Patrick Doherty
Saint Charles,MO
Summary
Senior Manager specializing in cross-functional collaboration and process optimization. Demonstrated success in enhancing communication and achieving measurable results. Extensive experience in compliance, risk management, and project management, with a focus on developing efficient processes that improve operational performance. Proficient in reporting, budgeting, and engaging with executive leadership, with strong skills in planning, negotiation, and problem-solving.
Overview
20
20
years of professional experience
Work History
Assistant Vice President - Compliance
Wells Fargo
St Louis, Missouri
06.2022 - Current
- Maintain strong working relationships with state regulators and examiners to ensure full compliance with Wells Fargo’s employee registration and licensing requirements, facilitating timely response and minimizing regulatory risk.
- Collaborate with cross-functional employees to develop accurate and timely responses to state inquiries, ensuring compliance with regulatory requirements and maintaining positive agency relationships.
- Ensure all required documentation is accurately completed and submitted to the appropriate State agencies prior to established deadlines, maintaining full compliance with regulatory and reporting requirements.
- Design and implement new response templates for State Letters, reducing drafting time by 30% and enhancing clarity and compliance with federal/state guidelines.
- Provide management with actionable insights through weekly reports on active State Letters, facilitating strategic planning and operational improvements.
- Track and analyze FINRA notifications for employee bankruptcies and customer complaints, enabling prompt compliance actions and reducing potential regulatory exposure.
- Investigate and resolve FINRA disclosure inquiries, ensuring all employee submissions met FINRA Rule 8210 documentation standards.
- Coordinate with Legal, Compliance, and varius business units to gather and validate evidence, achieving 100% accuracy in regulatory submissions.
- Maintain complete investigation logs and correspondence records, enhancing audit readiness and regulatory transparency.
- Conduct internal employee interviews and investigative reviews to verify disclosure accuracy and mitigate compliance risk.
Compliance Analyst
Post Holding, Inc.
St. Louis, MT
04.2020 - 05.2022
- Managed Post Holdings’ Learning Management System (LMS) for compliance training programs serving 3,300+ employees across multiple divisions.
- Partnered with HR Leaders to ensure employee compliance with federal and state regulations, including the Annual Code of Conduct and Workplace Harassment training programs.
- Collaborated with the Compliance Director, Food Safety Director, IT Project Manager, and Divisional HR Leaders on the rollout of a Third-Party Due Diligence Screening Tool to enhance vendor and partner risk assessment.
- Analyzed incident management platform data to identify month-over-month trends, recurring complaints, and high-level incidents, driving targeted corrective actions.
- Maintained comprehensive compliance tracking and reporting to support internal audits and external regulatory reviews.
- Streamlined LMS processes and automate training notifications, improving completion rates and reducing administrative workload by 30–40%.
- Developed user training guides and provide technical support, ensuring seamless user experience and consistent compliance performance.
- Collaborate with Compliance, Food Safety, IT, and HR teams on the rollout of a Third-Party Due Diligence Screening Tool to strengthen vendor oversight.
- Coordinate GFSI, SQF, FDA, and Department of Health and Agriculture audits, ensuring full audit readiness and zero major nonconformances.
- Built FDA audit templates that improved leadership visibility into audit focus areas and preparation progress.
- Manage the supplier Certificate of Insurance (COI) program, verifying compliance with risk and insurance standards.
- Analyze environmental monitoring data to identify trends, recurring issues, and emerging risks across facilities.
- Evaluated internal and external Environmental, Health & Safety (EHS) audits to detect discrepancies and ensure alignment between reported data points.
- Built a Network Safety Scorecard in Excel to monitor month-over-month safety metrics (OIR, LTI, DART, and SIF incidents), improving visibility into safety performance trends.
- Analyzed Safety Risk Management Program (SRMP) scores across the network to identify high-risk facilities and guide mitigation planning.
- Conducted trend analyses of incident management data to target recurring complaints and systemic risk areas.
- Streamlined LMS workflows, reducing administrative effort by 40% and maintaining 98%+ training compliance rates.
- Developed executive-level dashboards and audit reports to enhance compliance transparency and data-driven decision-making. Managed the supplier Certificate of Insurance (COI) program, ensuring all third-party vendors maintain valid coverage and meet corporate risk requirements.
Global Specialist - Project Manager
Enterprise Holdings, Inc.
