SUMMARY:

• Driver of Projects that transform business models, organizational structures, channels, and processes.
• of Enterprise - Wide Change at several major financial institutions.
• Team Leadership in assessment and execution in risk management, compliance, and corporate governance.
• Green Belt Six Sigma
• PMP
• Business Process Improvement
• Federal Consent Order Review
• Risk Management
• Quality Assurance Review
• KYC Remediation
• Successful completion of cross - organizational projects for major institutions
• Experience in leading programs in support of enterprise risk and compliance initiatives
• Provider of Consulting services at top financial services firms

PROFESSIONAL EXPERIENCE:

Confidential, Charlotte, NC

For Financial Services Provider

Responsibilities:

• Responsible for timely completion and quality of remediation efforts by Remediation Analysts and QCs
• Provided subject matter advice to resolve questions/issues from Remediation Analysts or QCs
• Responsible for reporting remediation execution progress to key stakeholders
• Managed on-shore and off-shore teams to assist Enterprise Independent Testing team with the design, implementation and execution of consumer operational risk tests
• Conducted walkthroughs with Test/Process Owners to develop test plans, test scripts and business requirement documents in accordance with Bank provided standards
• Oversaw test execution pilots for consumer tests and presented results to client
• Managed onshore and offshore resources to assist financial services client with documentation to address findings identified against their corporate governance and oversight framework
• Conducted 30+ process documentation sessions and oversaw creation of level 3 process flow diagrams
• Developed a Risks and Controls matrix including 90 risks and 130 mitigating controls
• Drafted consolidated end to end process narrative containing the detailed description of in-scope processes as well as the mapped associated controls
• Created weekly executive project status presentations for CEO and senior management team.
• Oversaw development of project level plan and reporting milestones for six project workstreams.
• Worked with client as Risk SME in support of activity-based costing model to provide cost transparency of risk processes across the organization.
• Conducted interviews with key stakeholders identify key and emerging risks.
• Managed offshore resources to complete high-level peer analysis, providing industry perspective on key risk areas.
• Developed client-tailored risk map detailing risk categories and sub-categories.
• Developed organizational model to leveraged Corporate Policy Office as Center of Excellence to manage organization-wide risk.
• Performed assessment of current Policy, Standards and Procedure framework and recommended changes based on regulatory requirements and best practices.

Confidential, Charlotte, NC

Responsibilities:

• Developed Risk Capability Maturity Matrix to assess current maturity of identified risk functions. Identified target state for compliance with enhanced internal audit practices under FRB SR 13-01 and COSO ERM.
• Assisted in development of governance and compliance programs for 1st and 2nd Lines of Defense.
• Developed Level 3 process flows covering horizontal risk themes and processes.
• Supported vendor management of horizontal targeted risk assessment, including stakeholder interviews and review of key controls.

Confidential

Responsibilities:

• Led team that developed risk/control matrices for U.S. Consumer Card business
• Facilitated over twenty workshops with client SMEs to identify and validate collection processes and associated risks/controls. Created test scripts for identified key controls
• Developed level 3 process maps for collection processes

Confidential

Responsibilities:

• Team leader responsible for QA, high-risk case review and process improvement deliverables for mortgage foreclosure review under consent order from Federal Reserve Bank, OCC and CFPB

Confidential

Responsibilities:

• Managed team performing current state operating model and process improvement assessment for the mortgage business unit
• Conducted current state assessment and completed gap assessment
• Developed recommendations for target state and organizational structure
• Identified operational risks and process improvement opportunities for the target state operating model
• Leader of operational assessment resulting in recommendations for strategic and operational redesign presented to senior review committee
• Developed QA program recommendations
• PMO lead responsible for preparing client status reports, tracking budget and preparing final client deliverables

Confidential, Charlotte, NC

Responsibilities:

• Led team charged with independent review of residential foreclosures. Detailed analysis of loan services and loss mitigation alternatives including foreclosure, loan modification, and short sales under government consent order
• Managed team of over twenty reviewers including senior mortgage portfolio reviewers. Preparation and presentation of overview and documentation to OCC

Confidential

Responsibilities:

• Participated with C-Level management team and senior managers in transition of core banking platform to Fiserv ASP model. Developed and managed execution of UAT testing plan for online applications.
• Assumed workstream leadership of online and teller department migration, including communication with third-party vendors
• Assessed wealth organizations in preparing recommendations for post-merger state intranet strategy
• Conducted business readiness,, and organizational alignment for client’s new operating model
• Assumed leadership of consulting project team in implementing treasury initiatives and developing related business requirement documentation.
• Participated in identification of over $1 million in cost savings initiatives.
• Developed target operating model for global private wealth management provider’s new mass affluent customer segment
• Collaborated with client’s subject matter experts to document current status and define product offerings, processes, and support functions

Confidential, Charlotte, NC

Vice President

Responsibilities:

• Managed development and execution of projects and processes in support of Hoshin goals supporting portfolio balance growth initiatives
• Collaborated with partners to develop and implement balance growth initiatives
• Developed strategic decks, business cases, associate materials and sales and marketing documents
• Managed home equity online billpay project involving funding sources that included home equity lines, credit cards, and DDA accounts
• Led team that implemented home equity statement vendor conversion and statement redesign, resulting in over $2 million in annual cost savings
• Developed and implemented home equity customer Early Month on Book activation strategy, utilizing multiple channels including online, direct mail, and statement messaging

Confidential

Vice President

Responsibilities:

• Established multi-channel marketing strategies for Confidential .com in support of customer “self-service,” promoting brand recognition and driving online sales and cost saving initiatives.
• Developed and successfully executed strategy to improve overall customer experience.
• Led team that implemented acquisition and usage of all-electronic statements, online billpay, and other services that generated revenue, reduced costs, and improved customer retention.