Pamela Griffin
Elk Grove,CA
Summary
Progressive, decisive professional with a passion for solving complex risk and compliance-related issues. In-depth knowledge of risk and control analysis within the financial services sector. Experienced in leading, designing, and implementing process improvements that enhance workflow. Demonstrated cross-functional leader in high-pressure environments. Seeking new challenges and opportunities for growth.
Overview
32
32
years of professional experience
1
1
Certification
Work History
Legal Transfers/Correspondent
Fiserv
Rancho Cordova, CA
03.2022 - Current
- Ensured compliance with regulations, prospectus guidelines, and internal policies and procedures to support business unit activities.
- Conducting target testing and resolving account inquiries to mitigate risk. Additionally, creating new policies, procedures, and controls for business leadership.
- Developed a comprehensive collection of 100+ electronic internal policies and procedures. Additionally, created 12 new forms and correspondence templates to facilitate communications with external clients about legal transfer matters. As a result, received a greater number of accurate and in-good-order requests.
- Corresponded with courts, attorneys, and clients.
Legal Transfers/Correspondent
Franklin Templeton Investments
Rancho Cordova, CA
10.2000 - 03.2022
- Analyzed legal documents to ensure compliance with industry policies and state regulations for securities transfers and retirement plans.
- Developed and implemented cross-training program aimed at fostering knowledge sharing between customer service and operational teams.
- Developed detailed instruction manuals and conducted training sessions for 120 staff members during a multi-phase initiative to enhance internal operations.
Legal Transfer Senior Asscociate
Franklin Templeton Investments
SAN MATEO, CA
09.1995 - 10.2000
- Researched and resolved account inquiries to mitigate risk from other businesses.
- Reviewed and processed confidential court-issued documentation
- Successfully resolved complex issues and escalations through effective collaboration with local and global business units to represent our collective business objectives.
- Developed and implemented procedural upgrades leading to improved effectiveness, accuracy, and workflow optimization.
- Mitigated risk by developing policies and procedures to ensure maximum compliance and adherence to best practices.
Supervisor
FEMA
Redwood City, CA
01.1993 - 09.1995
- Served as upper management/employee liaison, in addition to conflict resolution.
- Performed staffing analysis to ensure efficient workforce management.
- Responded to correspondence regarding public assistance programs from government officials, agencies, and individuals.
- Coordinated release of information on disaster assistance programs, projects, and operations to local, state, and congressional representatives as well as the public.
- Managed public assistance data management systems with higher levels of efficiency.
- Identified program implementation gaps and shortfalls.
- Provided suggestions based on analyzed data to support operational decisions.
- Facilitated data-driven decision making between internal customers and decision makers.
Education
Paralegal
University of California - Davis
Davis, CASkills
- Regulatory Compliance Testing
- Comprehensive Due Diligence
- Business Communication
- Risk Assessment
- Policy Development
- Customer Relationship Management
- Process Improvements
- Collaborative Team Leadership
- Legal Knowledge
Certification
FINRA Series 6 License 1995-2006
Timeline
Legal Transfers/Correspondent
Fiserv
03.2022 - Current
Legal Transfers/Correspondent
Franklin Templeton Investments
10.2000 - 03.2022
Legal Transfer Senior Asscociate
Franklin Templeton Investments
09.1995 - 10.2000
Supervisor
FEMA
01.1993 - 09.1995
Paralegal
University of California - Davis