Rick Johnson Email & Phone Number

Los Angeles, California, United States

Redlands, California

Responsible for the management of complex analyses and projects related to the measurement, monitoring and reporting of physician practice performance. Further develop and manage physician compensation systems, specifically integrating quality and practice metrics in calculation. Responsibilities also include providing support in the areas of physician recruiting, orientation, employment contract management, and physician workforce retention.

Brea, Ca

Responsible for identifying, measuring, controlling and monitoring the firm’s operational risk, specifically for new business initiatives as part of the 2nd line of defense Operational Risk Program. • Provide effective second line of defense review and challenge for each product and service risk assessment that is executed for Regional Banking (Retail, Residential Lending, Wholesale & Commercial Banking, Global Trust Services, and Wealth Markets). • Implemented an intake questionnaire… Show more Responsible for identifying, measuring, controlling and monitoring the firm’s operational risk, specifically for new business initiatives as part of the 2nd line of defense Operational Risk Program. • Provide effective second line of defense review and challenge for each product and service risk assessment that is executed for Regional Banking (Retail, Residential Lending, Wholesale & Commercial Banking, Global Trust Services, and Wealth Markets). • Implemented an intake questionnaire to effectively identify which risk areas are impacted for any change or modification to an existing product or service. This assisted in streamlining the process reducing the amount of time to complete an assessment. • Contributed to strategically evolving the new product and services process and policies as the Bank enhanced supervision of the new products and services process covering LatAm, Canada, and other MUFG entities in the Americas.• Manage the operational aspects of the Bank’s new product and services process including providing expertise when and where required to interpret against policies, guidelines and processes.• Maintain accurate records throughout the lifecycle of each product and service risk assessment in Pipeline. • Facilitated and set the agenda for the Product Intake Advisory Council meetings (the governance forum for changed products and services) as well as the Product and Services Oversight Committee meetings (the approval forum for changed products and services).• Produced various reports for management (Various Bank, Branch, and legal entity Product Updates, Compliance Product Metrics, Monthly Pipeline Reports, Monthly Strategic Updates, and Quarterly Strategic Updates).• Train system of record users (RCA Archer) and troubleshoot as needed. Show less

Brea, Ca

Responsible for developing and implementing effective and efficient review and challenge practices as part of the 2nd line of defense Operational Risk Program. • Developed, implemented and maintained 2nd line of defense review and challenge reviews of 1st line of defense risk activities for example; RCSA, Issue Management, Key Risk Metrics, Losses. Executed 2nd line RCSA reviews for multiple lines of business including support departments (Information Technology, and Operational Risk).… Show more Responsible for developing and implementing effective and efficient review and challenge practices as part of the 2nd line of defense Operational Risk Program. • Developed, implemented and maintained 2nd line of defense review and challenge reviews of 1st line of defense risk activities for example; RCSA, Issue Management, Key Risk Metrics, Losses. Executed 2nd line RCSA reviews for multiple lines of business including support departments (Information Technology, and Operational Risk). • Lead a 2nd line review and challenge effort to support a project to enhance all Information Technology RCSAs (Access Management, Incident Management, Change Management, etc.). All RCSAs were brought into alignment with the banks RCSA standards which included detailed end to end process flows, risks, controls, testing, and key risk indicators. • Developed, implemented and maintained consistent and repeatable processes around planning, notification, testing, assessment, reporting and escalation.• Took a leading role in the development, implementation and ongoing execution and reporting of a new ORM Scorecard.• Developed, implemented and maintained processes for monitoring, identifying, and notifying team leaders of relevant risk events for their business units.• Produced regular and ad-hoc reporting for a wide variety of audiences, including executive management.• Participated in developing annual review programs and schedules for lines of business and modules.• Interacted with senior management on testing, scope, activities and results.• Built strong relationships internally with team and with risk management process owners and staff in the business lines and modules.• Oversaw the conduct of review and challenge reviews in targeted areas such as internal losses, external losses, metric maintenance and others as developed.• Managed staff to support and assist in the execution of review/challenge work and all reporting activities. Show less

Rancho Cucamonga, Ca

Responsible for developing, implementing, and managing an Operational Risk Testing program for Retail Payment Services credit, debit, and prepaid products. This includes development, execution, and reporting of an annual risk based testing plan. • Developed and implemented an Operational Risk Testing Program and Annual Testing Plan in alignment with corporate standards.• Oversaw the development and participated in writing effective test procedures/scripts for all Retail Payment… Show more Responsible for developing, implementing, and managing an Operational Risk Testing program for Retail Payment Services credit, debit, and prepaid products. This includes development, execution, and reporting of an annual risk based testing plan. • Developed and implemented an Operational Risk Testing Program and Annual Testing Plan in alignment with corporate standards.• Oversaw the development and participated in writing effective test procedures/scripts for all Retail Payment Services functional areas. • Provided Annual Test Plan status reports that included audit plan progress, significant audit findings and action plans.• Designed test process, scope and sampling methodologies, work paper templates, and reporting. • Managed the vetting, tracking, and resolution of audit findings as well as escalation when needed.• Assisted the business line with developing adequate resolution action plans. • Managed and developed QA Analysts across multiple locations. • Developed and implemented a Regulatory Change Management protocol to support Retail Payment Services functional areas. • Monitored KI's and emerging risks, laws, regulations, internal policies and procedures to identify potential edits or updates that were needed to existing testing program.• Implemented quality monitoring to ensure program was being executed as designed, audit objectives were achieved, and adequate coverage was provided. Show less

