Experience

Coastal Community Bank

• United States
• Banking
• 300 - 400 Employee

• Senior FinTech Compliance Director and Senior Vice President

  • Feb 2023 - 11 months

  Everett, Washington, United States



Lincoln Savings Bank

• United States
• Financial Services
• 200 - 300 Employee

• Chief Compliance Officer

  • Jul 2020 - Feb 2023

  Waterloo, Iowa, United States



Tally Inc

• Accounting
• 1 - 100 Employee

• Head of Regulatory Compliance Risk Management at Tally

  • Sep 2019 - Feb 2020

  San Francisco Bay Area



Affirm, Inc.

• United States
• 1 - 100 Employee

• Head of Compliance and Operational Risk

  • Sep 2018 - Aug 2019

  San Francisco Bay Area



Wells Fargo

• United States
• Financial Services
• 700 & Above Employee

• Operational and Compliance Risk Manager; Corporate Administrative Office

  • May 2015 - Sep 2018

  San Francisco Bay Area Responsible for developing and documenting Enterprise Marketing’s Compliance Program by representing the business in all risk systems, tools, assessments and reporting to Operating Committee, Group Risk Officer and Corporate Risk. Achievements include: • Leading major projects and programs to identify, assess, mitigate and control UDA(A)P and Sales Practices risk • Review and approve all Marketing, Social Media, and Brand campaigns for compliance with laws, regulations, and… Show more Responsible for developing and documenting Enterprise Marketing’s Compliance Program by representing the business in all risk systems, tools, assessments and reporting to Operating Committee, Group Risk Officer and Corporate Risk. Achievements include: • Leading major projects and programs to identify, assess, mitigate and control UDA(A)P and Sales Practices risk • Review and approve all Marketing, Social Media, and Brand campaigns for compliance with laws, regulations, and policy • Creation of Executive and Operating Committee dashboard report highlighting areas of biggest concern and related mitigation efforts Show less



Visa, Inc

• United States

• Senior Director - Compliance Risk Assessment & Validation, Training & Awareness

  • Oct 2013 - May 2015

  Foster City, Ca Administered key aspects of Visa’s Global Compliance Management Program, including development and maintenance of compliance policies and procedures, compliance risk assessments, compliance monitoring and testing, and regulatory employee training necessary to demonstrate compliance with applicable laws and regulations. • Provided subject matter expertise on the design and execution of Compliance Risk Assessment and Governance Programs • Assisted subject matter experts develop and… Show more Administered key aspects of Visa’s Global Compliance Management Program, including development and maintenance of compliance policies and procedures, compliance risk assessments, compliance monitoring and testing, and regulatory employee training necessary to demonstrate compliance with applicable laws and regulations. • Provided subject matter expertise on the design and execution of Compliance Risk Assessment and Governance Programs • Assisted subject matter experts develop and implement compliance policies and procedures with Consumer Financial Protection Bureau, Federal Reserve Board and other banking regulations (based on the services Visa provides to Banks) • Partnered with Business Areas in developing and maintaining policies and procedures to comply with applicable laws and establishing efficient internal controls to mitigate compliance risk • Responsible for overseeing the Compliance Monitoring and Testing Program to verify compliance with applicable regulations and report findings to senior management and steering committee members • Supervised the development of Business Area control monitoring (First Line of Defense) and execution of Compliance independent testing (Second Line of Defense) • Managed the annual compliance training program for Visa staff and Executive Management to raise compliance skill levels and awareness • Presented the results and remediation efforts on exam and audit findings to senior management • Participated in compliance risk assessments for new products and services • Acted as the Compliance liaison for internal audits and regulator examinations, tracking exam issues, and providing remediation assistance • Oversaw a team of compliance professionals providing regulatory compliance guidance to the business and performing the periodic compliance testing Show less



Bank of the West

• Banking
• 1 - 100 Employee

• Vice President Risk Identification & Assessment Officer

  • Apr 2011 - Oct 2013

  San Francisco Developed the maintenance and monitoring of the Corporate Compliance Risk and Reporting Program that drove the prioritization of testing, and monitored and reported activities to be conducted at the Bank. • Centralized and optimized MIS, data analysis and reporting activities, developed standards ensuring that Executives and Lines of Business management were informed of emerging compliance issues and of Compliance Planning activities throughout the Bank • Managed the creation of… Show more Developed the maintenance and monitoring of the Corporate Compliance Risk and Reporting Program that drove the prioritization of testing, and monitored and reported activities to be conducted at the Bank. • Centralized and optimized MIS, data analysis and reporting activities, developed standards ensuring that Executives and Lines of Business management were informed of emerging compliance issues and of Compliance Planning activities throughout the Bank • Managed the creation of Compliance policies and procedures for the Board of Directors review cycle • Synchronized and responded to all BNP Paribas Corporate Compliance requests for information, data and reports • Developed and managed a team of 4 employees

• Vice President BASEL II Risk Governance Manager

  • May 2009 - Apr 2011

  Managed the creation, development and implementation of an enhanced operational risk management framework that successfully achieved management’s goal of establishing a centralized oversight and monitoring function



Barclays Global Investors

• United Kingdom
• Insurance

• Senior Risk Manager

  • Aug 2008 - Mar 2009

  Managed the creation, development and implementation of an enhanced operational risk management framework that successfully achieved management’s goal of establishing a centralized oversight and monitoring function. Determined critical business functions and processes by working with Executive Managers and principal subject matter experts. Created standardized risk and control assessment guidelines that allowed for the aggregation and comparison of critical risks and controls across the company… Show more Managed the creation, development and implementation of an enhanced operational risk management framework that successfully achieved management’s goal of establishing a centralized oversight and monitoring function. Determined critical business functions and processes by working with Executive Managers and principal subject matter experts. Created standardized risk and control assessment guidelines that allowed for the aggregation and comparison of critical risks and controls across the company during any point along the customer’s lifecycle. Trained risk managers to validate the sufficiency of new and existing controls through testing and continuous monitoring. Show less



Wells Fargo Bank

• United States
• Banking

• Vice President and Operational Risk Manager

  • Feb 1999 - Jul 2008

  Managed the Business Risk Assessment Strategy & Support group that evaluated policies, programs and systems for compliance with internal control requirements, laws and regulations. Created, developed and implemented critical operational risk programs designed to preserve financial and reputational value. Developed a proprietary risk assessment system to enable the integrity, accuracy and consistency in the assessment, management and mitigation of operational and business risks and controls… Show more Managed the Business Risk Assessment Strategy & Support group that evaluated policies, programs and systems for compliance with internal control requirements, laws and regulations. Created, developed and implemented critical operational risk programs designed to preserve financial and reputational value. Developed a proprietary risk assessment system to enable the integrity, accuracy and consistency in the assessment, management and mitigation of operational and business risks and controls. Created a robust Control Monitoring and Validation program to test, evaluate and monitor controls implemented to address control gaps identified in anticipation of internal audit and the Office of the Comptroller of the Currency (OCC). Show less