Plans and oversees multiple internal audit activities concurrently using a disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes. Supervises annual plan and the quality of activities and projects executed, on time and within budget. Maintains detailed understanding of plan status for SOX/MAR/FDICIA and audit engagements.

Led 25-member cross-site team located in Minneapolis and Detroit, focused on supervising financial advisor sales practice activities.* Created 50-member team in India that delivered multiple non-licensed services related to email, text, social media, financial planning, asset allocation, annuity, mutual fund, private equity, and IRA rollover review functions. - Headed management development, procedures development, onsite training, hiring staff, and quality assurance (QA). - Generated $5M in annual efficiencies.* Drove Lean department strategy, which contributed to $1.5M annual efficiency goal. - Steered cross-departmental team to promote Lean awareness. - Transitioned program to a new cloud-based workflow to further capitalize on opportunities.* Co-led implementation of transformational regulatory changes related to the SEC Marketing Rule and SEC Regulation Best Interest Standard, ensuring firm was well positioned to address any potential future concerns.* Increased 2023 team employee engagement to 93% satisfaction rate (company average was 85%). - Implemented plan to recognize individual and team accomplishments during monthly department meetings. - Emphasized goals and objectives in written communications, enabling team to have a clear understanding of success.

Directed 35-member team focused on supervising financial advisor activities related to marketing and communications, including advertising review.* Held regular interactions with regulatory bodies, ensuring business practices were aligned with regulatory policies.* Launched supervision strategy for compliant financial advisor use of social media and texting, which were key tactics for driving significant practice growth. Managed vendor selection, training, QA tool testing, procedures development, risk targeting strategy, and advisor communication planning; Ameriprise Financial continues to be an industry leader on advisor use of social media and texting.* Served in strategic role during Salesforce CRM implementation at Ameriprise Financial.

Oversaw 10-member team supervising financial advisor correspondence and marketing activity. Participated in sales supervision outside of marketing during higher volumes of supervisory activity, including supervision brokerage, managed, annuity, insurance, and complex products.* Implemented risk-based sampling approaches and keyword searches through Fintech tools, which led to efficiency gain of 3 full time employees.* Trained hundreds of financial advisors and sales leaders on results of supervisory activity and new technology launches through webinar presentations.

Led 5-member brand team that was responsible for ensuring advisor and consumer communications followed compliance policy and brand standards.* Assisted with rebranding the company as Ameriprise Financial from successful spin-off from American Express, remains as one the largest spin-offs in US history.* Organized branding of retail office space for 3K+ offices nationwide, included program development, coordination of office openings with real estate partners, and development of program dashboard.* Developed and headed strategic investment proposals for $3M annual program budget.

* Managed balance sheet related audits, which were prepared for external auditors: KPMG and Ernst & Young.* Prepared audit plans and performed SOX control analysis and testing. * Conducted nationwide financial advisor office audits for determining alignment with financial, compliance, and human resource policies.