Working in the Quality Assurance Investigations Team, under the Sales Practices and Conduct Management group, I developed, coordinated and effectively executed quality assurance reviews of investigative casework in their entirety, including all documentation, to assess adherence to documented policies, procedures and compliance with regulatory requirements. Reviews performed included Large Scale Events review, Significant Events review, SAR Target review and New Hire Investigator review.Primarily the sole person approved to review restricted access cases including Confidential, Executive, and Attorney Client Privileged (ACP).Provided training, work direction, and served as the subject matter expert on quality assurance reviews, department operations, procedures, policies, and the systems utilized including Enterprise Allegation platform (EAP), ROBI, and Indigo.Performed second level reviews of reviews completed by other specialists, as needed.Collaborated with leadership to communicate identified trends and provided recommendations for improved compliance, consistency, and reporting across the organization.

Led and assisted in control-based reviews of client lending accounts and deposit accounts to ensure compliance with all related regulations.Earned Certificate in Lending Compliance from the American Bankers Association (ABA).

Performed on-site operational assessment reviews of the current practices in 16 offices, across 4 states, to identify opportunities for improvements and ensure best practices were observed.Consulted with management to ensure compliance with corporate policies and control standards.Reviewed completed Know Your Customer documents for adherence to Wealth Management Anti Money Laundering (AML) Program standards. Served as the subject matter expert in the areas of operational risk and compliance.

Facilitated 3 training classes of the Click2Staff staffing software, as part of the Wachovia Bank integration. Trained and supported Branch Managers, Service Managers and Regional Services Consultants through on-site visits in 22 cities, across 13 states.One of only 16 people, bank wide, certified to train Click2Staff.

Coached and supported the Business Banking, International Business Banking and the Patrimonial Banking groups in meeting performance objectives.Performed on-site operational assessments of 12 locations, spanning 3 states, in preparation of annual audits resulting in a 100% audit passing rate 3 of 4 years and a 99% audit passing rate the remaining year.Consulted with management to ensure compliance with corporate policies and control standards.Served as the subject matter expert in the areas of risk management and regulatory compliance.Analyzed and approved outgoing wire transfers up to $7,000,000 to ensure compliance with fraud controls and operating standards.