embedding a culture of accountability and continuous improvement. Drove operational efficiency through process redesigns, SOP implementation and optimal resource deployment, leading to measurable improvements in turnaround time and accuracy.</li><li>Strategic Partnering with CXOs: Acted as a key advisor to the CEO, CFO, and other CXOs on business planning, pricing strategies, and business model pivots to support scale-up and profitability. Contributed to investor communications with data-backed insights to enhance stakeholder confidence and secure strategic funding.</li><li>Cross-Functional & Global Stakeholder Management: Functioned as the strategic finance business partner to cross-functional heads and the PUIG global finance team, aligning local execution with global financial strategies and compliance requirements.</li><li>ERP Transformation & System Automation: Led end-to-end ERP reimplementation to address system gaps, enforce role-based controls, and automate core finance processes—resulting in enhanced data accuracy, faster reporting and improved internal controls.</li><li>Costing, Inventory & Profitability Optimization: Designed and implemented plant-level costing models to ensure accurate COGS determination. Improved inventory management across pricing, consumption tracking, and aging analysis—enabling better working capital control and cost efficiency.</li><li>Manufacturing Finance & Statutory Compliance: Supervised end-to-end accounting for manufacturing operations and ensured full statutory compliance.</li><li>Financial Reporting, MIS & Profitability Analytics: Delivered accurate and timely monthly MIS reports, including P&L, Balance Sheet and KPI dashboards with deep-dive variance analysis across stores, business verticals, and geographies. Supported board-level decision-making through insightful presentations on financial health and business performance.</li><li>Budgeting, Forecasting & Business Planning: Led the Annual Operating Plan (AOP) and rolling forecasts, ensuring alignment with strategic objectives and market dynamics. Monitored key financial metrics to enable business decisions and proactive cost management.</li><li>Statutory, Internal & Tax Audit Management: Finalized standalone and consolidated financials under Ind AS and IFRS, ensured timely group reporting and compliance with international standards. Delivered clean and timely closures of statutory, tax, and internal audits in coordination with Big 4 auditors. Strengthened audit readiness through pre-audit diagnostics and rectification of recurring control gaps.</li><li>Regulatory Compliance & Risk Management: Ensured end-to-end compliance which includes ROC, RBI, FEMA, Income Tax, GST, Transfer Pricing, DTAA, and Customs. Reviewed cross-border contracts and transactions to ensure arm’s length pricing, accurate TDS application, and proper documentation under Transfer Pricing regulations.</li><li>Commercial Negotiation & Contract Governance: Led commercial negotiations and structured deals with vendors and franchisees. Reviewed key business contracts to ensure financial viability, risk protection, and compliance with regulatory standards.</li><li>Treasury & External Commercial Borrowing (ECB): Managed fund planning and liquidity management including ECB drawdowns, bank negotiations, and interest optimization. Improved working capital cycles through proactive cash flow forecasting and receivables control.</li><li>Internal Controls & Governance Framework: Led organization-wide reviews of internal control systems, identified process gaps, and redesigned or implemented over 40 SOPs and IFCs. Established a governance structure for financial discipline, risk mitigation, and policy compliance across departments.</li></ul> at Kama Ayurveda Pvt. Ltd. & PUIG India Pvt. Ltd.
