Perform internal audits for Strategic Enterprise Risk Management for (SERM), including SERM audits, post validations of Regulatory Matters and Issue Validations.Create control documentation based on the Risk using the Frequency, Responsible Party, Action, Source, Activity (FRASA) standards according to the Institute of Internal Auditors (IIA).Examine the current Risk environment using a Design of Control testing to show the risk and controls of the second line are still mitigating their risks appropriately.Perform Control Testing to show the risk and controls of the second line are utilizing their risk and controls to keep mitigating their risks appropriately.Prepare audit findings and recommendations, present them to leadership, if an issue arises, monitor and track the progress of the issue.

Operational Risk Senior Associate, Payments Risk Oversight – Corporate Risk – Chief Operating Office (COO)Execute monthly, the timely oversight and reporting of NBI, Issues Management and Enterprise Availability Coordination Office (EACO) technology events that are payments related as well as policy reviews for the Operational Risk Coverage Program (ORCP) in the Risk Identification Utility (RIU) tool.Serve as lead point of contact for New Business Initiatives Program (NBI) under PRO. Work with TPE group to ensure each NBI is approved within PRO and any challenges are brought forward and revolved in a timely manner.Attend Payments Risk Oversight Committee (PROC), Payments Risk Coordinators working group, New Business Initiatives (NBI), and Policy Management working groups to ensure appropriate risk management coverage.Executing timely oversight responsibilities, serving as centralized contact for PRO related activities and related risks, i.e. (NBI, Issues Management, and Enterprise Availability Coordination Office (EACO) technology events that are payments related as well as Policy reviews).Provide and facilitate the administration of credible challenges in a structured, timely and focused manor for PRO related activities and related risks, i.e. (NBI, Issues Management, and Enterprise Availability Coordination Office (EACO) technology events that are payments related as well as Policy reviews).Highlight and escalate material operational risk management issues generated through NBI. This includes Issues, Losses or EACO events that may be related to a NBI.Drive critical decisions and manage multiple stakeholders to reach agreed upon solutionsCommunicate internally/externally across the ORCP for Issues Management, NBI, and EACO events as well as Policies that impact PRO.

WFAS Coverage & Coordination Team - Compliance and Third Party Regulations

Responsible for managing and preparing all Corporate Product Risk Oversight (CPRO), Operational Risk Management Committee (ORMC), and Enterprise Risk Management Committee (ERMC) risk reports according to the Product & Service Risk Corporate Policy (PSRM). Provide timely completion of bi-weekly, monthly, quarterly and annual reporting to ensure lines of businesses are in compliance with OCC standards and internal audit. Build strong working relationships with the technical team, internal data providers, and internal business lines and serve as a main point of contact for CPRO & ORMC to help drive reporting effort, ensure data accuracy and timeliness, and communicate and/or interpret policy reporting requirements.Lead the PSRM Community of Practice monthly meetings and propose key items that need to be discussed with the PSRM community. Anticipate which areas audit will review and test, i.e. document retention, reporting accuracy, internal controlsIdentify product risk reporting trends and ensure reporting approaches are streamlined to gain efficiency and maintain data integrity. Serve as a subject matter expert in system enhancements and testing efforts and assist with determining the implications of new OCC requirements standards and the associated implementation projects.Serve as a subject matter expert for the PSRM assessment tool and the PSRM policy.Serve as main point of contact and field questions from the lines of businesses and other risk disciplines on any PSRM related activities. Identify credible challenge when needed with product and service assessments. Utilize day to day oversight of PSRM to make policy and process recommendations/improvements of Corporate Risk governance.Serve as CRAS+ proponent for the PSRM designated MCR. Serve as the PSRM SharePoint administrator

