Heather Berger

Heather Berger Email and Phone Number

Compliance risk management | Surveillance development and enhancement | Process engineering and implementation @ Wells Fargo
Heather Berger's Location
New York, New York, United States, United States
Heather Berger's Contact Details

Heather Berger personal email

n/a
About Heather Berger

Diligent, solutions-focused compliance professional with a proven track record of successfully developing, implementing, and operating processes that improve the effectiveness and efficiency of the Compliance function. Delivers results by collaborating with cross-functional partners to design and build pragmatic, fit-for-purpose processes. Creative problem-solver with the ability to connect the details of a process to the big-picture impacts of a program. Highly adaptable having held operational and transformational roles in private wealth, asset management, financial crimes, and central compliance functions at two financial institutions.

Heather Berger's Current Company Details
Wells Fargo

Wells Fargo

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Compliance risk management | Surveillance development and enhancement | Process engineering and implementation
Heather Berger Work Experience Details
  • Wells Fargo
    Executive Director, Corporate Risk Regulatory Execution
    Wells Fargo Oct 2022 - Present
    San Francisco, California, Us
    Oversee the execution of remediation activities to ensure matters are resolved completely and on time.
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  • Wells Fargo
    Vice President, Training, Education, Regulatory Policy Change, And Audit Management
    Wells Fargo Apr 2021 - Oct 2022
    San Francisco, California, Us
    Lead the redesign, implementation, and execution of the annual Compliance staffing assessment and staffing plan, which supports the Chief Compliance Officer (CCO) in determining staffing levels and opportunities for skill growth in the upcoming year.
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  • Wells Fargo
    Vice President, Compliance Transformation & Business Management
    Wells Fargo Nov 2019 - Mar 2021
    San Francisco, California, Us
    As business manager to the head of the department, developed and operated processes for running the department efficiently.
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  • Goldman Sachs
    Vice President, Global Controls And Data, Financial Crime Compliance
    Goldman Sachs Sep 2017 - Aug 2019
    New York, New York, Us
    Led the design, testing and implementation of solutions to address surveillance gaps, issues, risks and efficiencies for AML and other Financial Crime Compliance teams.
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  • Goldman Sachs
    Global Head E-Communications Compliance, Financial Crime Compliance
    Goldman Sachs Oct 2013 - Aug 2017
    New York, New York, Us
    Led the advancement of the e-communication and voice surveillance program by developing new surveillances, improving existing surveillances, defining and implementing record retention requirements, and consulting on compliance requirements for new communication tools before they were made available to employees.
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  • Goldman Sachs
    Vice President, E-Communication Compliance, Financial Crime Compliance
    Goldman Sachs Sep 2010 - Sep 2013
    New York, New York, Us
    Responsible for the e-communications surveillance program for Investment Banking Division (“IBD”), Merchant Banking Division (“MBD”), Global Investment Research (“GIR”) and Executive Office (“EO”).
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  • Goldman Sachs
    Vice President, Goldman Sachs Asset Management Compliance
    Goldman Sachs Jan 2009 - Aug 2010
    New York, New York, Us
    Led various regulatory compliance functions including error management, regulatory registrations, and licensing requirements.
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  • Goldman Sachs
    Vice President, Goldman Sachs Asset Management Compliance
    Goldman Sachs Apr 2003 - Dec 2008
    New York, New York, Us
    Reviewed hedge fund and separately managed account marketing materials for GSAM Equity, Fixed Income, Quantitative Investment Strategies (“QIS”), Liberty Harbor and Goldman Sachs Investment Partners (“GSIP”) for compliance with relevant regulations and internal policies.
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  • Goldman Sachs
    Analyst, Goldman Sachs Asset Management Compliance
    Goldman Sachs Sep 2001 - Mar 2003
    New York, New York, Us
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  • Goldman Sachs
    Analyst, Private Wealth Management Compliance
    Goldman Sachs Jul 2000 - Aug 2001
    New York, New York, Us
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Heather Berger Skills

Regulatory Compliance E Communication Surveillance Project Management Equities Asset Management Capital Markets Surveillance Communication Leadership Strategy Execution Voice Surveillance Agile Project Management Compliance Management Anti Money Laundering Alternative Investments Bloomberg Problem Solving Employee Training Compliance Program Management Governance Project Governance Marketing Review Surveillance Development Innovation Compliance Investigations Creative Problem Solving Collaborative Problem Solving Surveillance Efficiency Surveillance Lifecycle Metrics Reporting Metrics Metrics And Reporting Program Management Management Financial Services Analytical Skills Interpersonal Communication Team Leadership Mentoring Written Communication Verbal Communication Presentation Skills Automation Process Automation Control Testing Business Process Improvement Business Process Design Risk Management Derivatives Emerging Markets

Heather Berger Education Details

  • American University
    American University
    Public Communication

Frequently Asked Questions about Heather Berger

What company does Heather Berger work for?

Heather Berger works for Wells Fargo

What is Heather Berger's role at the current company?

Heather Berger's current role is Compliance risk management | Surveillance development and enhancement | Process engineering and implementation.

What is Heather Berger's email address?

Heather Berger's email address is he****@****chs.com

What schools did Heather Berger attend?

Heather Berger attended American University.

What skills is Heather Berger known for?

Heather Berger has skills like Regulatory Compliance, E Communication Surveillance, Project Management, Equities, Asset Management, Capital Markets, Surveillance, Communication, Leadership, Strategy Execution, Voice Surveillance, Agile Project Management.

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