Lisa James
Hollywood,FL
Summary
Dynamic compliance professional with extensive experience, adept at conducting risk assessments and effectively communicating results to stakeholders. Proven ability to work independently or lead branch examinations. Equipped with strong problem-solving skills, writing skills, and willingness to learn to enhance personal growth. Poised to contribute to team success and achieve positive results. Ready to tackle new challenges and advance organizational objectives with dedication and enthusiasm.
Overview
31
31
years of professional experience
1
1
Certification
Work History
Senior Compliance Consultant
Wells Fargo Advisors, LLC
01.2007 - 03.2025
- Conducted detailed risk assessments identifying potential compliance gaps and recommending corrective actions.
- Collaborated with cross-functional teams to implement process improvements streamlining compliance operations.
- Prepared comprehensive reports for senior leadership detailing compliance status and strategic recommendations.
- Prepared documentation and records for upcoming audits and inspections.
- Supported and trained customers on compliance-related issues.
- Stayed current with latest changes to applicable regulatory standards and company procedures.
Regional Compliance Analyst
Wells Fargo Advisors
03.2000 - 12.2006
Reviewed and resolved customer complaints
Reviewed AML documentation for approval of Non-Resident Alien accounts
Held monthly meetings with Region to ensure compliance
Oversight Compliance Officer
Edward Jones
01.1994 - 12.1999
- Conducted thorough risk assessments to identify potential compliance gaps.
- Collaborated with cross-functional teams to ensure adherence to policies and procedures.
- Monitored regulatory changes and updated internal policies accordingly.
Education
MBA - Marketing
Florida Agricultural And Mechanical University
Tallahassee, FL05-1993
Bachelor of Science - Marketing
Florida Agricultural And Mechanical University
Tallahassee, FL05-1992
Skills
- Problem-solving
- Time management
- Attention to detail
- Teamwork and collaboration
- Multitasking Abilities
- Reliability
- Excellent communication
- Critical thinking
- Team leadership
- Self motivation
- Risk identification
Certification
Series 7, 8, 24, and 63; Life, Health, and Variable Annuity License, Anti-Money Laundering Certified Associate
Timeline
Senior Compliance Consultant
Wells Fargo Advisors, LLC
01.2007 - 03.2025
Regional Compliance Analyst
Wells Fargo Advisors
03.2000 - 12.2006
Oversight Compliance Officer
Edward Jones
01.1994 - 12.1999
MBA - Marketing
Florida Agricultural And Mechanical University
Bachelor of Science - Marketing
Florida Agricultural And Mechanical University
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