VP- ERM Ops Risk Manager

• Oct 2022 - Present

In my role at Choice Bank, I head the Issues Governance Program for the entire organization. I am a trusted source for employees at Choice and offer advice and information related to potential risks posed to the organization. I create and opine on policies that impact the organization, while building out the Policy Governance program, in partnership with policy holders and stakeholders. Through Issues Governance I am able to ensure that identified risks are properly remediated across the… Show more In my role at Choice Bank, I head the Issues Governance Program for the entire organization. I am a trusted source for employees at Choice and offer advice and information related to potential risks posed to the organization. I create and opine on policies that impact the organization, while building out the Policy Governance program, in partnership with policy holders and stakeholders. Through Issues Governance I am able to ensure that identified risks are properly remediated across the organization, and that improved and sustainable processes are in place as a result. I engage with individuals across the organization every day on potential risks, and avenues for mitigation. Ensuring a strong organizational culture is in place is where I find my passion, and providing a trusted safe place to collaborate is always my priority. Show less In my role at Choice Bank, I head the Issues Governance Program for the entire organization. I am a trusted source for employees at Choice and offer advice and information related to potential risks posed to the organization. I create and opine on policies that impact the organization, while building out the Policy Governance program, in partnership with policy holders and stakeholders. Through Issues Governance I am able to ensure that identified risks are properly remediated across the… Show more In my role at Choice Bank, I head the Issues Governance Program for the entire organization. I am a trusted source for employees at Choice and offer advice and information related to potential risks posed to the organization. I create and opine on policies that impact the organization, while building out the Policy Governance program, in partnership with policy holders and stakeholders. Through Issues Governance I am able to ensure that identified risks are properly remediated across the organization, and that improved and sustainable processes are in place as a result. I engage with individuals across the organization every day on potential risks, and avenues for mitigation. Ensuring a strong organizational culture is in place is where I find my passion, and providing a trusted safe place to collaborate is always my priority. Show less

VP-Ethics Office

• 2018 - Oct 2022

In my role at Wells Fargo, I was instrumental in standing up a new Ethics Program within Conduct Management. In partnership with Legal, Compliance, Culture, Conduct Risk I carried out of the vision, direction and expertise to every project and initiative, and provided employees a place to speak up and bring forth concerns in a safe and anonymous platform. In my role at Wells Fargo, I was instrumental in standing up a new Ethics Program within Conduct Management. In partnership with Legal, Compliance, Culture, Conduct Risk I carried out of the vision, direction and expertise to every project and initiative, and provided employees a place to speak up and bring forth concerns in a safe and anonymous platform.

Compliance Officer - VP

• 2017 - 2018

Director of Compliance

• 2015 - 2017

Compliance leader guiding sales and providing knowledge and awareness of compliance risk and compliance regulatory obligations, to include Stark Law, Anti-Kickback, False Claims Act, Sunshine Act and FCPA, along with high-level investigations. Cross-functionally collaborate with legal, sales, sales operations and HR to manage and educate/train sales force on policy/procedure, applicable regulations (i.e. PPSA, HIPAA, Investment Advisors Act, etc.) and ethical sales conduct. Compliance leader guiding sales and providing knowledge and awareness of compliance risk and compliance regulatory obligations, to include Stark Law, Anti-Kickback, False Claims Act, Sunshine Act and FCPA, along with high-level investigations. Cross-functionally collaborate with legal, sales, sales operations and HR to manage and educate/train sales force on policy/procedure, applicable regulations (i.e. PPSA, HIPAA, Investment Advisors Act, etc.) and ethical sales conduct.

Sr. Legal Specialist

• Jan 2009 - Dec 2014

Employment Law Employment Law

Compliance Manager

• Mar 1999 - Jan 2009

Training Manager/Outreach Advisory Compliance Department  Lead and manage the Mt. Vernon Advisory Board  Review, revise and provide training on new policies/procedures Assists the Training Director in developing and meeting annual budgets and plans.  Obtain external speakers to motivate executive leaders  Recommends necessary revisions to existing training courses and possible areas requiring new courses  Delivers monthly presentation of New Employee Orientation to… Show more Training Manager/Outreach Advisory Compliance Department  Lead and manage the Mt. Vernon Advisory Board  Review, revise and provide training on new policies/procedures Assists the Training Director in developing and meeting annual budgets and plans.  Obtain external speakers to motivate executive leaders  Recommends necessary revisions to existing training courses and possible areas requiring new courses  Delivers monthly presentation of New Employee Orientation to all incoming employees to include a detailed explanation of the relationship between the advisor and the fund.  Develop and implement a proposal for expansion of Mt. Vernon Academy to several departments at US Bank and external corporations.  Endorse Compliance firm-wide and advance coursework to promote the same  Research laws and update policies and procedures on new regulations to ensure timely outreach Show less Training Manager/Outreach Advisory Compliance Department  Lead and manage the Mt. Vernon Advisory Board  Review, revise and provide training on new policies/procedures Assists the Training Director in developing and meeting annual budgets and plans.  Obtain external speakers to motivate executive leaders  Recommends necessary revisions to existing training courses and possible areas requiring new courses  Delivers monthly presentation of New Employee Orientation to… Show more Training Manager/Outreach Advisory Compliance Department  Lead and manage the Mt. Vernon Advisory Board  Review, revise and provide training on new policies/procedures Assists the Training Director in developing and meeting annual budgets and plans.  Obtain external speakers to motivate executive leaders  Recommends necessary revisions to existing training courses and possible areas requiring new courses  Delivers monthly presentation of New Employee Orientation to all incoming employees to include a detailed explanation of the relationship between the advisor and the fund.  Develop and implement a proposal for expansion of Mt. Vernon Academy to several departments at US Bank and external corporations.  Endorse Compliance firm-wide and advance coursework to promote the same  Research laws and update policies and procedures on new regulations to ensure timely outreach Show less

Legal

• 1997 - 1999

Administration

• 1995 - 1996