Patricia Wartmann
Hillsboro,Il
Summary
Regulatory compliance professional with extensive experience at U.S. Bank, specializing in audit development and risk assessment. Demonstrated success in enhancing quality control and promoting team collaboration. Skilled in procedure documentation and effective communication, consistently achieving successful completion of annual assessments and driving process improvement initiatives.
Overview
21
21
years of professional experience
Work History
Business Line Regulatory Review Rep 4
US Bank
04.2017 - Current
- Developed and edited procedures to ensure compliance with PCI DSS, Regulation Z, Regulation AB, SOC1, and HIPAA.
- Conducted monthly and weekly site audits to verify adherence to established procedures and accurate documentation.
- Served as liaison for lockbox management to address challenges in implementing regulatory procedures.
- Collaborated with internal and external assessors during two client-required assessments to identify procedure gaps.
- Utilized critical thinking to create and test audit processes while identifying additional security risks.
- Ensured thorough testing and methodology application across all sites during new procedure implementation.
- Identified and documented procedural breakpoints across all lines of business within National Lockbox Services.
- Achieved successful completion of annual SOC1 and PCI assessments.
Risk, Compliance, Audit Specialist 3
US Bank
06.2015 - 04.2017
- Provided administrative, operational, and staff support for Residential Mortgage Default Management division.
- Tracked, managed, and reported trends in exception rates and production volume for quality control.
- Completed internal and regulatory compliance reviews for procedures and customer correspondences.
- Monitored work quality against timeliness, accuracy, and productivity standards in RMDM.
- Compiled and organized data efficiently to meet strict deadlines.
- Adapted to ongoing process changes while maintaining performance in a high-volume compliance environment.
- Collaborated with cross-functional teams to ensure policy adherence across operations.
- Participated in special projects aimed at process improvement initiatives.
Relationship Manager
US Bank
10.2013 - 06.2015
- Reviewed over 500 customer accounts for loss mitigation options to prevent foreclosure.
- Identified required documents and procedures for mortgagors, real estate agents, and attorneys.
- Maintained performance and accuracy during transitions in the Relationship Manager role.
- Cultivated strong client relationships through consistent communication and personalized service.
- Monitored client accounts for compliance with regulations and bank policies.
- Resolved escalated customer issues within established timelines to enhance satisfaction.
- Conducted training sessions on best practices for colleagues to improve team effectiveness.
Assistant Manager
US Bank
02.2012 - 10.2013
- Led sales and service delivery, enhancing performance of branch employees through effective coaching.
- Achieved branch sales goals, contributing to receipt of two Pinnacle awards for excellence.
- Ensured compliance with operational requirements, adhering to Regulation D, CC, E, and Z standards.
- Ordered supplies and cash using electronic systems, maintaining operations above company benchmarks.
- Supervised daily activities, guaranteeing adherence to banking regulations and operational standards.
- Analyzed financial reports to identify trends, informing strategic decision-making processes.
- Facilitated conflict resolution among team members, promoting a positive work environment.
- Collaborated with management to establish departmental objectives and performance metrics.
Manager
Casey’s General Store
02.2005 - 02.2012
- Audited daily sales, cash, receipts, and deposits exceeding $5,000 for accuracy.
- Supervised twelve employees, evaluating work performance regularly.
- Developed selling techniques that increased product sales to customers.
- Reviewed monthly Profit and Loss Statements to ensure store profitability.
- Managed scheduling and payroll programs to guarantee proper staffing and accurate employee payments.
- Conducted inventory checks to optimize stock levels and minimize waste.
- Resolved customer complaints promptly to enhance satisfaction and loyalty.
- Implemented safety standards while maintaining a clean, organized store environment.
Education
Bachelor of Arts - Management
University of Illinois At Springfield
Springfield, IL08.2009
Bachelor of Business Administration -
University of Illinois At Springfield
Springfield, IL05.2009
Associates of Arts - Accounting
Lincoln Land Community College
Springfield, IL05.2006
Skills
- US Bank systems
- Regulatory compliance
- Audit development
- Risk assessment
- Procedure documentation
- Quality control
- Customer relationship management
- Attention to detail
- Problem solving
- Team collaboration
- Process improvement
- Effective communication
- Conflict resolution
- ECM solutions
Volunteer Experience
- Montgomery County 4-H Shooting Sports Coordinator, 01/01/14- present
Timeline
Business Line Regulatory Review Rep 4
US Bank
04.2017 - Current
Risk, Compliance, Audit Specialist 3
US Bank
06.2015 - 04.2017
Relationship Manager
US Bank
10.2013 - 06.2015
Assistant Manager
US Bank
02.2012 - 10.2013
Manager
Casey’s General Store
02.2005 - 02.2012
Bachelor of Arts - Management
University of Illinois At Springfield
Bachelor of Business Administration -
University of Illinois At Springfield
Associates of Arts - Accounting
Lincoln Land Community College
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