St. Louis, MT
08.2018 - 01.2020
- Directed multiple internal teams during the acquisition of the U.S. Licensee Network, ensuring seamless operational and IT integration.
- Oversaw franchisee customer service data integration by managing IT processes that bridge franchisee and corporate networks, reducing potential data breaches.
- Supervised National and Alamo brand expansion into multiple LAC-franchised countries by ensuring brand consistency, network integration, and access to corporate reservation systems.
- Managed Enterprise’s Global Email Solution build-out, creating a standardized email system connecting corporate and franchisee networks for quality assurance.
- Led the franchise partner outreach program to collect and analyze data on entity and shareholder ownership, security and data policies, and legal compliance.
U.S. Licensee Operations Manager
Enterprise Holdings, Inc.
St. Louis, MT
08.2015 - 02.2019
- Managed day-to-day operations for 42 U.S. licensee car rental locations, ensuring operational efficiency and compliance.
- Developed and implemented standardized policies and procedures to streamline licensee operations.
- Negotiated and executed acquisitions of multiple U.S. licensee partners, including drafting purchasing agreements.
- Directed integration of corporate and licensee networks, optimizing fleet operations across all locations.
- Coordinated daily fleet management between corporate and licensee vehicles, improving utilization and reducing downtime.
- Analyzed monthly licensee account statements with Accounting, identifying and resolving discrepancies.
- Resolved high-level customer service and complaint issues with licensee partners, maintaining strong partner relationships.
Franchise Contract Specialist
Enterprise Holdings, Inc.
St. Louis, MO
05.2012 - 08.2015
- Built and developed the Global Expansion strategy from the ground up in collaboration with the VP of Global Franchising and COO.
- Played a key role in negotiations with potential franchise partners, driving strategic growth opportunities.
- Created a new Franchise Agreement for Global Expansion with guidance from internal and external counsel.
- Drafted, managed, and executed all contractual agreements with franchise partners, including amendments, addenda, and IT-related contracts.
- Oversaw the transition of legacy LAC partners to updated Franchise Agreements, ensuring compliance and consistency.
- Negotiated, drafted, and executed a new U.S. Licensee Agreement to align with corporate objectives.
- Developed a comprehensive data management system to track key metrics and maintain oversight of the franchise network.
Franchise Contract Paralegal
Hardee's Food Systems, Inc.
St. Louis, MO
07.2005 - 05.2012
- Managed a franchise network of 300+ partners and oversaw 1,200+ franchise agreements, ensuring operational efficiency and compliance.
- Drafted, negotiated, and executed all franchise-related contractual agreements, including agreements, amendments, and addenda.
- Developed a centralized management system that streamlined network oversight, reducing team requirements from two people to one.
- Created advanced Excel tools to capture and analyze critical franchise network data, improving reporting and decision-making.
- Maintained franchise databases with 100% data accuracy, ensuring compliance and operational transparency.
- Built training documentation to provide clear visibility into franchisee data and network operations.
- Ensured compliance with Franchise Disclosure Documents (FDDs) and all relevant state regulatory requirements.
- Conducted research with state Secretary of State offices to verify franchisee filings and maintain legal compliance.
Education
Profes - Paralegal Studies
Florissant Community College
Florissant, MO08-2005
Bachelor Of Science (BS) - Political Science
University of Missouri - St. Louis
St. Louis, MO04-2000
Skills
- Regulatory compliance
- Risk management
- Document drafting
- Training development
- Data analysis
- Compliance auditing
- Problem solving
- Strategic planning
- Attention to detail
- Time management
- Corporate communications
- Decision making
- Operations management
- Project management
- Cross-functional leadership
- Contract management
- Issue resolution
- Organizational development
- Negotiation skills
- Policy implementation
- Process oversight
- Policy compliance
Timeline
Assistant Vice President - Compliance
Wells Fargo
06.2022 - Current
Compliance Analyst
Post Holding, Inc.
04.2020 - 05.2022
Global Specialist - Project Manager
Enterprise Holdings, Inc.
08.2018 - 01.2020
U.S. Licensee Operations Manager
Enterprise Holdings, Inc.
08.2015 - 02.2019
Franchise Contract Specialist
Enterprise Holdings, Inc.
05.2012 - 08.2015
Franchise Contract Paralegal
Hardee's Food Systems, Inc.
07.2005 - 05.2012
Profes - Paralegal Studies
Florissant Community College
Bachelor Of Science (BS) - Political Science
University of Missouri - St. Louis