High-performing leader with expertise in building/optimizing organizational processes, measurement systems, and infrastructure to maximize business results. Innovative problem solver who has positively impacted revenue generation, asset management and operational performance. Responsibilities span from leading teams to transforming strategic business initiatives in corporate real estate, technology services, general administration, human resource processes, and risk management.
Overview
6
6
years of post-secondary education
23
23
years of professional experience
Work History
VP - Business Risk & Control Officer
Wells Fargo Wealth & Investment Management
Charlotte, NC
09.2019 - Current
Responsible for leading effort to ensure that front line controls are in place to comply with all enterprise level conduct related policies and procedures, as well as regulatory requirements.
Developed and deployed comprehensive Conduct Risk Policy Requirement Survey to all WIM business units to determine level of implementation
Encouraged stakeholders to approach assessments analytically and offer unique insights to bring new understanding to risk management programs.
Aggregated and analyzed SHRP data to determine policy and risk control effectiveness and residual risks ratings across risk programs as well as business units.
Serve as subject matter expert and help front line supervision to identify and address conduct risks.
Director - Enterprise Risk Management
Federal Student Aid, Department Of Education
Washington, DC
09.2010 - 09.2019
Institutionalized the ability to identify, document and mitigate organizational risk across Federal Student Aid (operational, strategic, reputational and portfolio risks).
Provided support in effort to develop and maintain FSA's Risk Profile per (OMB) requirements and FSA Strategic Goals: Developed, aggregated, and managed risk registers for 10 business units that contribute to the agency's risk profile and second line of defense.
Assisted business units in the development of risk appetite statements, risk tolerances, and key risk indicators.
Advised and educated team members on risk concepts and identification.
Analyzed FSA's trillion dollar loan portfolio to access areas of risks.
Assessed a multi-billion-dollar portfolio of sourced services spread across more than 150 vendors and agreements.
Created and applied a Vendor Relationship Management Risk Diagnostic and Dashboard that focused on key vendors for Executive Reporting.
Consulted Human Resources on the impact of early retirement, attrition and succession planning on the agency.
Director - Chief Operating Officer
Wachovia Global Capital Finance
Charlotte, NC
08.2005 - 11.2009
Managed a team of 6 directs and 9 indirects to deliver the execution of business planning, strategic initiatives, project management, program management, corporate real estate, technology services, general administration, human resource processes, and general administrative process improvement for Wachovia Global Capital Finance (WGCF) three business units (Capital Finance, Equipment Finance, and First Union Rail)
Led the operational transformation of Equipment Finance Group to support new deal volume growth from $2.5 billion to $4.5 billion.
Implemented new services strategies that shorten new deal origination time by 48% and helped increase revenue by $5 million through process improvement.
Reduced Equipment Finance Group operating costs by $2 million through 30% productivity increase, cost avoidance, and insourcing processes to other operational groups
Eliminated $8 million annual operating expenditure • across WGCF
Represented Global Capital Finance on various committees and initiatives
AVP - Taxable Fixed Income Portfolio Manager
Wachovia Asset Management
Charlotte, NC
04.2002 - 08.2005
Managed approximately $1 billion in institutional and separately managed accounts that represented more than 120 accounts.
Managed different styles of objectives including government credit, intermediate, and aggregate total return disciplines.
Utilized various systems to analyze returns including Bloomberg and BondEdge.
Facilitated portfolio performance review and implemented new strategies.
Researched fixed income alternatives to align with client asset allocation requirements.
Recommended investment strategies to meet client financial objectives.
Worked with Relationship Managers to prepare reports for client meetings.
AVP - Taxable Fixed Income Trader
Wachovia Asset Management
Charlotte, NC
03.2000 - 04.2002
Bought, sold, and swapped taxable-fixed income securities for Wachovia Evergreen Asset Management portfolio managers.
Executed more than sixty trades and $500 million in securities daily.
Developed and implemented a program that reduced manager's monthly reporting time from 2 weeks to 30 minutes.
Investment Sales Representative
First Union Brokerage Services, Inc
Charlotte, NC
06.1999 - 03.2000
Transacted more than 200 trades daily in financial instruments including stocks, options, treasuries, etc.
For First Union's retail customer base.
Developed relationships with more than 100 clients by facilitating sale of new products and services to meet client's needs and by resolving customer inquiries in a timely manner.
Moved into the top eight in production out of 30 brokers within three months of joining the group.
Supervisory Principal/Manager Assistant of Broker Direct
First Union Brokerage Services, Inc
Charlotte, NC
04.1997 - 06.1999
Assisted in oversight of more than eighty licensed Financial Counselors and $400 million in assets.
Represented the department as supervisory principal and assisted in daily operations.
Created monthly performance reports for management.
Established a review process for supervisory compliance review that increased the department's year over year rating from 48% to 84.
Education
MBA - Finance
UNCC - Belk School Of Business
Charlotte, NC
01.1998 - 01.2000
Bachelor of Arts - Business Administration
University of North Carolina
01.1988 - 06.1992
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Skills
Cross-functional communication
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Timeline
VP - Business Risk & Control Officer
Wells Fargo Wealth & Investment Management
09.2019 - Current
Director - Enterprise Risk Management
Federal Student Aid, Department Of Education
09.2010 - 09.2019
Director - Chief Operating Officer
Wachovia Global Capital Finance
08.2005 - 11.2009
AVP - Taxable Fixed Income Portfolio Manager
Wachovia Asset Management
04.2002 - 08.2005
AVP - Taxable Fixed Income Trader
Wachovia Asset Management
03.2000 - 04.2002
Investment Sales Representative
First Union Brokerage Services, Inc
06.1999 - 03.2000
MBA - Finance
UNCC - Belk School Of Business
01.1998 - 01.2000
Supervisory Principal/Manager Assistant of Broker Direct
First Union Brokerage Services, Inc
04.1997 - 06.1999
Bachelor of Arts - Business Administration
University of North Carolina
01.1988 - 06.1992
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