Brian S. Email & Phone Number

Sioux Falls, Sd, Us

Entrusted with establishing and implementing the compliance framework for a newly launched digital bank. Accountable for performing comprehensive risk assessments, inventorying state and federal risks and controls, program development, creation of reporting routines, and approving all associated materials and design elements of consumer products.• Leveraged compliance expertise to influence organizational strategy and ensure strategic decisions meet relevant regulation and regulatory expectations.• Oversaw the building and implementation of a robust compliance program, which provided a firm foundation for all operations within the bank, with an emphasis on lending functions.• Served on the senior leadership team as a compliance lead for the rollout of new financial products, ensuring regulatory compliance was a component of the overall product design.• Instituted a comprehensive suite of reporting and communication routines, including Key Risk Indicators and Key Compliance Indicators, to enable effective decision-making across all organization levels.• Developed a Customer Remediation playbook, to ensure consistent and thorough redress is provided in the event of financial and non-financial customer harm.• Collaborated with front line team members, process owners, and leadership to instill a culture of continuous learning and meticulous compliance adherence.• Performed thorough risk assessments, credibly challenged control suites and monitoring systems, and mitigated potential compliance risks through extensive testing and planning, as part of new product development.

Sioux Falls, South Dakota, United States

Led a high-performing team of compliance officers and consultants, overseeing end-to-end compliance and risk management of key business initiatives. Effectively communicated complex compliance subject matter expertise, ensuring end‐to‐end compliance oversight and risk management of key business initiatives, issue management, customer remediation management, complaints, new business initiatives, business process mapping, and risk assessments.▪ Oversaw the successful implementation of the Paycheck Protection Program, Small Business Lending group’s highest volume loan program at the height of the COVID-19 Pandemic.▪ Fostered a robust compliance program encompassing all origination and fulfillment activities, ensuring business leaders and senior executives were aware of and managing their compliance risks.▪ Built and mentored top tier teams managing risk professionals responsible for compliance risk oversight of multiple business and consumer purpose credit products.▪ Collaborated with executives, leadership, and control teams to prioritize and implement business strategy while strategically ensuring compliance risks and control deficiencies are addressed.▪ Ensured comprehensive and effective corrective actions and sustainable effectively designed controls through business‐driven issue management programs and risk and control self-assessment (RCSA) routines.▪ Lead compliance oversight for product divestitures, program retirements, and platform decommissions.▪ Served as host manager and mentor for the Wells Fargo Compliance risk rotational program.

Sioux Falls, South Dakota, United States

Championed implementation and support of the Cards and Retail Services Issue Management program including program development, procedures, training, Key Risk Indicators, and leadership reporting suites utilized by 75+ control consultants. Authored enterprise-wide issue management policy and training materials and was a key consultant on the Group Issue Management team structure. Collectively this work was aimed at addressing significant deficiencies in the company’s issue management performance and vastly improving operational efficiencies.▪ Drove informed decision-making assessing and defining key risk metric suite for pipeline health and risk indicator reporting, including staffing needs and prioritization of control enhancement initiatives.▪ Mitigated risks sustainably through creation and oversight of governance routines and framework.▪ Generated reporting packages and provided risk based analysis and commentary for multiple business segments and levels of senior business and compliance leadership.▪ Directed team of high-performance consultants tasked with individual line of business risk oversight.▪ Reviewed Regulatory, Audit, and Internal Testing findings to ensure holistic resolutions were pursued from impacted lines of business.▪ Key enterprise working group member for the design and implementation of the enterprise Issue Management policy.▪ Served as host manager and mentor for Wells Fargo intern associate program.

Sioux Falls, South Dakota, United States

Oversaw development and implementation of the Customer Remediation program for the Education Financial Services (EFS) business group and broader enterprise rollout. Navigated regulatory requirements and customer impact assessments leading individual remediation projects. Fueled on-time project delivery managing internal workflow systems.▪ Increased transparency and drove consistency with Wells Fargo’s Customer Remediation policy and processes engaging all levels of the organization.▪ Pivotal role directing key internal working groups tasked with customer facing regulatory compliance and operational issues oversight.▪ Minimized impact to stakeholders by creating comprehensive remediation strategies in accordance with applicable consumer protection regulations and internal policies.▪ Facilitated concise forecasting of pipeline volumes and staffing level requirements creating and implementing internal process controls and data analytics reforms.

Sioux Falls, South Dakota Area

Partnered with peers and led development of enhanced risk mitigating processes for maintenance and development of a procedure inventory as a technical process analyst and control manager.▪ Restructured team processes to increase controls and create an audit trail for draft and published procedures.▪ Oversaw and developed department policies and procedures to control historical archives according to applicable document retention standards.▪ Provided technical writing and risk expertise during the creation of procedural documents and control development.

Vermillion, South Dakota, United States

Integral assistant team lead and site director liaison managing application and eligibility controls for public-private government assistance programs. Successfully developed and implemented key risk quality and program oversight reporting working in tandem with the Vermillion operations site director. Provided direct team lead support to a team of specialists.▪ Directed internal team member performance and process metrics across four operation centers.▪ Developed and monitored weekly performance and regulatory statistics for departments across the U.S.▪ Authored and compiled training documents and job aides to promote government program standards compliance.▪ Created and oversaw the seamless onboarding and training of new employees on internal customer relationship management systems and regulatory requirements.▪ Directed internal team member performance and process metrics across four operation centers.▪ Developed and monitored weekly performance and regulatory statistics for departments across the U.S.▪ Authored and compiled training documents and job aides to promote government program standards compliance.▪ Created and oversaw the seamless onboarding and training of new employees on internal customer relationship management systems and regulatory requirements.

Mckinney, Texas, United States

• Proficiency in credit reporting laws and regulations, FCRA• Researched and developed assessments of customer credit reporting attributes• Identified credit report violations and worked to initiate customer disputes

Watertown, South Dakota, United States

• Ensure prototype cabs met required ROPS, FOPS, and ISO consumer safety standards• Recorded testing results and compiled test reports for senior management and regulatory oversight bodies• Implemented inventory systems for new and existing materials• Oversaw implementation of engineering department paperless migration processes and standards

Bachelor Of Science (B.S.), Business And Sociology

Master Of Business Administration - Mba, Business

Honors graduate Class of 2024 MBA