Serge Ngwanza
Compliance Program Manager
Charlotte, NC,North Carolina
Summary
Detail-oriented Compliance Manager offering years of expertise in risk management, policy development and strategic planning. Advanced knowledge of regulatory compliance with proven track record of partnering with executives and line of business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote TIAA's reputation.
Overview
13
13
years of professional experience
1
1
Certification
Work History
Compliance Manager
TIAA
Charlotte, NC
12.2020 - Current
- Provide oversight of implementation, maintenance, and administration of HR-wide compliance governance program to ensure adherence with internal policies and more than 300 federal, state laws and regulations.
- Create weekly and monthly oversight routines in collaboration with Legal, Corporate Compliance, Privacy, and Risk partners to analyze employment law and regulatory changes to identify potential risks and/or impacts to HR business practices.
- Promote executive awareness of compliance program metrics, monitoring results, and upcoming milestones by developing and presenting dashboards to HR leadership on quarterly cadences.
- Implement centralized communication process for regulatory changes, including pay equity and data privacy legislation, to HR COE leads, ensuring appropriate steps and measures are taken to improve / change business practices for compliance with regulatory changes in timely manner.
- Delivered subject matter expertise for internal and external customers on compliance best practices and quality control.
- Managed compliance efforts, reporting and audits.
- Monitor and track mandatory training for associates and supervisors to safeguard continuing business compliance
- Reviewed documents, files, transcripts and other records to assess compliance and potential risk.
- Defined and developed policies and procedures for HR Businesses reporting and privacy practices.
Program Manager
TIAA
Charlotte, NC
08.2019 - 12.2020
- Provided end-to-end project management from inception to implementation of critical business processes across multiple HR workstreams to drive organizational change while conducting oversight of operational risks
- Led HR wide workstream in establishment of Enterprise vendor Program Management process with 100% organizational chart personnel assignment
- Established milestones and objectives based on input from functional areas and stakeholders.
- Collaborated with business leadership to set priorities based on HR Centers of Excellence needs, resource capacity and risk exposure.
- Managed and supervised 8 administrative and daily program operations, complying with policies and regulations.
- Managed 11 strategic projects with numerous sub-projects or workstreams.
- Leveraged project management processes and tools to define and execute projects.
Senior Director of Operations
DDCUES
New York, NY
07.2017 - 08.2019
- Defined, implemented and revised operational policies and guidelines
- Kept up-to-date with industry trends and identified areas of opportunity to drive business opportunities
- Achieved team goals through formalized training plans, coaching and performance management
- Managed daily operations of organization, orchestrating forward-thinking strategies to accomplish profit and expansion goals
- Provided operational leadership and management support for 3 projects in Africa
- Planned and budgeted ongoing project implementation and monitoring
- Established and articulated vision and strategy for continent, engage in programs consultation for clients
Assistant Professor
US Military Academy
West Point, NY
06.2016 - 06.2019
- Used variety of learning modalities and support materials to facilitate learning process and accentuate presentations.
- Took attendance, graded assignments and maintained student records to assist teachers with administrative tasks and maintain smooth daily operations.
- Applied innovative teaching methods to encourage student learning objectives.
- Assisted professors and school administrators with continuous development, review, planning and outcomes evaluation to Language department program performance.
- Supported 4 professors 20-person classes by completing 160+ tasks quickly and accurately.
- Collaborated with colleagues on curriculum revision, evaluation of course syllabi and lesson plans for Post Colonial African History course curriculum.
- Helped struggling students by providing support outside of classrooms and consistently checking in on progress.
- Performed research to serve as basis for academic writing for publication.
- Coordinated with French and Belgians military academies and managed cadets' Study Abroad immersion programs to expand their cultural awareness in Francophone countries: (Belgium, Canada, Chad, France, and Gabon)
• Direct training, leadership development, and quality of life of over 200 personnel assigned
• Evaluated department performance to identify training needs and individual coaching needs of students
Operations Officer
Defense Department
Paris, France
04.2014 - 06.2016
- Updated and published standard operating procedures (SOPs) using stakeholder, customer and employee input and feedback resulting in clearer and more useful instruction for users.
- Provided excellent customer care to maintain and improve customer relations, strengthen loyalty and increase product and service sales..
- Coordinated visits and provided briefs to very important personnel (VIPs) improving knowledge and awareness of operational activities, programs and offerings.
- Established positive and effective communication among unit staff and organization leadership, reducing miscommunications and missed deadlines by 50%.
- Developed and deepened relationships with customers, vendors and internal stakeholders.
- Managed internal operational standards and productivity targets.
- Enhanced operational performance and reduced labor expenses by developing and optimizing standard practices.
Director
US Army
Kaiserslautern, Germany
06.2011 - 04.2014
- Directed management, training, discipline, morale, health, welfare, readiness, and combat effectiveness of 203 soldiers and their families
- Spearheaded innovative approaches to resource allocation and strategic planning.
- Leveraged languages skills to served as multi linguist liaison officer in theater of operations
- Brought equipment operational readiness rate up from 83% to 98% within six month of taking over and sustained it at average of 97% through my entire tenure
- Saved the business area $2,5,00,000 by implementing new maintenance system that was adopted locally by the organization.
- Oversaw supply chain functions to verify inventory levels and budget adherence.
Education
Bachelor of Science - Health Management And Policy
University of New Hampshire
Durham, NHMaster of Science - History
Columbia University in The City of New York
New York, NY10.2016
Skills
- Project Management
- Risk Reviews
- Investigative Skills
- Regulatory Compliance Oversight
- Operational Efficiency
- Strategic Execution
- Meeting Coordination and Facilitation
- Process Improvement
- Written Communications
- Public Speaking
- Coaching
- Microsoft Office Site (Word, PowerPoint, and Excel)
- IBM SPSS Statistics
- Risk analysis
- Document reviews
- Information gathering
- Analytical thinking
- Process Management
Accomplishments
- Provided HR support to the EVPO Implementation in 2021. Supervised the draft of a chart to reflect scope of the new organization. In conjunction with Talent Acquisition, incorporated market analysis and strategic human resources expertise to place, post and recruit for the future state of the Center of Excellence
- Achieved deployment of Workplace Posters through effectively helping with reviewing and correcting package received from Vendor
- Resolved Employment posters product issue through detailed review of new and current employment laws (Federal, State, and Local)
Affiliations
- Society of Human Resource Management
- Project Management Institute
Certification
- Certified Master Trainer, US Army
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline
Compliance Manager
TIAA
12.2020 - Current
Program Manager
TIAA
08.2019 - 12.2020
Senior Director of Operations
DDCUES
07.2017 - 08.2019
Assistant Professor
US Military Academy
06.2016 - 06.2019
Operations Officer
Defense Department
04.2014 - 06.2016
Director
US Army
06.2011 - 04.2014
Bachelor of Science - Health Management And Policy
University of New Hampshire
Master of Science - History
Columbia University in The City of New York
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