Tricia Gillaspy
Coeur d'Alene,ID
Summary
Operational Risk Compliance Specialist looking for a Career in the Financial Industry where I can be challenged in a diverse, fast paced environment by utilizing 11 years of leadership and management experience to achieve overall success in all aspects of the business. Having been in a compliance role and being responsible for risk mitigation, internal quality reviews, and controls within the Executive Office of Wells Fargo for 8 years with successful results in managing business operations in both Retail and Virtual Services, I am able to resolve complex internal and external customer issues while mitigating risk to the bank. Additionally having 17 years of combined Sales, Customer Service, Collections, and administrative experience in a call center and retail environment, I have a wide range of experience to deal with very complex situations and excel in a sales environment. Focused on driving productivity and results by implementing feedback, leveraging knowledge of the business, networking, and building key relationships to achieve overall success in helping all our internal and external customers succeed personally and financially.
Overview
24
24
years of professional experience
Work History
Senior Business Accountability Specialist
Wells Fargo
08.2022 - 09.2024
- Effectively managed a personal work queue and consistently delivered error free quality control reviews within Service Level Agreements while examining and analyzing programs, processes, and/or files of unusual, complex and/or higher risk transactions to ensure compliance with internal company requirements and/or agency or government regulations, with an ability to develop solutions for problems identified.
- Led or participated in moderately complex initiatives and deliverables within the business and contributed to large-scale, cross-functional planning related to mitigation of current and emerging business risk issues and concerns where I assess, analyze, and design moderately complex controls, protocols, and approaches with respect to risk mitigation and the control environment, including ensuring effective planning for sustainability, ongoing control adherence, reporting, measurement, technology impacts, and monitoring who also served as a mentor and subject matter expert for staff among multiple lines of business and all levels of management.
- Conducted thorough research to identify trends and inform decision-making for business growth initiatives.
- Championed the adoption of new software tools that streamlined workflows across multiple departments.
- Gathered, organized and input information into digital database.
- Conducted regular reviews of operations and identified areas for improvement.
- Developed effective improvement plans in alignment with goals and specifications.
- Devised and implemented processes and procedures to streamline operations.
Operational Risk Reviewer
Wells Fargo
02.2021 - 08.2022
- Responsible for Operational Risk Reviews and controls for risk related complaints within the Executive Office while escalating complex issues when red flags were identified within the Risk Framework.
- Additionally assisted in the development of new processes/procedures that implemented systems in place to help mitigate overall risk and provided guidance in diverse support functions and operations within multiple lines of Business.
- Participated in and led various assigned and ongoing business operations to ensure success in meeting business goals and objectives, as well as identifying opportunities for process improvement by conducting root cause testing of all compliance and business metrics.
- Maintained strong attention to detail while reviewing numerous documents daily, ensuring consistent quality and accuracy.
- Mentored junior reviewers, sharing best practices and guiding their professional growth within the organization.
- Maintained strict confidentiality with sensitive client information, adhering to industry standards and company policies.
- Reduced turnaround time for reviews by effectively prioritizing tasks and managing deadlines.
- Contributed to the development of a knowledge base for common issues encountered during reviews, streamlining future problem-solving efforts.
- Conducted in-depth research to strengthen the overall quality and credibility of each review.
- Supported continuous improvement initiatives by actively participating in team meetings, trainings, and workshops focused on enhancing reviewer skills and processes.
- Provided input on refining internal review processes based on client feedback, ensuring a positive experience for all stakeholders.
- Sustained high levels of productivity under tight deadlines by efficiently using available resources.
Executive Office Case Analyst
Wells Fargo
01.2018 - 02.2021
- Created cases stemming from regulatory customer complaints, and technology related complaints where I researched cases to completion while analyzing and documenting data for regulatory reviews.
- I created training documents, recognition, and mentoring programs to grow the department and successfully onboard new hires, as well as coaching tenured team members who struggled with quality assurance and taxonomy.
- I networked as well as built partnerships among all lines of business to implement processes and procedures in place to ensure due diligence with regulatory issues and concerns in the department while resolving complex customer issues.
- I was also in charge of training new hires and setting up training schedules.