<ul><li>Roles and Responsibilities</li><li>Hiring and team building</li><li>Managing team’s career progression and performance reviews</li><li>Managing Performance improvement plan and firing</li><li>Mentoring</li><li>Product roadmap planning and execution</li><li>Accountability of the entire delivery execution including the risk mitigation planning.</li><li>Stakeholder management</li><li>Adhering to Apple Privacy and Security Guidelines for platform</li><li>Design and implementation of new architectures and solutions to manage all online services for AdXchange in Apple Ads.</li><li>Design and implementation of new architectures and solutions deliver Budget experimentation in Apple Ads</li><li>Design and implementation of new architectures and solutions to manage data for Ad Platform.</li><li>Creating and maintaining all the data and analytics and revenue pipelines for Ad Platforms</li><li>Driving the solution for data ingestions and data processing across Ad platform</li><li>Defining the Strategy for data governance and data access</li><li>Collaboration with business to deliver relevant data and insight for our strategy and decisions.</li><li>Managing storage, processing, copy/synchronization etc. appropriate to scale</li><li>Enabling machine learning and algorithm groups by proving them right frameworks and data</li><li>Advancing team’s design methodology and quality programming practices and evangelize those techniques across Ad platform.</li><li>Deliveries</li><li>Setup 8+ member team to design and deliver Budget Allocation and Budget experimentation.</li><li>Leading Ad Delivery services team, responsible for delivering various capabilities like query understanding, targeting, fraud etc.</li><li>Delivered and Lead Design for observability for budget, and data platform in Ad platform.</li><li>Setup 11+ members high performing team to handle various business needs such as analytics and micro services for Display Advertising as well as Data Platform</li><li>Instrumental in driving Data Platform throughout the SDLC from inception, design, development, testing and deployment.</li><li>Instilled a strong team culture of high-quality delivery by constructive feedback, cross collaboration, focus and motivation.</li><li>Delivered Realtime and Batch Platform with various integrations</li><li>Delivered new DIP design for Data Platform</li><li>Delivered design of all the components of Data processing platform</li><li>Transitioned Display data work to India seamlessly and delivered many critical business impacting features and organizational security initiatives.</li><li>Closely worked with various stakeholders to understand the requirements which resulted into efficient remote work culture.</li><li>Seamless Display execution and set up best practices for 24X7 production on-call.</li><li>Tools and Technologies</li><li>AWS, S3, Kafka, Spark, Hadoop, EMR, Hive, Scoop, Flume, Cassandra, Airflow, Oozie, Gobblin, Schema Store, Icloud, Grafana, Kubernetes, Vertica, Alation, snowflake, druid, Iceberg, Java, Scala, IntelliJ, Oracle, MySql, Git, RIO, Spinnaker, Elastic cache, Grpc, Agile.</li></ul> at Apple - Adplatform<ul><li>Roles and Responsibilities</li><li>Hiring and team building</li><li>Managing team’s career progression and performance reviews</li><li>Managing Performance improvement plan and firing</li><li>Mentoring</li><li>Product roadmap planning and execution</li><li>Accountability of the entire delivery execution including the risk mitigation planning.</li><li>Stakeholder management</li><li>Adhering to Apple Privacy and Security Guidelines for platform</li><li>Design and implementation of new architectures and solutions to manage all online services for AdXchange in Apple Ads.</li><li>Design and implementation of new architectures and solutions deliver Budget experimentation in Apple Ads</li><li>Design and implementation of new architectures and solutions to manage data for Ad Platform.</li><li>Creating and maintaining all the data and analytics and revenue pipelines for Ad Platforms</li><li>Driving the solution for data ingestions and data processing across Ad platform</li><li>Defining the Strategy for data governance and data access</li><li>Collaboration with business to deliver relevant data and insight for our strategy and decisions.</li><li>Managing storage, processing, copy/synchronization etc. appropriate to scale</li><li>Enabling machine learning and algorithm groups by proving them right frameworks and data</li><li>Advancing team’s design methodology and quality programming practices and evangelize those techniques across Ad platform.</li><li>Deliveries</li><li>Setup 8+ member team to design and deliver Budget Allocation and Budget experimentation.</li><li>Leading Ad Delivery services team, responsible for delivering various capabilities like query understanding, targeting, fraud etc.</li><li>Delivered and Lead Design for observability for budget, and data platform in Ad platform.</li><li>Setup 11+ members high performing team to handle various business needs such as analytics and micro services for Display Advertising as well as Data Platform</li><li>Instrumental in driving Data Platform throughout the SDLC from inception, design, development, testing and deployment.</li><li>Instilled a strong team culture of high-quality delivery by constructive feedback, cross collaboration, focus and motivation.</li><li>Delivered Realtime and Batch Platform with various integrations</li><li>Delivered new DIP design for Data Platform</li><li>Delivered design of all the components of Data processing platform</li><li>Transitioned Display data work to India seamlessly and delivered many critical business impacting features and organizational security initiatives.</li><li>Closely worked with various stakeholders to understand the requirements which resulted into efficient remote work culture.</li><li>Seamless Display execution and set up best practices for 24X7 production on-call.</li><li>Tools and Technologies</li><li>AWS, S3, Kafka, Spark, Hadoop, EMR, Hive, Scoop, Flume, Cassandra, Airflow, Oozie, Gobblin, Schema Store, Icloud, Grafana, Kubernetes, Vertica, Alation, snowflake, druid, Iceberg, Java, Scala, IntelliJ, Oracle, MySql, Git, RIO, Spinnaker, Elastic cache, Grpc, Agile.</li></ul> at Apple - Adplatform