Experience

Coastal Community Bank

• United States
• Banking
• 300 - 400 Employee

• VP Compliance Assurance Manager

  • Jan 2023 - Present

  Develop, implement, and execute all phases of a formalized and robust risk based regulatory compliance monitoring and testing program at the Bank's enterprise level, including the Bank's fintech division. Develop and implement programs for monitoring compliance for marketing and disclosure review and approval, including website and social media monitoring.Assist in the development and maintenance of a comprehensive assessment of compliance risks and use results to create an annual calendar of scheduled compliance monitoring and testing activities.Oversee all phases of issue management including the evaluation of identified issues, conducting root cause analysis, recommendations and reporting to management, corrective action follow-ups, and validation for full remediation.Manage a team of compliance professionals, including hiring, coaching and development. Show less

• AVP Interim Director of Compliance

  • Nov 2022 - Mar 2023

  Served as interim Director of Compliance in the absence of the director position and first point of contact for regulatory compliance consultation for the Bank's business lines and compliance staff. Contributed to quarterly Board and Management Governance Committees.

• AVP Senior Compliance Analyst

  • Jun 2022 - Jan 2023

  Provided regulatory compliance consultation to the Bank's business units and management for a $3B financial institution. Served as a regulatory consultant in the development of new products and services, and for modifications to existing products and services. Performed product and vendor risk assessments, including tracking and reporting of the activities. Independently investigated and acted on matters related to compliance including identifying issues, root cause analysis, risks, recommendations, and follow through on remediation efforts. Show less



Great Western Bank

• Financial Services
• 700 & Above Employee

• Compliance Monitoring & Testing Manager AVP

  • Apr 2020 - May 2022

  Created, enhanced, and implemented a formalized risk-based monitoring and audit like testing program, for a $12B financial institution, including enhancements and completion of the risk assessment, developing the annual schedule of monitoring and testing activities and creating structured processes and procedures. Oversee all phases of compliance monitoring and testing activities, including corrective action remediation performed by a staff of 2 and successfully completed the testing schedule without full staffing resources and while fully remote. Implemented the use of data analysis testing on core system and HMDA data to identify anomalies for compliance testing rather than manual sampling to identify possible areas of non-compliance. Prepared reporting and presenting the programs’ progress and corrective action plan key milestones to governance committees. Show less



Bank of the West

• Banking
• 1 - 100 Employee

• Compliance Testing Officer AVP

  • Dec 2019 - Apr 2020

  Performed audit like testing for a $96B financial institution and developing risk-based work papers to validate the design and effectiveness of controls to mitigate compliance risk based on regulatory and group requirements. Led and performed all phases of testing activities (risk assessment, planning, fieldwork/testing and reporting), within budgeted project hours according to Bank of the West/ BNP Paribas standards and adhering to established service level agreements to provide high value proposition to business partners. Served as a key contributor to team process enhancements and the development of testing automation through data analytics. Mentored junior staff to help develop critical thinking skills and introduce audit concepts used in testing. Show less



American National Bank

• United States
• Banking
• 300 - 400 Employee

• Compliance Audit Manager AVP

  • Dec 2014 - Oct 2019

  Oversaw all aspects of the Compliance Audit Program for a $3B financial institution, including completion of the annual risk assessment and development and completion of the annual compliance audit schedule. Provided mentoring and training to Compliance Audit staff to ensure completion of the compliance audit schedule within established time frames. Reviewed workpapers to ensure they met department standards and prepared written reports summarizing the overall opinion regarding the banks' compliance, determined audit ratings, made recommendations to improve controls, evaluated action plans, and performed follow-up testing to ensure effectiveness of corrective action. Oversaw and performed all components of the Bank’s Mortgage Quality Control Program for 1 year, including procedures. Successfully trained staff and transferred the program to the 1st line business unit. Served as a liaison between Internal Audit and the Corporate Compliance Officer and was a member of the conversion team for the Bank’s core system migration. Show less



Carson Wealth Management Group

• Director of Data Management

  • Apr 2013 - Dec 2014

  Directed and managed the full data integration of investment accounts for firms joining Carson Partners RIA. Established a scalable system for data integration and worked with partner offices on training. Acted as a system administrator for Salesforce, Orion, and Docupace. Resolved discrepancies in databases. Directed and managed the full data integration of investment accounts for firms joining Carson Partners RIA. Established a scalable system for data integration and worked with partner offices on training. Acted as a system administrator for Salesforce, Orion, and Docupace. Resolved discrepancies in databases.



Mariner Holdings

• United States
• Financial Services
• 1 - 100 Employee

• Senior Operations Associate

  • Jul 2012 - Apr 2013

  Mariner Holdings acquired Orizon Investment Counsel and took over operations as of Oct 2012. Performed data management and other operational duties for combined firm. Mariner Holdings acquired Orizon Investment Counsel and took over operations as of Oct 2012. Performed data management and other operational duties for combined firm.



Orizon Group

• Poland
• IT Services and IT Consulting
• 1 - 100 Employee

• Director of Operations

  • Feb 2008 - Nov 2012

  Oversaw and coordinated all back-office operations for an investment advisory/money managing firm with $141M in AUM, including new accounts, client relations, billing invoices, and data integrity. Served as the primary mutual fund trader for 2 ½ years and liaison for SEC compliance examinations. Prepared and administered operations portion of the budget; coordinated investment advisor licensing. Performed compliance functions and gathered compliance items for monthly OSJ review. Hired, evaluated, supervised, coached, and mentored employees. Show less

• Vice President, Loan Operations

  • Feb 1984 - Feb 2008

  Oversaw all lending operations and servicing for consumer, commercial, and mortgage loans for a $3B financial institution, including establishing and maintaining department procedures to ensure regulatory compliance. Managed, coached, and mentored a staff ranging between 7-20 employees to include hiring, firing, employee development, monitored staff performance, performed performance reviews, salary administration and budget preparation. Served as liaison for State and FDIC examiners during compliance exams. Completed all HMDA and CRA submissions for the bank, including monthly HMDA audits, data verifications, and distribution of results reporting to management and to FDIC. Researched, evaluated, and implemented new systems and/or enhancements to streamline operations and provide ways to enhance lending payment structures. This included system reporting for monitoring and maintaining core system data integrity. Successfully completed and was responsible for the loan data conversion of 3 bank acquisitions, 1 bank merger and the bank’s move to a new core system. Show less