- I conducted investigations to provide appropriate resolutions to customer complaints and followed up with customers for resolution and to provide any specialty account maintenance required.
- Assessed needs of each client and recommended appropriate services and resources.
Retail Service Manager (LO)
Wells Fargo
08.2016 - 01.2018
- Oversaw Operational Risk and Control, tracking results and preparing for audits, while putting new procedures in place to adhere to operational risk, policies, and overall procedures.
- Tracked results in service, compliance, and metrics, while coaching for improvement.
- Researched and resolved complex Branch complaints, and was responsible for interviewing, hiring, onboarding, development, Performance Evaluations, and providing disciplinary and corrective action, including termination.
- Utilized resources and partnerships in Wells Fargo Virtual Channels, and Retail to provide resolutions for all customer issues, and assisted with cash handling when staffing was low.
- Opened and closed Products/Services, and referred Banking Products/Services to customer during transactions.
- Boosted customer satisfaction by implementing efficient service strategies and addressing customer concerns promptly.
- Reduced employee turnover through proactive retention initiatives, including professional development opportunities.
- Enhanced team productivity by fostering a positive work environment and providing consistent feedback on performance.
Online Customer Service Team Manager
Wells Fargo
03.2016 - 08.2016
- I moved to Alabama to assist with opening a new Online Customer Service Department, and was responsible for Interviewing/Training/Onboarding and running Team Meetings, and Huddles.
- Networked and shadowed others to learn the business structure of other departments, and for self-development to share best practices.
- Created documents and spreadsheets to track behaviors & progress.
- Participated in call calibrations to seek coaching opportunities.
- Coached Critical QA’s to reduce regulation errors.
- Completed 1:1’s and side x sides for in the moment coaching & development
- Followed HR processes, completing forms, and follow up.
- Completed Performance Evaluations, terms, transfers, and ICP/Time Tracker approvals.
- Enhanced communication skills within the team through training sessions and role-playing exercises.
- Resolved escalated customer complaints calmly and professionally, maintaining high levels of satisfaction among clients despite challenging situations.
- Reduced average call handling time with targeted coaching and performance monitoring.
Online Team Lead/Banker Coach Lead
Wells Fargo
03.2015 - 03.2016
- Built relationships to gain trust, while increasing morale.
- Headed presentations to share best practices, and led Sales & Service Huddles.
- Created spreadsheets to track effectiveness, while innovating new ideas & creating projects to achieve success.
- Ensured deadlines were met for compliance courses.
- Completed 1:1 Coaching to set goals & measure how goals were achieved.
- Networked with leaders in other departments to streamline old/new processes, & create success as one Wells Fargo.
- Coached QA Critical errors, while providing excellent communication verbally, in writing, and interpersonally.
- Provided oversight & guidance on escalated audit issues.
- Used problem solving skills, rectifying issues through proper procedures and channels, and was further promoted to the Banker Coach Team Lead after 6 months.
- Promoted a positive work environment by fostering teamwork, open communication, and employee recognition initiatives.
- Served as a role model for the team by demonstrating commitment to excellence, professionalism, and adherence to company values at all times.
Phone Banker 1/2/3 (Escalation Support)
Wells Fargo
12.2013 - 03.2015
- I took inbound calls providing all Banking customer service and transaction support, while providing top tier customer service and reviewing the profile during servicing to find clues in which products or services could be recommended that would assist our customer’s in saving or making money, and won multiple awards as a top ranked sales specialist across the nation.
- I was then promoted multiple times leading to an Escalation Support Specialist with our Premier Banking team for Premier Banking customers, and I took escalated calls when customers requested a supervisor to de-escalate and provide win-win solutions for customers.
- I also provided floor support for team members needing assistance with their calls.
- Navigated multiple banking systems simultaneously to access account information, process transactions, and update client records accurately.
- Maintained high call quality standards with clear communication and active listening skills for optimal client experiences.
- Improved efficiency by assisting with the implementation of new processes that streamlined workflows within the phone banking team.
- Handled sensitive personal and financial information with discretion, ensuring the privacy of clients at all times.
