Greg Nygaard Email & Phone Number

St Louis, Missouri, United States

United States

Greater St. Louis

• Assisted in the creation and development of the Evidence Based Control Evaluation (EBCE) program, allowing Wells Fargo to assess control design and effectiveness across an inventory of 50,000+ controls
• Led Sr. Associates and Associates in performing the most complicated control evaluation engagements across 100+ different Risk Assessable Units (RAU)
• Reviewed and approved engagement schedules, engagement memos, document requests, testing narratives, and testing workbooks for internal, external and offshore resources
• Coordinated the hand-off between the Risk and Control Self Assessment (RCSA) program and the EBCE program prior to the start date of EBCE engagements
• Managed the prioritization, documentation, escalation and resolution of issues resulting from deficient control evaluations
• Built strong relationships with Business Process and Control Owners across the organization ensuring confidence in the recommendations resulting from the Team’s evaluations

Greater St. Louis Area

• Managed completeness, accuracy and change management of the Wealth and Investment Management (WIM) Business Process Inventory, comprised of 850+ unique Business Processes
• Lead monthly Business Process sprint cycles, comprised of Process risk assessments, Process modeling, identification and documentation of Process risks and controls, and Risk and Control Self Assessments (RCSA)
• Reviewed Line of Business (LOB) Policies and Procedures and communicated opportunities for enhancements which would help mitigate risk to a level acceptable under the Firm’s Risk Appetite
• Developed Wealth and Investment Management’s (WIM) Process Sprint reporting function, allowing results to be reported with sufficient detail and context to allow Senior Management to make necessary Business decisions
• Established monthly working group complete with Senior Management stakeholders from across the 1st, 2nd and 3rd lines, to proactively identify opportunities to enhance the Wealth and Investment Management (WIM) control.
• Performed New Business Initiative (NBI) impact assessments to identify risks associated with the proposed NBI and assess the impact of the NBI on existing WIM Business Processes

Greater St. Louis Area

Greater St. Louis Area

• Conducted compliance testing of Internal Controls including development of Process Flows, Risk and Control Matrices, Control Design Evaluations, and reporting of results for a variety of Major Compliance Requirements.
• Worked with process owners and key stakeholders to identify and address control gaps related directly to the Investment Advisers Act of 1940, SEC Rule 15c3-5, and Financial Responsibility Rules for Broker Dealers
• Leveraged resources within and outside WIM to ensure the success of control assurance efforts across all Lines of Business
• Completed ongoing monitoring, testing and reporting as required by the WFA Business Compliance Program and Enterprise Issue Management Policy
• Assisted in the implementation of the Enterprise Issue Management Policy across all WIM Lines of Business
• Managed issue intake process from a variety of sources including Regulatory Exams, Audit Reports, Compliance Activity Reviews (CARs), and Self-Disclosures

Greater St. Louis Area

• Developed and implemented an Enterprise wide Risk Aggregation process covering Credit, Market, Price, Operational, Compliance, Legal, Reputation, and Strategic Risk
• Acted as 2nd line function overseeing risk management across 1st line for three different organizational entities including a Brokerage, Bank, and Investment Management Services Firm
• Created and continuously enhanced Operational Risk and Control Self Assessments (RCSAs) identifying inherent risks and subsequent controls within 1st line functions
• Worked directly with 3rd line Audit function to ensure successful identification of risks and controls allowing Senior Management to effectively implement strategic plans
• Managed Enterprise Issue Management process including issue reporting, action plan management, and issue resolution across all 2nd line functions
• Monitored Key Risk Indicators (KRIs), Key Performance Indicators (KPIs), and Management Risk Indicators (MRIs) for divergence from established risk appetite

Greater St. Louis Area

• Lead Regulatory Compliance audits for financial institutions sufficient in scope and procedure to meet and exceed client requirements
• Created and enhanced workpapers to support testing of critical regulatory compliance requirements
• Conducted exit meetings with Executive Management to communicate audit findings and compliance recommendations
• Provided annual HMDA, CRA, BSA/AML, FCRA, Deposit Compliance, and ECOA training to client staff
• Consulted with client staff to improve compliance deficiencies and exceed regulatory examiner requirements
• Supervised new staff member audits providing expertise and technical review of workpapers

Chesterfield, MO

 Developed financial plans with new and current clients to help them meet their individual banking needs Handled submission and acceptance/declining of New Account, Credit Card, LOC, and Installment Loan applications Communicated expectations and needs between management, platform, and teller employees Developed relationships with new businesses for.

 Supervised the operations of four Tellers Created a personal development plan for each teller identifying goals, weaknesses, and proficiencies Completed various customer transactions from account opening to fraud disputes  Created and maintained monthly audit reports Met and exceeded sales goals for several different bank products throughout tenure.

B.S., Business Administration

Bachelors Degree Business Administration, Business Administration

Bachelor of Science, Business Administration