Voluntarily took time off to rest, restore and focus on life enhancing experiences.

Supported the implementation and execution of Corporate Risk Control Programs ensuring effective front line risk identification, measurement, monitoring, controls and mitigation.Contributed to the development and enhancement of the business control environment through execution of the Risk and Control Self-Assessment (RCSA) program; participate in RCSA workshops and engaged in the implementation of new controls and action plans.Monitored and reported on aligned group risk concentration, current and emerging risk, and risk appetite, facilitating business dialogue as needed.Identified and reported Issues as it related to Operational, Compliance and Credit risks impacting the Wealth and Investment Management CRO. Worked with Issue and Corrective Action owners to ensure Issues were closed and controls are adequately in place.

Led annual Risk and Controls Self Assessment (RCSA)process for Ameriprise Financial. This incorporated 14 business units expanding across from the globe in the collection, mitigation and reporting of risks and controls. Created and tracked enterprise Key Risk Indicators (KRI). Supported Operational Risk Committee with the collection of monthly topics and creation and coordination of presentations. Tracked Loss events (internal and external). Coordinated operational risk ratings of projects/ change management. Assisted legal on annual fraud assessment. Responsible for administering and maintaining the company’s Governance, Risk and Compliance (GRC) platforms, its libraries, reports, modules and data integration to effectively support operational risk. Led Model Governance initiatives for Support Groups.

Led a group of Control Managers that engaged in risk assessment and supervisory reviews for the Centralized Supervision Unit and Field Supervision leaders. Led the enterprise wide vulnerable clients program, which included detecting fraud and elderly abuse and reporting to the appropriate state authorities.

Managed a Team of Registered Principals in the areas of Communications. Including email supervision, written correspondence supervision, Controlled Address, Social Media (Facebook and LinkedIn) supervision, Advisor biography and stationery supervision. Role included working in project management, technology management and strategic partnerships with Interactive Marketing, Brand, Sales and recruiting.

Managed overall administration, marketing, technology and operations of a sales branch. Strategic partner in the development of growth strategies in terms of sales and recruiting. Responsible for P/L for Branch and monitored expenses. Managed staff and performance. Served as a Chief of Staff for the Executive Vice President.

Daily review and approval, as Registered Principal, client account and transaction activities, including exchange/replacement transactions. Monitored trade surveillance for applicable state/federal and company rules and regulations. Maintained regulatory records as required by applicable state/federal law, rules and regulations. Researched investment products to detemine suitability, specifically variable annuities.Conducted Branch and Registered Office audits within Region. Developed and presented training presentations to Financial Advisors, staff and management, in person and via conference calls. Conducted the annual compliance meeting and new Advisor training. Tracked annual Firm Element.