Experience

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  Robert Half

  • San Francisco

  • Compliance Consultant

    • Mar 2018 - Sep 2019
    • San Francisco

    Contract with Wells Fargo Wholesale Banking Group in their Testing & Validation Team (15 mos.) and Wholesale Infrastructure and Support Team (3 mos.).• Conduct vertical and horizontal regulatory compliance and operational risk reviews for the Wholesale Banking Group. Validate appropriate reme...

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  Bank of the West

  • San Ramon, CA

  • AVP, BSA Corporate Compliance Analyst III

    • Dec 2015 - Mar 2018
    • San Ramon, CA

    • Conduct Enhanced Due Diligence (EDD) Case Reviews on customer account relationships, designated as high risk. Verified appropriate KYC/KYA documentation was obtained and supports the transactional activity of the accounts. Provided written recommendation regarding retention or closure of accoun...

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  Robert Half Finance & Accounting

  • San Francisco, San Ramon

  • Contract Consultant

    • Jul 2015 - Nov 2015
    • San Francisco, San Ramon

    BSA ANL Analyst - Bank of The West 7/2015 - 11/2015• Performed due diligence review on high risk foreign correspondent banks to determine risk ranking and provide recommendation on continuing relationship to management.Co...

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  Granite Solutions Groupe, Inc.

  • San Francisco

  • Contract Consultant

    • Jan 2015 - Jul 2015
    • San Francisco

    Sr. Internal Auditor - First Republic Bank• Performed regulatory compliance audits for Internal Audit Department in the Corporate Compliance Governance, Fair Lending and BSA/AML areas. Perform testing, document process control narratives, and report findings to management.

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  Kforce

  • Walnut Creek, San Francisco

  • Contract Consultant

    • Jan 2013 - Dec 2014
    • Walnut Creek, San Francisco

    Have worked audit and regulatory compliance assignments for Union Bank and AAA Insurance Exchange.Internal Auditor - Union Bank 11/2014 - 12/2014• Assist in annual General Ledger Internal Audit of Controller’s Division. Pe...

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  Wells Fargo Bank

  • Wealth Management AML Compliance, San Francisco...

  • Vice President

    • May 1992 - Jan 2012
    • Wealth Management AML Compliance, San Francisco...

    At Wells Fargo Bank, I successfully worked in various risk management areas from Internal Audit, Consumer Credit Compliance, and Wealth Management AML Compliance. Developed and implemented compliance risk policies and procedures to appropriately segment client portfolio based on inherent high ris...

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  Fremont Reinsurance Company

  • San Francisco

  • Audit Analyst

    • Jan 1989 - Feb 1992
    • San Francisco

    Fremont Reinsurance suspended underwriting of reinsurance contracts in the mid-70's.Assisted senior management in effort to mitigate damages from selected contracts during company run-off phase. Financial audit of company and client's accounting records to ensure compliance to contract wo...

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  Argonaut Insurance Company

  • Menlo Park, CA

  • Division Controller - Risk Management Division

    • Jun 1980 - Jan 1989
    • Menlo Park, CA

    Argonaut Insurance Co. is a nationwide property/casualty insurance company, headquartered in Menlo Park, CA.Held increasingly responsible positions beginning in the Corp. Financial Planning department; progressing to Internal Audit; and culminating as a Division Controller for their Risk Manageme...