Compliance, banking, and financial professional with 15+ years of experience delivering comprehensive compliance and risk management solutions, specializing in regulatory relations, and enterprise risk oversight. Ability to develop and implement compliance strategies to ensure adherence to regulatory standards while managing cross-functional initiatives to identify, assess, and mitigate risks.Regulatory Compliance | Risk OversightEnhances operational efficiency through strategic project management and stakeholder collaboration.Lead and mentor teams to build a culture of compliance, providing guidance on policy development, risk mitigation, and issue management. Facilitates regulatory exams, internal audits, and third-party risk management processes to maintain transparency and regulatory readiness.Maintains strong relationships with regulators and industry associations, staying informed on emerging trends to continuously evolve compliance and risk strategies. Known for meticulous attention to detail, critical thinking, and a proactive approach to addressing challenges.CORE COMPETENCIES• Compliance Strategies• Risk Mitigation• Internal Audit• Regulatory Relations• Issue Management• Cross-Functional Collaboration• Stakeholder Engagement• Training• Project ManagementACCOMPLISHMENTS~ Led the successful resolution of high-complexity escalated complaints for commercial, wholesale, and treasury management accounts, ensuring adherence to regulatory guidelines and company policies while working in a time-sensitive environment.~ Applied independent judgment in risk management, conducting regulatory analysis and utilizing multiple systems to ensure compliance with legal standards, mitigating potential risks and safeguarding company reputation.~ Optimized case management processes by strategically organizing high-volume caseloads, engaging subject matter experts, and streamlining workflows to achieve faster resolution times and improve efficiency.~ Developed detailed written resolutions for executive complaints, using advanced research and analysis to provide clear, compliant, and legally sound outcomes, contributing to a reduction in escalations.~ Improved customer satisfaction through creative problem-solving and first-call resolution, leveraging analytical research and innovative solutions to address unique customer needs while maintaining compliance with company policies.Please contact me at steph1711m@gmail.com with any compliance opportunities.
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Senior Resolution Representative- Executive OfficeWells Fargo Jun 2020 - Jul 2024Shoreview, Minnesota, United StatesProvide pipeline management, accuracy and execution throughout all stages of the executive complaint resolution process. The case management process includes intake, research, and resolution of the highest complexity level of escalated complaints for commercial / wholesale / private label customers, which may include working with international customers. Provide daily navigation, data entry, and research while utilizing multiple systems for efficiency of meeting case deadlines. Consistently apply independent judgment throughout the complaints process determining applicable regulatory contract analysis, guidelines, internal policies and procedures, risk management processes and the determination of whether to engage compliance or legal. Pipeline management.Consistently maintain professional collaborative, proficient internal/external relationships with verbal and written communications which include exchanges between subject matter experts, dealers/venders, legal, compliance, regulatory and financial crimes employees. -
Research / Remediation Representative 3, Wells FargoWells Fargo May 2018 - Jun 2020Shoreview, Minnesota, United StatesProvide superior verbal customer service and business support at all times while in a fast paced environment. My daily communications included interactions with business customers, third parties or attorneys.Each problem-solving experience consisted of the application of legal and compliance standards analysis while documenting and resolving verbal complaints with time sensitive metrics and frequent application of risk management applications to promote security for both the customer and Wells Fargo.Apply independent judgment with each customer service incident while demonstrating knowledge and company policies that are necessary to obtain related details, along with the ability to verify multiple facts and scenarios for the accuracy of day-to-day business.Provide consistent utilization of approved innovative and creative solutions in order to meet our customer’s needs, all with the accountability of doing so on first call resolution.Daily access to multiple systems and programs to obtain details and verification of facts used to create accurate intake of cases for future resolution requiring additional research and resources.
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Premier Phone Banker 2, Wells FargoWells Fargo Feb 2014 - May 2018Shoreview, Minnesota, United StatesProvide verbal business support and excellent customer focused care for our high-end customers. This role consists of daily usage of multiple computer systems while applying independent judgment to investigate, research and provide solution focused problem-solving, all while ensuring risk management to safeguard the customer’s account details.This role consists of assisting customer’s with their business checking, savings, credit card and commercial loan products with their inquiries involving related account questions, concerns or payments. Each experience involved the steady promotion of security and consideration of company compliance guidelines. The assisted customer’s received innovative solutions along with recommendations for helpful products or services that the customer could benefit from with their day-to-day operations.Additional duties included: My assisting in the training of less experienced employees and providing of management with completed projects that promoted our team’s success.
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Consumer Phone Banker, Wells FargoWells Fargo Nov 2011 - Feb 2014Shoreview, Minnesota, United StatesThis role provided customer support while addressing the consumer’s financial concerns. These concerns included: investigation/research of transactions, answering verbal inquiries with a various range, and promotion of risk management and compliance. The customer consistently received professional and courteous services while being informed of any beneficial products or services that could promote their financial accounting.
Stephanie M. Education Details
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3.65 Gpa
Frequently Asked Questions about Stephanie M.
What is Stephanie M.'s role at the current company?
Stephanie M.'s current role is Compliance Analyst | Regulatory Knowledge | Risk Management | Critical Thinking | Policies &Procedures | Training | Banking.
What schools did Stephanie M. attend?
Stephanie M. attended Minnesota School Of Business.
Not the Stephanie M. you were looking for?
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Stephanie M
New York, Ny -
Stephanie Holman, M.Ed
Washington Dc-Baltimore Area3park.edu, amazon.com, metrostarsystems.com -
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Stephanie M.
Melbourne Beach, Fl
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