San Bernardino, Ca

Responsible for leading, developing and implementing the operational risk framework for Wells Fargo Home Lending. As well as integrate and implement the new Regulatory Compliance Risk Management Policy across home lending. • Identified and documented the operational risk universe and created an annual coverage plan to proactively detail how risk will be assessed, monitored, tested and reported. • Analyzed the Risk Control Self-Assessment (RCSA) program and identified opportunities to… Show more Responsible for leading, developing and implementing the operational risk framework for Wells Fargo Home Lending. As well as integrate and implement the new Regulatory Compliance Risk Management Policy across home lending. • Identified and documented the operational risk universe and created an annual coverage plan to proactively detail how risk will be assessed, monitored, tested and reported. • Analyzed the Risk Control Self-Assessment (RCSA) program and identified opportunities to further enhance the program and bring it into alignment with the corporate operational risk framework. • Identified and assessed operational risk issues and work with assigned business units to remediate the risk and implement sufficient controls. • Developed business cases to influence management on the need for controls to mitigate risk. • Evaluated the adequacy and effectiveness of policies, procedures, processes, systems and internal controls. • Facilitated the creation of Key Performance Indicators & Key Risk Indicator reporting. • Consulted with business leaders to develop corrective action plans and effectively manage changes. • Managed project teams and provided guidance to less experience specialists/consultants. • Developed, and implemented policy & procedure governance programs. Show less

Simi Valley Ca

Manage a team of quality analysts that execute quality control and quality assurance audit activities for the portfolio communications department. • Effectively managed all pre-production and post-production testing for all monthly mortgage statement types and all unique mortgage letters. • Define and implement process improvements for Quality Control, Quality Assurance routines. • Identified audit control deficiencies, enhance control improvements, perform root cause analysis of… Show more Manage a team of quality analysts that execute quality control and quality assurance audit activities for the portfolio communications department. • Effectively managed all pre-production and post-production testing for all monthly mortgage statement types and all unique mortgage letters. • Define and implement process improvements for Quality Control, Quality Assurance routines. • Identified audit control deficiencies, enhance control improvements, perform root cause analysis of issues and initiate controls. • Documented all new or modified QA/QC procedures and standards and defines and implements QC metrics for assessing the quality of delivered communication products. • Reported QA/QC testing results to senior and executive management. • Developed statistically sound sampling methodology for all audit activities. • Utilized Quality Center application to write and perform test scripts. • Performed risk assessments and regulatory compliance testing. • Maintained and updated various logs, SharePoint’s, and QC/QA databases to meet departmental goals and review auditing requirements. Show less

Des Moines, Iowa Area

Responsible for leading, and managing Citi Residential Lending’s First Line of Defense Quality Department which consisted of Quality Supervisors, Quality Leads, and Quality/Coach Representatives. The quality department performed various targeted reviews, monitoring and compliance audit activities. • Developed loan servicing quality test scripts with a focusing on compliance (FDCPA) testing. • Drive performance improvement through managing loan servicing quality and coaching activities.… Show more Responsible for leading, and managing Citi Residential Lending’s First Line of Defense Quality Department which consisted of Quality Supervisors, Quality Leads, and Quality/Coach Representatives. The quality department performed various targeted reviews, monitoring and compliance audit activities. • Developed loan servicing quality test scripts with a focusing on compliance (FDCPA) testing. • Drive performance improvement through managing loan servicing quality and coaching activities. • Identified and assessed loan servicing risks and controls. • Directed Loan Servicing management to adjust call center policies & procedures to improve efficiency. • Created monthly service level agreements and provided monthly executive summaries for upper level management. • Worked closely with loan servicing management to ensure coaching and training needs are met on a monthly basis. • Acted as the point of contact liaison for regulators & investor onsite audits and reviews. • Performed risk assessments and regulatory compliance testing. • Managed department budget and set team goals and performance metrics.• Re-engineered performance metrics for the call center and coaching department. • Developed recognition and rewards programs, coaching and employee development programs for the call center. • Developed and maintained monthly performance reports for senior leaders. Show less

Rancho Cucamonga, Ca

Responsible for leading, and managing Citi Residential Lending’s Quality Department which consisted of Quality Supervisors, Quality Leads, and Quality/Coach Representatives. The quality department performed various targeted reviews, monitoring and compliance audit activities. • Drive performance improvement through managing call quality and coaching activities. • Identified and assessed call center risks and controls. • Directed call center management to adjust call center… Show more Responsible for leading, and managing Citi Residential Lending’s Quality Department which consisted of Quality Supervisors, Quality Leads, and Quality/Coach Representatives. The quality department performed various targeted reviews, monitoring and compliance audit activities. • Drive performance improvement through managing call quality and coaching activities. • Identified and assessed call center risks and controls. • Directed call center management to adjust call center policies & procedures to improve efficiency. • Created monthly service level agreements and provided monthly executive summaries for upper level management. • Worked closely with call center management to ensure coaching and training needs are met on a monthly basis. • Acted as the point of contact liaison for regulators & investor onsite audits and reviews. • Performed risk assessments and regulatory compliance testing. • Managed department budget and set team goals and performance metrics.• Re-engineered performance metrics for the call center and coaching department. • Developed recognition and rewards programs, coaching and employee development programs for the call center. • Developed and maintained monthly performance reports for senior leaders. Show less

Managed a team of Customer Service/Trouble Resolution team members. Responsibilities included providing customer support and being a liaison between the technicians and the customer when a trouble ticket was opened. Maintaining accurate documentation throughout the trouble resolution process and escalating internally to resolve the issue and meet the companies service level requirements.