Ryan Trepka
Risk Consultant
Troy,IL
Summary
Seasoned Business Analyst offering 17 years of Financial industry success. Expert on business and systems requirements, user acceptance testing and end-user training. Accomplished at leveraging past lessons to inform future decision-making.
Overview
20
20
years of professional experience
Work History
Risk Consultant
Wells Fargo Advisors
St. Louis, MO
08.2014 - Current
- Responsible for minimizing risk throughout Wells Fargo Advisors, specifically, within operational regulatory reporting, and processes leading to the reported numbers
- Assist with the audit processes for Business Services Group (BSG), through KPMG and other audit entities
- Process, analyze and submit Treasury International Capital (TIC) reports to the Federal Reserve monthly, quarterly and annually
- Assist BSG with oversight functions, segregation of duties, and remediation for processes under internal/external audit review
- Report Electronic Bluesheet data (trading information) to FINRA and SEC on a daily basis, as well as, providing regulatory agencies additional information as needed
- Maintain a working knowledge of industry rules and regulations, in order to stay current of any changes, that could affect processes
- Perform various Net Capital (15c3-1) and Customer Reserve (15c3-3) calculations and validation for the firm
Communications Consultant
KForce Inc./Wells Fargo Advisors
St. Louis, MO
08.2013 - 08.2014
- Develop and maintain internal web pages for the firm, using Documentum publishing tool
- Collaborated with all facets of the firm in order to receive proper approvals, accurate information, and timely postings of said information
Mutual Funds Supervisor
Scottrade, Inc
St. Louis, MO
01.2013 - 08.2013
- Supervise all functions of the department, insuring that all procedures have been followed
- Quarterly, process performance, career development and goal setting reviews with each member of the team
- Establish and Maintain relationships with external vendors and companies in relation to the line of business
- Handle critical production and/or escalation issues
- Address compliance and corporate governance issues for the department
- Define user requirements and contribute to production and workflow improvements
Risk Management Analyst
Wells Fargo Advisors
01.2011 - 01.2012
- Perform Sarbanes-Oxley testing for the firm (SOX Testing)
- Perform validations of Electronic Blue Sheet data that is submitted to the regulatory bodies
- Perform validation and filing of the firm’s Short Interest reporting to FINRA and also the Treasury International Capital (TIC) data to the U.S
- Treasury
- Perform various Net Capital (15c3-1) and Customer Reserve (15c3-3) calculations and validation for the firm
- Assist with Internal/External Auditors and Examiners, as required
- Analyze and review the validation of FCC, Regulatory Reports, and processes
- Assist in special projects within the department as well as within Operations Control
Team Lead Mutual Funds
Wells Fargo Advisors
01.2006 - 01.2011
- Assist supervisor in daily verification to document all functions of the department have been completed and proper procedures have been followed
- Assist with reviews and career development with department employees
- Act as liaison to other internal departments, including technology groups and external sources
- Define user requirements and contribute to production and workflow improvements; and create or revise departmental procedures
- Handle critical production and/or escalation issues
- Address compliance and corporate governance issues for the department
- Assist employees in completing daily workloads in a timely and efficient manner due to high volume
Lead Clerk, Mutual Funds
Wells Fargo Advisors
01.2005 - 01.2006
- Process account set-up and maintenance for all fund classes and families
- Facilitated mutual fund mergers, name changes, liquidations, and characteristic changes
- Assist mutual fund staff in resolving problems and provide appropriate information to Financial Analysts, branch support staff and Mutual Fund companies
- Trained new and existing team members, on multiple job positions and provided management training updates and schedules for cross-training
Storekeeper Third Class
United States Navy
Jacksonville, FL
01.1995 - 01.1999
- Supervised and trained new crewmembers
- Maintained 100% inventory on over $27 million in ship’s repair parts
- Shipped and Received repair parts daily for ship’s use
- Provided continuing customer service for hundreds of people daily
- Operated various government computer systems and programs
Education
Associates Degree - Computer Programming
Sanford-Brown College
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Southern Illinois University
Skills
- Microsoft Office Suite
- Business process mapping
- Workflow Analysis
Timeline
Risk Consultant
Wells Fargo Advisors
08.2014 - Current
Communications Consultant
KForce Inc./Wells Fargo Advisors
08.2013 - 08.2014
Mutual Funds Supervisor
Scottrade, Inc
01.2013 - 08.2013
Risk Management Analyst
Wells Fargo Advisors
01.2011 - 01.2012
Team Lead Mutual Funds
Wells Fargo Advisors
01.2006 - 01.2011
Lead Clerk, Mutual Funds
Wells Fargo Advisors
01.2005 - 01.2006
Storekeeper Third Class
United States Navy
01.1995 - 01.1999
Associates Degree - Computer Programming
Sanford-Brown College
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Southern Illinois University