Generate, organize, and analyze monthly, quarterly, and yearly compliance regulatory reports to be submitted to the Federal Reserve's Department of TreasuryReport client holdings on behalf of Wealth Management, Wells Capital Management, Lowry Hill, Share Owner Services, Institutional Retirement and Trust, Corporate Trust, etc. Incorporate unique problem solving techniquesAbility to work in fast paced environment with sharp deadlinesRun quality control reports on a monthly basis to ensure different groups we report for are following Wells Fargo and Federal regulations and are within our compliance guidelinesParticipate in manager reviews to go through all reports going to the Federal Reserve to ensure accuracy and completenessCreate and update operational procedures in which any changes are made since the last reporting cycleEnsure any reference table changes made during the month are captured, made on our automated system and schedule a monthly manager review of these changes to ensure they are correct and reasonableAssist Corporate Compliance and the Federal Reserve with questions and research into questionable transactions for regulatory reports going to the Department of TreasuryParticipate in testing and facilitating new automated systems for regulatory reporting, includes test script writing, controlled dataset writing, UAT testing, Regression testing, Stress testing, Dress Rehearsals, Dry runs of our actual production filing runs we have completed in the pastCoordinate testing with our developers and business analysts for scheduling of testing and issues which may arise from testingFacilitated similar testing for the Wells Fargo Trust/Wachovia merger in June 2010

Developed queries for quality control reports to maintain regulations and accuracy in the departmentWorked with Compliance and Legal on developing new Client Service FormsDeveloped forms and program guides for the WFI Investment FieldExecuted requests for Verification of Deposits Executed requests for Estate ValuationsSupervised the Billing DepartmentFormulated billing invoices using Excel to bill vendors and Wells Fargo Product GroupContributed in a variety of Projects and System DevelopmentsAssisted our Project Manager in maintaining tasks and projects are completed and tracked for the Wachovia/Wells Fargo merger

Served as a liaison between Wells Fargo Investments and our Money ManagersOpened Wells Fargo's Managed Account Products on a daily basis Reviewed contracts and applications for different Managed Products to verify they were in compliance with Federal Regulations and Wells Fargo's standards and requirements for that particular productCoordinated account openings and closings with new managed accounts and third party money managersAdministered account openings, closings, billing, contributions, and withdrawals from Wells Fargo's managed accounts Assisted Financial Consultants and Assistants with issues and problems on Managed Account products, procedures, billing, and requirementsDistributed workflow out of the Managed Products Main email inbox to my other team members in the department Worked solely with HDVest and First Allied for Managed Products OperationsTrained new employees on all Managed Products, processes, and phone queue questionsBilled newly opened managed accounts

Managed our Mutual Fund Transfers Group within the Security Control and Transfer DepartmentOversaw transfers of mutual fund securities going into, out, and within Wells Fargo Trust Accounts on SEIWorked as a liaison with our branch offices around the country and mutual fund companies to ensure proper communication was clear across all business lines Promoted teamwork by recognizing hard work and dedication within my group by making sure their hard work did not go unrecognizedMaintained and developed measurable milestones for my group and ensured they were completed by annual review timeContributed in a variety of special projects, mergers, and exchanges

Acted as a liaison between Piper Jaffray's Branches and our Money ManagersActed as a team player in a team oriented environmentOpened Piper's Managed Account Products on a daily basis Reviewed paperwork to show that it is in compliance with Federal Regulations Interacted closely with third party money managers in opening accounts on a daily basisAdministered account openings, closings, contributions, and withdrawals from client accounts Addressed questions from Piper's branches on a daily basis on Managed Account products and procedures Imported benchmarks onto APL for all Managed AccountsFlipped Performance Reporting on via APL for all Managed AccountsAnswer the phone queue on a daily basis for questions from branches, Financial Assistants, Piper employees, and internal customers

•Managed a group of 7 directs •Processed Accounts Receivable and Accounts Payable claims•Reconciliation of audits; made sure audits were reconciled before the claims were posted or collected•Evaluated and governed money coming in and going out •Aided employee's with problems, questions, and training•Administered and helped with distributing mail, filing, answering multi-line phones, meetings, copying, faxing, emailing, and special projects •Enforced Rotech's rules and regulations according to Corporate Compliance