Lance Wells Email & Phone Number

Greater Denver Area

Oversaw regulatory change management, testing and monitoring, compliance risk management, and compliance programs for all US businesses. Managed from 5 to 10 direct reports.• Regulatory Change Management (RCM): Headed multi-year global effort, creating greater consistency, efficiency, and effectiveness in how MetLife businesses executed RCM processes, bolstering existing law inventories, and developing governance framework.• Testing and Monitoring Execution: Streamlined testing and monitoring planning process across all regions, resulting in focused risk-based global calendar. Cross-trained compliance professionals, producing high-performing team and minimizing knowledge loss.• Compliance Risk Management: Administered and reported on US enterprise compliance risk management program, resulting in effective assignment of inherent and residual compliance risks impacting US businesses.• Compliance Programs: Enhanced and led multiple ongoing compliance programs for all US businesses to create efficiencies and transparency in areas of compliance risk and potential preventive actions. Reviewed and administered political contributions, complaints, sales materials, gifts, and entertainment compliance programs.

Greater Denver Area

Led risk management and compliance oversight programs for US retail businesses and special projects. Managed 4 to 12 direct reports.• Compliance Risk Management Program: Developed and implemented comprehensive program for retail annuity business aligned with business priorities, including identifying material compliance risks and ensuring risk mitigation controls were established. Program components included:o Monitoring and Testing: Implemented and administered programs to ensure compliance risks were appropriately mitigated. Developed enhanced annual testing calendar, enabling business partners to allocate resources to support compliance testing.o Issue Resolution: Streamlined issue process in collaboration with business to identify, track, and resolve compliance issues affecting retail annuity organization.o New Laws and Regulation: Led development of processes to ensure new laws and regulations potentially impacting retail annuities were reviewed and tracked by legal department and addressed appropriately by the business.o Control Enhancements: Ensured business units developed and maintained appropriate controls based on regulatory requirements, root cause analysis of identified issues, and change in processes, lowering residual risks.o Risk Review, Evaluation, and Reporting: Developed enhanced scorecards to provide business leaders with understanding of compliance risks within their organizations, enabling partners to take remedial action.o Regulatory Exams: Supported business units in responding to FINRA, SEC, and state regulatory inquiries relating to annuity products.• Risk Oversight for US Businesses: Served as compliance lead on initiative to identify and track risks for US retail businesses. Developed ongoing process to monitor and prioritize various issues, including regulatory, privacy, and system risks. Created program, resulting in allocation of $33M annually in information technology resources to reduce regulatory and other related risks.

Doctor Of Law (J.D.), Corporate Law

Bachelor Of Business Administration (B.B.A.), Marketing