Sherry Carson Email & Phone Number

Columbus, Oh, Us

Columbus, Ohio Metropolitan Area

In this role, I manage regulatory exams through collaboration with internal 1st, 2nd and 3rd line partners and external examiners (OCC, FRB, FDIC). Additionally, I manage MRA remediation activities and various risk-related projects.

United States

In this position, I evaluated business processes and critically evaluated the effectiveness of internal controls in achieving regulatory compliance with SEC, FINRA, MSRB, FinCEN, state and firm rules. During related compliance audits, I Identified and communicated critical gaps in regulatory compliance, escalating risks as needed, and administering expert guidance to remediate issues and ensure adherence to regulatory requirements. I promoted a continuous compliance culture, offering guidance to key stakeholders in conducting critical testing of essential activities to ensure sustained effectiveness in risk mitigation. Additionally, I designed and upheld process maps, onboarding programs, technical documentation, communication platforms, and training resources to foster efficient team collaboration and information dissemination.

United States

In this position, I managed a quality assurance program for P&C Captive Agent Licensing and Compensation, leading a team of on-site and off-site professionals in executing quality review. I implemented a risk-based scoring system for the quality program, focusing on high-impact data entry points, resulting in clearer error visibility and reduced risk for customers and the firm.