 Design and implement controls to address regulator expectations and overlapping risk partner’s requirements (e.g., third-party risk governance population, group third party officer common procedures, third-party system of record enhancements, information and cyber security, model risk, technology, financial crimes, supply chain management, reputation risk, etc.)  Provide consulting to support second line risk partners in designing and implementing risk mitigation strategies, business… Show more  Design and implement controls to address regulator expectations and overlapping risk partner’s requirements (e.g., third-party risk governance population, group third party officer common procedures, third-party system of record enhancements, information and cyber security, model risk, technology, financial crimes, supply chain management, reputation risk, etc.)  Provide consulting to support second line risk partners in designing and implementing risk mitigation strategies, business processes, and business controls within the Third Party Program. Facilitate monthly second line risk partners calls to collaborate and share program information and identify current and emerging risks. Design and document business requirements and user stories for system changes.  Lead design workstreams for the third-party program system of record replacement initiative; design and document requirements for the new system of record.  Act as subject matter expert for the third-party program; provide guidance to assist business groups in the development, implementation, and monitoring of third-party risk within their organization. Act as the primary liaison to supplier management and third-party quality assurance for program execution dispute resolution.  Led change management activities; change request prioritization, update program documentation, facilitate and manage the program material and system releases, communicate changes to user community, and conduct post-release validation activities. Managed and maintained all program documentation (Third Party Program Procedures, Third Party Program Lifecycle job instructions and resource materials).  Facilitated program calls for user community at all levels, to educate and enhance understanding of the third-party program. Show less

 Created and implemented third party officer monitoring and oversight procedures to ensure compliance with the third-party program requirements. Created and published job aids to assist technology relationship and engagement managers in completing required risk activities. Created and implemented quality assurance testing of third-party requirements for technology relationship and engagement records.  Conducted quality assurance testing, analyzed results, and provided… Show more  Created and implemented third party officer monitoring and oversight procedures to ensure compliance with the third-party program requirements. Created and published job aids to assist technology relationship and engagement managers in completing required risk activities. Created and implemented quality assurance testing of third-party requirements for technology relationship and engagement records.  Conducted quality assurance testing, analyzed results, and provided recommendations for execution improvement.  Created risk activity reporting for the third-party officers to assist with monitoring of timely completion of risk activities and remediation. Conducted monitoring and oversight to ensure timely completion of risk activities and escalated matters requiring attention.  Performed analysis required to address root cause(s) of third party-related concerns and deficiencies. Facilitated bi-weekly user community calls to communicate updates to third-party program requirements, policy, third-party system of record, as well as technology best practices for completing risk activities. Acted as the group third-party officer delegate.  Acted as the third-party program subject matter expert for technology; handled questions and escalations received in the technology third party risk email box.  Assisted with internal and external audits by providing responses and evidence for technology third party risk activities. Participated in the third-party program data and reporting and third-party system of record roadmap working group as the representative for technology.  Designed and managed the technology third-party risk management SharePoint site. Show less

 Supported relationship and engagement managers across home lending servicing on completing third-party program risk activities. Facilitated system training and bi-weekly brown bag training session on the new third-party system of record and third-party program requirements. Conducted monitoring, oversight and testing on risk activities (third-party site reviews, risk assessment, performance metrics and scorecards, action plan building and remediation) complete by the relationship… Show more  Supported relationship and engagement managers across home lending servicing on completing third-party program risk activities. Facilitated system training and bi-weekly brown bag training session on the new third-party system of record and third-party program requirements. Conducted monitoring, oversight and testing on risk activities (third-party site reviews, risk assessment, performance metrics and scorecards, action plan building and remediation) complete by the relationship and engagement managers. Created quality assurance review templates for testing compliance with the third-party program requirements, as well as, conducted testing for home lending servicing.  Facilitate weekly conference call with compliance and risk leaders across the enterprise to discuss compliance and risk management best practices. Participated in internal and external audits conducted by regulators, investors, and insurer agencies. Provide consultation on contractual requirement building and negotiation for business line leaders and engagement managers with supply chain management. Act as the default servicing’s third-party risk management technology liaison for all enhancement requests, releases, testing and change controls process. Received multiple service awards (Service Excellence, Team Member of the Month and Team Service Excellence awards for 2015). Show less

 Manage risk, compliance, and performance of third party relationship utilized for title and closing, property preservations, home preservation, technology, and hazard claim recovery services for the enterprise.  Conduct third-party oversight to ensure alignment with Wells Fargo strategic objectives, business requirements, policies and procedures, and contract, laws, and regulatory compliance.  Managed risk and performance for 14 third parties with annual spend of $350 million… Show more  Manage risk, compliance, and performance of third party relationship utilized for title and closing, property preservations, home preservation, technology, and hazard claim recovery services for the enterprise.  Conduct third-party oversight to ensure alignment with Wells Fargo strategic objectives, business requirements, policies and procedures, and contract, laws, and regulatory compliance.  Managed risk and performance for 14 third parties with annual spend of $350 million across the Wells Fargo enterprise by conducting monitoring and oversight activities to ensure alignment with the third-party program and other regulatory agency requirements. Monitored day-to- day third-party compliance with Wells Fargo performance service level agreements, contract terms, customer complaint tracking, and legal, investor, insurer, and regulatory requirements. Manage product risk and development for business lines. Initiated and facilitated third-party offshore service exception requests.  Conducted quarterly onsite risk and compliance audits to assess third-party controls related to information security, business continuity planning, capacity planning, regulatory and contract compliance.  Identified risks, strategic opportunities and provided consultative services to senior business leaders by conducting risk evaluations, RFX’s, and assessing and completing life cycles for third-parties from on-boarding to terminations.  Facilitated sourcing and contract management activities by gathering business requirements, drafting third-party contracts, and negotiating pricing and contract terms with third-parties.  Managed the implementation of corporate level third-party personnel system access monitoring and controls. Received several “Team Member Service Excellence Award” from business line leaders. Show less

