Rebecca Nolan
Woodway
Summary
Results-driven audit and compliance professional known for high productivity and efficient task completion. Possess specialized skills in test execution, regulatory compliance, anti-money laundering, case law research, regulatory filings, and fraud investigations. Excel in critical thinking, problem-solving, and communication, ensuring thorough analysis and clear reporting of issues to facilitate swift resolutions. Proven ability to manage multiple tasks, and work under challenging deadlines while maintaining confidentiality.
Overview
21
21
years of professional experience
Work History
Compliance Assurance Lead Tester
CITIGROUP
Las Colinas
04.2022 - Current
- Lead compliance tester responsible for development and execution of regulatory compliance reviews, identification of key risks and trends, project, and team management.
- Research, prepare, and present internal compliance risk management results to senior management committees for regulatory reporting.
- Escalate issues to senior management.
- Ensure compliance with the bank policies and procedures, processes, and controls and to ensure compliance with regulatory requirements.
- Engage in planning, management, and oversight of internal compliance reviews, as well as oversight, and liaising with businesses leaders and senior management.
- Lead and participate in compliance testing reviews ensure adherence to regulatory compliance requirements.
- Identify, monitor, and validate issues to ensure corrective actions are implemented.
- Report results to identify trends and areas of emerging risks.
- Communicate analysis to internal stakeholders to ensure consistency in approach and addressing emerging risks.
- Serve as a mentor for new hires.
- Provide feedback to peers.
- Voice of the Employee and Site champion.
Legal and Compliance Analyst
AMERICAN-AMICABLE GROUP
Waco
07.2019 - 04.2022
- Oversaw domestic and international AML audits.
- Managed the Special Investigation Unit (SIU) and conducted fraud investigations.
- Analyzed legal and regulatory issues, conducted complex legal and regulatory research, including corporate organization issues and corporate filing requirements, product composition, and product filing requirements, marketing requirements, and premium and claim processing requirements.
- Researched and monitored applicable laws and regulations for compliance trends and changes.
- Conducted research for and generated responses to subpoenas, requests for information, and responses to other legal discoveries.
- Prepared corporate and regulatory documents necessary for expansion, merger, withdrawal, or other corporate actions, such as Holding Company Act filings.
- Composed, tracked, and reported on corrective actions from audits.
- Maintained complete records of all subpoenas, discovery and other requests for information and coordinates responses with the assistance of all other departments of the Company.
- Drafted legal and corporate documents and correspondence, such as affidavits and releases among others.
- Created internal training modules for Anti-Fraud Training and the SIU.
- Reported Suspicious Activity Reporting to FinCEN.
- Privacy breach response and reporting experience.
- Provided legal and regulatory support for strategic transactions.
Operational Risk Exam Manager
CITIGROUP
Las Colinas
06.2013 - 07.2014
- Exam Manager responsible for Internal Audit and Compliance Testing interactions, including coordination of staff, deliverables, and reporting of issues.
- Developed and implemented operational methodologies, as well as determined quantitative and qualitative measures, to assess the effectiveness of business coverage and framework oversight execution.
- This included a regular assessment of the Consumer Operational Risk Framework implementation status and the development of tools to monitor adherence to Operational Risk Policy requirements.
- Coordinated Operational Risk Management input into department policies, procedures, and standards.
- Drove appropriate development and updates of Consumer Operational Risk Management procedures.
- Annual review and approval of Key Operational Risks and Key Risk Indicators.
- Established process for ensuring alignment with other Risk Identification and Assessment tools used by the 2nd lines of defense.
- Coordinated enhancements in the annual policy attestation process by Risk Management, ensuring a streamlined and efficient process.
- Oversight of robust quarterly loss back testing process support the aggregation of all risk monitoring indicators including Key Risk Indicators.
- Collaborated in preparation of regular updates to regulators and senior governance forums including Internal Audit, Compliance, Legal, and the Board Audit Committee.
- Represented Consumer Operational Risk Management in vetting all consumer policies and guidelines requiring Operational Risk Management input and feedback.
Internal Audit Manager
CITIGROUP
Las Colinas
01.2005 - 01.2013
- Provided independent assessments of the entity’s risk and control environment.
- Understood the importance of an integrated audit approach, while working with businesses in evaluating and strengthening their self-assessment program.
- Interacted well with senior management and all levels of the business.
- Drafted findings and recommendations to assist business management processes and decision-making.
- Evaluated risks and controls as they relate to business objectives.
- Participated in all aspects of assessments, in accordance with Internal Audit standards and government and regulatory statutes.
- Demonstrated an understanding of regulatory and financial impacts on the organization.
- Evaluated key risks and metrics in the business.
- Identified risks in compliance with corporate standards and regulatory requirements and recommended appropriate corrective action.
- Utilized sound judgment and strong decision-making skills.
- Worked successfully independently and in a team environment.
- Audit Manager and Team Lead for Fraud Operations and Policy, Commercial Business Operations, SCRA, and Credit Operations entities.
- Determined audit scope, developed, and executed audit programs.
- Prepared quarterly monitoring reports that highlighted key developments, trends, and emerging risks.
- Prepared audit reports and Regulatory Compliance entity coverage documents.
- Obtained CAMS certification and participated in AML audits.
- Completed Compliance Officer training courses and served as Compliance Liaison for team.
- Validated corrective actions stemming from exams.
Education
Bachelor of Arts - Political Science
University of Texas at Arlington
Arlington, TXSkills
- Regulatory Compliance
- Audit
- Legal Research
- AML
- Risk Assessment
- Data Analytics
- Legal Filing
- Fraud Investigation
- Compliance testing
- Project management
- Data analysis
- Audit coordination
- Legal research
- Mentorship development
- Stakeholder engagement
- Internal communications
- Fraud investigation
- Risk assessment
- Cross-browser testing
- Test documentation
- Test planning and execution
- Test planning
- Effective communication
- Write reports
- Relationship building
- Report writing
Timeline
Compliance Assurance Lead Tester
CITIGROUP
04.2022 - Current
Legal and Compliance Analyst
AMERICAN-AMICABLE GROUP
07.2019 - 04.2022
Operational Risk Exam Manager
CITIGROUP
06.2013 - 07.2014
Internal Audit Manager
CITIGROUP
01.2005 - 01.2013
Bachelor of Arts - Political Science
University of Texas at Arlington