Stacey Johnson
Spring,Texas
Summary
Seasoned Chief Compliance Officer with background in developing and implementing compliance programs across global organizations. Strong knowledge of regulatory requirements, risk management, and internal controls. Notable skills include strategic planning, team leadership, and effective communication. Demonstrated ability to influence organizational culture while driving compliance initiatives to successful outcomes.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Chief Compliance Officer
Grid Technology, Inc.
06.2023 - Current
- Responsible for overseeing compliance within the organization and ensuring compliance with laws, regulatory requirements, policies, and procedures.
- Developed and implemented a comprehensive compliance program to ensure organizational adherence to applicable laws, regulations, and standards.
- Point of contact for all third-party audits and engage with third-party vendors and business partners in compliance such as SOC, GDPR, and ISMS.
- Oversee the risk management program, coordinate incident reports, and work with Senior Leadership and Counsel members to direct compliance issues to appropriate channels for investigation and resolution.
- Created training programs for employees to increase awareness of legal requirements related to their roles within the organization.
- Drafted and reviewed corporate policies related to compliance with applicable laws and regulations.
Compliance Officer (BaaS)
Grain Technology, Inc.
06.2022 - Current
- Structure, update, and responsible for the company's compliance policy framework (CMS) and procedures to ensure they remain current with applicable laws.
- Partner with the engineering team to analyze unusual customer account activity and implement controls to identify red flags.
- Ensure the company is following BSA/AML, TILA, SCRA, FDCPA, EFTA, Reg Z, FACTA, UDAAP, ECOA, and GLBA obligations, and all other applicable laws/regulations.
- Manages the annual and biannual risk assessment exercises; incorporates findings into business operations and company policies.
- Monitored and analyzed compliance trends across Federal/State laws governing business operations.
- Coordinates responses to regulatory inquiries, complaints, civil suits, legal requests, and examinations.
- Collaborated with Board of Directors to align policies with compliance culture.
- Manages all licensing requirements for the company through the NMLS.
- Handle BaaS partner management for banks, ensuring all required updates were shared promptly.
- Engage directly with BaaS Banking partners on a regular basis for them to gain awareness of our programs, products and regulatory obligations.
Compliance Consultant
Kendrick Services
10.2020 - 06.2022
- Perform audit procedures and remediation in banks related to the evaluation of all banking regulations.
- Review Policy and Procedures and audit all regulated functions to ensure the organization is following all rules regarding BSA, AML, TRID, FCRA, Flood, Safe ACT, SCRA, MLA, TILA, Reg Z, Reg X, ECOA, HMDA, RESPA, and any other assigned regulations.
- Identify compliance issues, develop methods to reduce risk, and train employees on government regulations and standards.
Audit and Compliance Manager
Alltran Financial
11.2018 - 10.2020
- Central point of contact for internal and external Client Audit process, working closely with internal stakeholders and client representatives.
- Created a database of Policy and Procedures in the GRC, reducing the work effort required for subsequent client audits.
- Implements the internal monitoring/testing department to meet SLA expectations for all clients and manages daily production of four analysts.
Audit and Compliance Program Manager
Wolters Kluwer
12.2016 - 06.2017
- Point of contact for all audits with the company and lead the effort to make the client experience excellent.
- Leads audits for request for information, remediation items, request for changes, and any request from the client.
- Manage multiple clients' requests regarding Compliance questionnaires and requests for documents.
Branch Compliance Officer
Square Two Financial/Brown Law, PLLC
02.2013 - 11.2016
- Created and managed all lines of business for Compliance Operations in the network, including IT, Operations, Vendors, New Business Intake, HR, Payment Process, Bill Pay, Training, Record Management, and Legal.
- Manage indirectly over 60 employees and responsible for training updates, disciplinary procedures, on-boarding/off-boarding, and termination.
- Created the Compliance Management System (CMS) and Governance Portal for multiple firms. (CMS includes Risk Assessment, Vendor Risk Management Matrix, Compliance Monitoring Testing Plan, Compliance Committee Charter and Compliance Policies and Procedures)
Education
Master of Arts -
Prairie View A & M University
Prairie View, TXBachelor of Science - Mathematics
Prairie View A & M University
Prairie View, TXSkills
- Compliance Monitoring
- Audit Coordination
- Legal knowledge
- Team management
- Corporate governance
- Internal controls
- Risk Management
- Training delivery
- Document review
- Risk management strategies
- Regulatory knowledge
- Compliance reviews
- Compliance training
- Compliance procedures
Affiliations
Houston Food Bank Volunteer 2006 - Present/ Three Years of Dean List/ President of the National Honors Society/ Order of the Eastern Star Member
Certification
Community Banker University- Certified BSA/AML Professional and Certified Community Bank Compliance Officer
Timeline
Chief Compliance Officer
Grid Technology, Inc.
06.2023 - Current
Compliance Officer (BaaS)
Grain Technology, Inc.
06.2022 - Current
Compliance Consultant
Kendrick Services
10.2020 - 06.2022
Audit and Compliance Manager
Alltran Financial
11.2018 - 10.2020
Audit and Compliance Program Manager
Wolters Kluwer
12.2016 - 06.2017
Branch Compliance Officer
Square Two Financial/Brown Law, PLLC
02.2013 - 11.2016
Master of Arts -
Prairie View A & M University
Bachelor of Science - Mathematics
Prairie View A & M University
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