Judy Porter Email and Phone Number

 Collaborate and support Line of Business (LOB)partners manage their portfolios by providing information around policy, process and procedure implementation, system change initiatives, legal and regulatory adherence and reporting. Timely execute and perform quality results while conducting, executing and managing continued due diligence for risk assessments, contract terminations, ad-hoc review and quality action actions. Work with LOB to established Performance Metrics for the vendor based on risk assessments, their inherited risk rating while monitoring the life cycle activities for other potential risk as the business relationship evolves to updates and changes to the set metrics

 Provides support to the CBFCO Client Onboarding team in creating, reviewing, updating and communicating guidance documents.  Research and respond to onboarding questions escalated by the CBFCO onboarding team Creates, updates and delivers new hire, pilot and targeted awareness training materials to the Financial Crimes Operations (FCO) onboarding team that meet Wells Fargo Brand Standards. Annual review of previously hosted training materials to determine current status and update if needed.  Meets with stakeholders, business line partners, and SME on a routine basis to collect and confirm that all training, policy and procedures are current when published or completing annual review. Due Diligence Associate: Know your Customer (KYC) Performs screening on customers against various regulatory reporting lists and regionally based sanctions watch lists and escalates identified risks appropriately. Conducts comprehensive research or background investigations on individuals, entities, organizations or locations to identify and mitigate associated sanctions, financial crime, and reputational risks and thoroughly documenting findings Consults and provides guidance to business groups and process/product owners on the implementation and execution of business-specific programs, processes and controls that review bank customers (individuals/entities), related parties (owners, board of directors, executives) and/or transactions that present a low to moderate degree of complexity and risk Ensures compliance with guidelines set forth in federal/state anti-money laundering (AML)laws and regulations including the Bank Secrecy Act (BSA) and various sanctions regulations, and in accordance with policy/procedures set within Wholesale. Participate with Special Projects within different lines of business such as Periodic Review and Beneficial Owner Quality Control.

 Responsible for holding fact finding conversations with retail bankers and customers to mitigate any possible sales or integrity concerns.  Communicate with the market to resolve questions or concerns and act as a subject matter expert.  Participate and lead calls with the market to regarding consistency in procedures across the country. Identify potential procedure and credit risks by utilizing the full capabilities of internal systems. Hosted weekly and monthly product, procedure and employee development training sessions virtually.  Complete spot check reviews of work for existing specialists and new hires during training and ramp up periods to ensure compliance with policy and procedures. Monthly meetings with Regional Bank President, Southeast Business leaders and other partners to discuss market trends, risk and training activities.

 Managed 9 direct and 6 indirect team members to meet and exceed customer service, sales and operational goals. Led efforts to implementation change in both service and sales from the retail bank for platform and service team members.  Motivated, coached and developed team members to specific career paths through weekly and monthly meetings. Mitigated potential risks to the bank daily put procedure in place for record keeping, logs, conducted spot checks of cash drawers, teller stations, banker desks to ensure no confidential info/money left out, Met with Market Support Consultant weekly to stay updated on policy changes and participated and prepared for successful Branch Control Review Audit (BCR)  Partnering with Regional Sales Consultant to ensure the Wells Fargo branch is compliant with all operations regulations, records management and retention guidelines managed reputational risk daily by ensuring that all team members followed our sales and service processes, policies and procedures. Subject matter expert for (BSA/AML/OFAC laws and regulations) Manage operational risk assessment through vault audit, cash drawer, control online scheduling, electing individuals to ‘own the processes of logs etc.  Partnered with HR to address and investigate any ethical or production activates pertaining to Team members performances.

Internal Audit-retail bank, operational soundness, coach-sales and service process