- Retained valuable clientele by skillfully resolving complaints or concerns regarding account management or service delivery discrepancies.
- Consistently met or exceeded monthly sales targets through promoting bank products and services.
- Stayed current on changing products, services and policies to offer exceptional service to customers.
- Demonstrated adaptability by quickly learning new systems or procedures as required to maintain consistent performance in a dynamic industry environment.
- Reduced average call handling time through efficient problem-solving and effective use of banking systems and resources.
- Helped customers complete online banking services and assisted with user access problems such as forgotten passwords.
- Assisted in training new hires by sharing knowledge, demonstrating best practices, and offering guidance on effective phone banking techniques.
Admin/Service Writer
Arnold Machinery
09.2011 - 09.2013
- Answering multi-line phone, mail distribution, GL ledger accounts payable/receivable, payroll, billing/coding, and customer/company liaison.
- Increased repeat business with exceptional customer service skills and follow-up calls to ensure satisfaction.
- Responded to customer calls and emails to answer questions about products and services.
- Improved customer satisfaction by providing timely and accurate service estimates.
- Logged work orders and change orders into [Software] database to track job status.
- Enhanced communication between technicians and customers by acting as a liaison, resulting in clear expectations and better understanding of repair services.
- Ensured accurate documentation of completed repairs, aiding in the maintenance of detailed records for future reference.
Collections/Sales
Media Point Studio
01.2010 - 07.2011
- Collections on overdue balances, provide customer service.
- Cold calling for Sales, and upgrades.
Department/Assistant Manager/QA/Sales
Novo 1
02.2008 - 10.2009
- Started out as a sales associate promoted to QA, then promoted to assisting the Department Manager in coaching, scheduling, and coordination of team activities and was then promoted after 3 months to the Department Manager, and was responsible for managing performance, and compliance with coaching side x sides and 1:1’s, as well as hiring, training, and disciplinary action.
Collections/Customer Service
Capital One
01.2001 - 01.2006
- Small Business Credit Card customer service/sales, Non-Bankruptcy Reaffirmation/Collections, Risk Associate III/Debt Recovery.
- Managed a high volume of customer inquiries, demonstrating excellent problem-solving skills to resolve concerns quickly.
- Assisted in training new employees on company policies, procedures, and best practices to improve overall efficiency.
- Recognized as a top collector and sales associate across the Company.
Education
High School Diploma -
Kellogg High School
Kellogg, IDSkills
- Management/Leadership Experience
- Onboarding/Training
- Regulatory/Legal Compliance
- Compliance Monitoring/Auditing
- Bank Secrecy Act
- Quality Assurance
- Analytical Skills
- Organization Skills
- Problem Solving
- Attention to Detail
- Critical Thinking
- Verbal/Written Communication
- Transaction Monitoring
- Customer Service
- Collections
- Sales/Business to Business Sales
- Data Entry
- Microsoft Office
- Multitasking
- Customer Relations
- Expert Problem Solving
- Root Cause Analysis
- Quality Assessment
- Teamwork and Collaboration
- Self Motivation
- Time Management
- Problem-Solving
- Goal Setting
State
ID
City
Coeur d’Alene
Timeline
Senior Business Accountability Specialist
Wells Fargo
08.2022 - 09.2024
Operational Risk Reviewer
Wells Fargo
02.2021 - 08.2022
Executive Office Case Analyst
Wells Fargo
01.2018 - 02.2021
Retail Service Manager (LO)
Wells Fargo
08.2016 - 01.2018
Online Customer Service Team Manager
Wells Fargo
03.2016 - 08.2016
Online Team Lead/Banker Coach Lead
Wells Fargo
03.2015 - 03.2016
Phone Banker 1/2/3 (Escalation Support)
Wells Fargo
12.2013 - 03.2015
Admin/Service Writer
Arnold Machinery
09.2011 - 09.2013
Collections/Sales
Media Point Studio
01.2010 - 07.2011
Department/Assistant Manager/QA/Sales
Novo 1
02.2008 - 10.2009
Collections/Customer Service
Capital One
01.2001 - 01.2006
High School Diploma -
Kellogg High School
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