Experience

Comerica Wealth Management

• United States
• Financial Services
• 1 - 100 Employee

• Vice President, Compliance Specialist

  • Oct 2022 - Present

  Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements. Responsible for development and maintenance of Policies and Procedures, including regulatory audit support. Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements. Responsible for development and maintenance of Policies and Procedures, including regulatory audit support.



Wells Fargo

• United States
• Financial Services
• 700 & Above Employee

• Vice President, Compliance Assoc. Manager

  • Mar 2020 - Oct 2022

  Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements. Lead a team responsible for Fiduciary Compliance oversight and Policy maintenance, for the Investment Fiduciary Services (IFS) business within Wealth Management.

• Vice President, Compliance Sr. Assoc.

  • May 2016 - Mar 2020

  Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements. Primarily responsible for Policy & Procedure oversight & management for the Investment Fiduciary Services (IFS) business within Wealth Management.

• Vice President, Operations Manager

  • Aug 2006 - May 2016

  Nat’l Operations Manager, Wealth Management, VP 08/2006 to presentAccountable for the compliance and operational risk, in a fast paced environment, leading the National Center Operations Function for all aspect of service delivery including; account maintenance, bill pay, wires, check receipts, securities processing, with a team of 60 team members.Recent Accomplishments & Highlights• Line of business process owner for Audit, Comprehensive Assurance Program, SSAE 16, SOC1, and Annual Stress Test• Created, Implemented, and Evolved procedures to comply with regulatory requirements: including BSA Travel Rule, OFAC, Dodd Frank 1073, and FATCA• Redesigned service model and organizational structure to optimize efficiency, quality, standardization, and centralization• Achieved 53% expense reduction, year over year positive variance of actual expenses to plan, increased employee engagement by 32%, increased accuracy of metrics results, improved consistency, improved procedure controls in past 4 years• Implemented new performance metrics, measuring trending analysis, SLA, service quality, used as a tool to improve performance of team.• Restructured Internal Controls to proactively identify risk and compliance gaps in advance of internal and external audits, resulting in improved audit results• Accomplished improved General Business internal control results to 0% exceptions• Achieved “acceptable” audit rating on wires, after years of unacceptable ratings• Established Internal Verification Procedures, resulting in improved processing procedures Show less

• Site Operations Manager, VP

  • Dec 1997 - Aug 2006

  Site Operations Manager, Wealth Management, VP 12/1997 to 08/2006• Promoted to Vice President 9/2005• Led staff of 22 team members – manager, analysts, processors, and clerks• Compiled management reports and statistics• Executed various technology initiatives, including outgoing wire straight thru processing• Coordinated various projects, including merger data, fulfillment, and imaging• Recognized technical subject matter expert

• Site Operations Supervisor, AVP

  • Aug 1996 - Dec 1997

  Site Operations Supervisor, Wealth Management, AVP 8/1996 – 12/1997• Coordinated daily transaction workflow• Supervised and coached non-exempt team members• Processed complex data entry transactions

• Trust Administrator

  • May 1996 - Jul 1996

  Trust Administrator, Wealth Management 5/1996 – 7/1996• Completed all agency account closings, including funds distributions• Calculated final fees on closing accounts• Fulfilled client maintenance and cash data entry for Operations team

• Customer Service

  • Aug 1989 - Apr 1996

  Customer Service, Community Banking 8/1989 - 4/1996 • Demonstrated career advancement progression• Led and delivered positive audit results year over year• Executed excellent risk controls and identification reducing fraud occurrences