Wendy Shepherd
Coronado,CA
Summary
To seek and maintain full-time position that offers professional challenges utilizing interpersonal skills, excellent time management and problem-solving skills.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Senior Analyst - Risk
USAA Bank
04.2020 - Current
- Increased operational risk awareness by conducting targeted risk assessments and presenting findings to management.
- Conduct monitoring activities and reporting and communicate inefficiencies and vulnerabilities to the business and leadership.
- Perform analysis on industry loss events and internal loss events.
- Provide guidance to first line business partners in RCSA (Risk Control Self Assessment )activities
- Provide guidance and oversight for Issue Management Activities
Business Risk and Control Analyst
USAA
11.2015 - 04.2020
- Enhanced efficiency by streamlining workflows and implementing process improvements for control analysis.
- Performed issue management and provided guidance on action plan step and control development.
- Strengthened internal controls by developing procedures and performed self-testing.
- Performed RCSA ( Risk Controls Self Assessment) activities.
Complex Supervisory Officer-Associate Director
UBS Financial Services
11.2009 - 11.2015
- Oversaw supervisory activities for 4 offices within San Diego County consisting of approximately 150 Financial Advisors and 60 staff members
- Reviewed trade blotter and approved trades for suitability for stocks, mutual fund, options, structured products, alternative investments, high yield products.
- Oversaw Employee outside activities and accounts for conflict of interest.
- Oversaw marketing activities for employee brochures, bios and seminars.
- Oversaw daily operations including deposits, wire transfers, journals, checks and account opening.
- Conducting training activities and employee meetings related to compliance and operations risk.
- Contacted clients to disclose investment risk, interest rate risk and suitability risks.
- Partnered with legal team to handle and close complaints and participated in arbitrations when necessary.
Education
Bachelor of Science - Business Administration
University of South Florida
Tampa, FL12.1997
Skills
- Problem Solving
- Decision Making
- Risk Assessment
- Critical Thinking
- Risk Mitigation
Certification
Series 7, 9, 10 Maintaining, Qualifications Program
Timeline
Senior Analyst - Risk
USAA Bank
04.2020 - Current
Business Risk and Control Analyst
USAA
11.2015 - 04.2020
Complex Supervisory Officer-Associate Director
UBS Financial Services
11.2009 - 11.2015
Bachelor of Science - Business Administration
University of South Florida
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