Experience

i3 Bank

• United States
• Banking
• 1 - 100 Employee

• Chief Compliance Officer & BSA Officer

  • Jun 2023 - Present



Cross River

• United States
• Financial Services
• 700 & Above Employee

• Director of Business Risk Management

  • Dec 2022 - Jun 2023

• Compliance Monitoring & Testing Manager

  • Mar 2022 - Dec 2022



Bank of the West

• United States
• Banking
• 700 & Above Employee

• Senior Audit Leader VP

  • Oct 2021 - Mar 2022

• QA / Monitoring Program Director, VP

  • Feb 2020 - Oct 2021

  Managed creation, implementation, and reporting of a new centralized E2E Quality Assurance Monitoring Team for 19 Assessment Units across Commercial and Consumer Operations.

• Sr. Controls & Governance, VP

  • Mar 2019 - Feb 2020

  Monitoring and Remediation for Bank Services Group

• Compliance Policy Management, AVP

  • Mar 2016 - Feb 2020

  • Managed and enhanced the Enterprise Compliance Policy Management Process to ensure efficiency, transparency, and consistency• Assisted with updating of Enterprise Level Policies, and ensured consistency with various content elements• Managed, tracked and reported ongoing efforts for bank alignment to Compliance-related Group and IHC procedures from various domains• Responsible for providing information and analysis to assist in overall assessment of Compliance Group and IHC procedures, determining domain of ownership, and issuing communication of request to align• Managed the gathering, tracking and reporting of all exceptions and exemptions related to Enterprise Level Compliance policies, procedures, standards and programs• Responsible for the internal policy, procedure, standard and program alignment process, including conducting rollout meetings, alignment communications, monitoring and notifications of past due alignments, and overall reporting• Responsible for creating and maintaining the overall Compliance Policy Governance Schedule, business unit alignment workbooks, Standards for Policy Alignment, and other desktop procedures and forms• Created enhanced processes within the Compliance Management Team, along with respective desktop procedures and relevant workflows Show less



First Hawaiian Bank

• United States
• Banking
• 700 & Above Employee

• Marketing Compliance Officer, AVP

  • Jun 2014 - Feb 2016

  • Reviewed and approved all bank marketing collateral (Deposits, Lending, Credit Cards, Social Media, ect) focusing on compliance related issues and UDAAP • Maintained knowledge of current and pending rules and regulations, and implemented changes, as needed, for both Marketing and Deposits • Monitored, evaluated, and updated all Deposit related disclosures and created client notifications as applicable • Assisted in annual reviews of deposit products from both a compliance and marketing perspective • Reviewed and adjusted training classes for various topics, including Overdraft and UDAAP • Employed a review process for the implementation of new deposit products • Reviewed and addressed marketing related complaints • Conducted department BSA/AML, Fraud and other compliance training • Acted as Vendor Manager for Marketing Department • Functioned as compliance and operational information expert Show less



Bank of the West

• United States
• Banking
• 700 & Above Employee

• Branch Operations Control Officer, AVP

  • Sep 2011 - May 2014

  • Evaluated branch operation policies and implementations to ensure proper procedures were utilized.• Interviewed employees on operational knowledge and risk evaluation strategies. • Prepared supporting documentation and assisted branches in implementing action plans to ensure proper operational procedures were in place.

• Customer Service Manager

  • Jul 2007 - Sep 2011

  • Reorganized and managed sales teams to increase branch and individual sales production.• Evaluated in-depth branch finance, sales and operational plans and implemented strategies to improve branch efficiency and maintain internal budgets.• Developed operational training tools for branch staff.• Assisted Region in operational development of staff and branches by reviewing compliance and operational documentation on location and working with management team to develop an efficient correctional strategy. Show less