Jon Lembke Email & Phone Number

Remote - South Dakota

Sioux Falls, South Dakota Area

• Conducted marketing compliance reviews of client-facing materials for The Bancorp Bank, N.A. This includes but is not limited to reviews of the specific program requirements for a diversified prepaid debit card product.
• Responsible for ensuring compliance with company requirements and with FDIC, the Bank Secrecy Act, UDAAP, Reg E, Reg P as well as other regulations.
• Collaborated with Implementation Team, Compliance, Legal and business partners on new product launches to ensure materials submitted for review accurately reflect the features of each unique program.
• Provided partners with feedback on changes needed to marketing materials to meet the requirements of the program, company policy and banking laws and regulations on new and existing programs.

Greater Minneapolis-St. Paul Area

• Responsible for creating and maintaining desktop procedures that provided testing analysts and managers with step-by-step instructions for using the RSA Archer Platform (Archer) compliance system for recording.
• Created Archer test papers for CQA and AML Analysts.
• Developed 5-Minute Training Videos for Archer test paper and centralized issue roll-up processing.
• Point-of-contact for providing support to analysts and managers with questions regarding the Archer platform.

Conducted Compliance Quality Assurance (CQA) audits of U.S. Bancorp Investment, Inc.’s (USBI) adherence to Federal Securities Laws across the USBI product lineup.Led reviews of established brokerage processes from a limited scope through to include full end to end analysis of the controls in place to ensure compliance with established Federal Securities.

Recipient of Ameriprise's 2008 Chairman's Award for Excellence; for collaboration on the successful re-design and implementation of a new law-monitoring process for two insurance companies. Operationalized federal securities and state insurance laws for two insurance companies with two distribution channels supporting three policy owner service.

Managed compliance-driven initiatives. Managed the successful design, build and on-time launch of the Insurance Separate Accounts Compliance program as mandated by SEC Rule 38a-1 for five insurance companies under the Ameriprise Financial, Inc. umbrella.Undertook responsibilities with state market conduct and federal securities exams. Analyzed exam notices.

Prioritized and managed policyowner service insurance projects to meet business needs. Represented the policyowner service teams in new insurance product or service offerings, developed business policy and procedures for customer service representatives and communicated changes as appropriate. Acted as liaison between the policyowner service teams and the.

Accountable for all business operations in the San Rafael field office. Supervised clerical staff, directed work flow and managed performance. Championed the financial advisor recruiting process including orientation, licensing, pre-appointment activities and tracking results. Surpassed recruiting goals for two consecutive years. Established an advanced.