Miko Maria Clark, J.D. Email & Phone Number

Los Angeles, CA, US

Los Angeles, California, United States

• Transitioned to U.S. Bank Wealth Management
• Sole oversight for the Wealth Planning business unit risk management including comprehensive model risk and rigorous model documentation, covering multiple 3rd party vendor risk management (MoneyGuide Pro, eMoney.
• Provides Investment Management & Trust business lines risk documentation and written responses based on findings discovered by regulators, internal audits, compliance, and the business unit.
• Proactively identifies emerging risks and implements effective internal controls and robust monitoring programs to mitigate or prevent these risks from occurring.
• Presents remediation and monitoring results to risk management leadership, business line leadership, and executive committees.
• Actively performs ongoing monitoring related to product, model, and vendor risk in order to discover trends or evolving risks that need to be escalated and addressed.

Los Angeles, California, United States

• Reported directly to the National Director of Sales/Training, while performing three different roles simultaneously within one job position. The three roles encompassed Wealth Planning Risk, Wealth Management Sales.
• Multiple time award winner for sales and service excellence at the enterprise level.
• Successfully executed national training initiatives including full cycle sales/training conferences and workshops across the broad geographic footprint receiving survey responses averaging 9/10 from attendees for.
• Created and implemented new hire onboarding process for wealth management sales professionals recruited to the firm for accelerated productivity, team member experience and cultural impact.
• Responsible for ensuring that all risk control tests, audits and issues were resolved and completed within a timely manner, and regularly communicated the status and final results to the Head of Wealth Planning.
• Reviewed the Wealth Planning pipeline for adherence to service level agreements, correct execution of documents, and verification of document storage.

Los Angeles, California, United States

• Increased employee productivity through the planning, implementation, and execution of multiple training initiatives for the financial advisors, leadership and back office staff.
• Analyzed compliance audit reports to detect opportunities for retraining and new training courses to reduce audit violations.
• Responsible for meeting corporate objective of utilizing technology to increase employee productivity by overseeing design and implementation of department dashboard and online training site.
• Partnered with Marketing & Product Management Department on training strategies and initiatives for new products and processes for sales staff.

Pasadena, California, United States

• Partnered with executive team to develop and execute performance and people-based culture while supplying governance critical to corporate objectives.
• Built and managed a successful training department for the Homebuilder Division including the development and implementation of new training certification programs for employees throughout the country.
• Management responsibilities included allocating and monitoring work to ensure attainment of objectives, keeping budget within targeted goals, performance measurement, and coaching and counseling.
• Conducted learning needs assessment and job task analysis for course design and development.
• Designed and developed storyboards, scripts, presentations, job aids, manuals, and flash based training for web-based courses.
• Worked closely with recruitment staff regarding hiring needs and interviews.

Pasadena, California, United States

• Built and managed a training department which designed and delivered training to each department within the Home Construction Lending Division.
• Audited job descriptions, job codes and job classifications to insure compliance with overtime laws, which resulted in a reduction of overtime violation claims.
• Standardized compensation plans and verified that these plans were tied to measurable goals and objectives.
• Implemented skill-based training classes that resulted in stricter adherence to approved policies and procedures and reduced the number of compliance violations.
• Worked with recruiters regarding staff needs and conducted applicant interviews.
• Implemented several customer service contests and created and implemented borrower and employee surveys to monitor quality levels.

Doctor Of Law - Jd

Bachelor Of Science - Bs, Finance, General

Associate Of Arts - Aa