Manage brokerage operations and a staff of 14 employees that handles all annuity transactions in a strict regulatory environment. Hire, develop, coach, evaluate, and counsel employees to improve customer service. Manage department risks, budget, projects, system implementations, and workflow changes. Improved business relationships between carrier partners and Wells Fargo Investments by facilitating training presentations on business practices, attending industry conferences and ad… Show more Manage brokerage operations and a staff of 14 employees that handles all annuity transactions in a strict regulatory environment. Hire, develop, coach, evaluate, and counsel employees to improve customer service. Manage department risks, budget, projects, system implementations, and workflow changes. Improved business relationships between carrier partners and Wells Fargo Investments by facilitating training presentations on business practices, attending industry conferences and ad hoc meetings with carrier’s Operations and Sales Relationship Managers Acted as interim Annuity Product Manager (April – November 2007); reviewed and posted annuity rates, forms, and product notices to internal web sites, fielded product and compliance questions from sale forces to improve annuity sales Coordinated meetings with carrier sales and operational managers regarding selling, servicing, and custodial agreements, new product launches, and trained new Annuity Product Manager.  Acted as the Chairperson for the Thomson Annuity User Committee (January 2008 – Present). Proactively brought annuity initiatives to industry partners (carriers, distributors, DTCC, Thomson) and internal business partners regarding year-end position standardization.  Facilitated the enforcement of annuity compliance requirements; provided compliance data to senior management, legal compliance officers and communicated policies to sales force. Participated as the annuity subject matter expert on significant company initiatives; ACAT/IPS/IFT, annuity order entry, licensed banker conversion, FINRA 2821, TAXL enhancement, bank conversions, and DTCC FAR standardization.  Support sales force by identifying opportunities for operational and servicing improvements that will improve and streamline the sales process.  Improved the company’s customer service by reducing customer and investor complaints and increasing assets under management. Show less

Supervised mortgage production staff of 15-20 employees in an environment of strict investor requirements. Hired, developed, coached, evaluated, and counseled employees.  Reduced age inventory and high-risk loan ratio from 10.0% to 4.3% by managing inventory, identifying and implementing workflow and process improvements. Improved communication between business lines and bond quality by identifying and escalating issues, and providing workable solutions to improve overall… Show more Supervised mortgage production staff of 15-20 employees in an environment of strict investor requirements. Hired, developed, coached, evaluated, and counseled employees.  Reduced age inventory and high-risk loan ratio from 10.0% to 4.3% by managing inventory, identifying and implementing workflow and process improvements. Improved communication between business lines and bond quality by identifying and escalating issues, and providing workable solutions to improve overall product line. Show less

Supervisor - Shareholder Service Channel 2000-2003 Supervised multi-functional (Call Center, Legal Correspondence, and Operation) staff of 15-20 employees in a highly regulated environment. Hired, developed, coached, and evaluated employees. Led multi-site project initiatives.Supervisor - Redemptions, Payments, Research and Mutual Series 1997-2000Supervised staff of 15-25 employees in a highly detailed orientated and strictly regulated work environment. Managed high… Show more Supervisor - Shareholder Service Channel 2000-2003 Supervised multi-functional (Call Center, Legal Correspondence, and Operation) staff of 15-20 employees in a highly regulated environment. Hired, developed, coached, and evaluated employees. Led multi-site project initiatives.Supervisor - Redemptions, Payments, Research and Mutual Series 1997-2000Supervised staff of 15-25 employees in a highly detailed orientated and strictly regulated work environment. Managed high inventory volumes and high dollar trades and wires. Led multi-site project initiatives. Improved web online service capabilities and options by leading multi-departmental team in identifying product and account requirements, conducting user testing, and determining appropriate workflow procedures. Increased global workflow efficiency and reduced record storage and account costs by partnering with outside Technology venders, identifying IT system requirements, conducting user testing and implementing the paperless workflow environment (Filenet Global Image Workflow).  Reduced servicing fees per customer account from $30 to $20 annually by reorganizing transfer agency into cohesive cross-functional channels and leading a 3-site direct input pilot team, which introduced data entry at initial customer phone inquiry level. Increased efficiency and reduced research and reconciliation turn times from 7 days to 24 hours reducing individual transaction cost by an estimated 50% by developing and implementing new workflow processes. Increased all levels of staff knowledge on ACH (automated clearinghouse), Asset Summary statement service options and the Check Pull Database, by creating and facilitating company wide presentations. Show less