Manager of the Wealth Management Surveillance team.

Oversee the compliance function for IBERIA Wealth Advisors Trust Department;Maintain current trust policies and procedures and ensure staff is properly trained on an ongoing basis;Ensure compliance with all federal regulations affecting the trust department;Perform ongoing monthly, quarterly and annual testing to ensure fiduciary responsibilities are met on a consistent basis across the footprint;Manage internal audit and external federal reserve exam processes;Serve as a… Show more Oversee the compliance function for IBERIA Wealth Advisors Trust Department;Maintain current trust policies and procedures and ensure staff is properly trained on an ongoing basis;Ensure compliance with all federal regulations affecting the trust department;Perform ongoing monthly, quarterly and annual testing to ensure fiduciary responsibilities are met on a consistent basis across the footprint;Manage internal audit and external federal reserve exam processes;Serve as a compliance resource to all trust department staff memebersMaintain current BSA procedures specific to the trust department and ensure staff is properly trained on an ongoing basis;Manage the BSA function as a part of the account opening/onboarding process Show less

 Acted as an ongoing resource to area managers and trust officers by interpreting Bank policy and procedure, discussing alternatives for resolution, and providing guidance for any necessary action Managed the operation and quarterly testing of the Trust Monitoring System to ensure administrator responses were accurate, proper corrective action was taken and any training opportunities were identified and reported Managed a Junior Compliance Officer by monitoring daily performance and… Show more  Acted as an ongoing resource to area managers and trust officers by interpreting Bank policy and procedure, discussing alternatives for resolution, and providing guidance for any necessary action Managed the operation and quarterly testing of the Trust Monitoring System to ensure administrator responses were accurate, proper corrective action was taken and any training opportunities were identified and reported Managed a Junior Compliance Officer by monitoring daily performance and providing training as required Reviewed new account risk forms to ensure that all new accounts met the CIP requirements adopted by Regions to fulfill the standards imposed by the USA Patriot Act Show less

 Conducted onsite reviews of Personal Trust, Retirement Services, Natural Resources and Corporate Trust Officers to verify that they are administering accounts in accordance with Bank policies and procedures and governing documents Reviewed and clarified current policies and procedures for adequacy and modified review questionnaires as required Assisted in projects outside of regular assignments including testing of the Trust Compliance Monitoring System

 Managed customer relationships on over 250 trust accounts Established and supervised investment strategies for assets totaling $48 million. Chaired Investment Review Committee, managing a team of 4 Trust Officers, and certifying compliance with AmSouth Investment Policy Performed analysis of state laws and statutes as applicable to fiduciary issues Facilitated transition of accounts from regional offices to a centralized department by working closely with local Trust… Show more  Managed customer relationships on over 250 trust accounts Established and supervised investment strategies for assets totaling $48 million. Chaired Investment Review Committee, managing a team of 4 Trust Officers, and certifying compliance with AmSouth Investment Policy Performed analysis of state laws and statutes as applicable to fiduciary issues Facilitated transition of accounts from regional offices to a centralized department by working closely with local Trust Officers Show less