Timothy Hames Email & Phone Number

Charlotte, North Carolina, United States

Perform assessments through fact finding, requiring creative approaches to solving complex issues & develop appropriate solutions or recommendations.• Developed & delivered prompt responses to exam validation requests ensuring efficient communication & resolution.• Updated policy, controls & procedures based on recommendations & audit findings.• Manage, track & maintain records of exam & audit validation requests.

Fort Mill, South Carolina, United States

Managing relationships between clients and vendors, providing timely billing, reconciliation of corporate advance balances, completing investor audit requests and providing default reporting to management.• Resolving approx. 10,000 outstanding vendor billing inquiries and processing within 3 business days. • Identifying areas of process improvement & implementing automation of manual processes.• Completing regulatory & client audit requests using Soc 2 methodology and practices.

Concord, North Carolina, United States

Auditing inventory and storage locations within warehouse, completing peer audit reviews and reviewing safe business practice policy.• Completed audits on inventory within warehouse reducing inventory errors by 25%.• Managed organization and labeling of supply areas resulting 25% increase of productivity.• Oversaw process to locate missing orders, resulting in reduction of errors by 95% and increase to the customer experience by decreasing time from order to ship by 25%.

Fort Mill, South Carolina

Managing inflow of reviews to Outside Business Activities (OBA) & Adviser Review analysts, preparing documentation for executive committee, managing results and preforming upkeep on compliance data bases.• Oversaw implementation of enhancements to systems resulting in 50% reduction of time spent & 25% decrease in data entry errors. • Streamlined preparation, documentation, and data retention of compliance audits reducing time spent by 25%. • Created updates to existing disciplinary committee process, reducing time spent by 25%.

Charlotte, North Carolina

Preforming Anti Money Laundering (AML) reviews on retirement accounts, preparing documentation for FINRA & SEC Review.• Updated existing template reducing of errors by 33% & creating time savings of 25%.• Managing approximate volume of 350 case files a month. • Subject matter expert providing guidance coaching and training with Office Suite & internal software.

Charlotte, Nc

Reviewing existing vendor contracts, documentation (SSAE 16, SOC 2, Charter, Licenses etc..), creating risk assessments for potential new vendors, creating procedures, updating risk & compliance databases.• Created process for assessing risk scores to new and existing vendors.• Managing vendor contracts and due diligence documentation.• Created procedures for product & services used by Sales, Customer Service, QA, Risk and Compliance.

Fort Mill, Sc

Remediating defaulted mortgage accounts & processing losses exceeding up to $500,000.00 per account. Impacting customer experience through streamlining compliance, risk and business practices. • Created and implemented a process to explain & collect recoverable fees, resulting in 50% of defaulted accounts being brought current and reducing time spent on collection efforts by 90%. • Administered SharePoint sites for Compliance, Risk, Exam Management, providing solutions to compliance data sharing internally and externally with state and federal regulators. • Provided a cost savings to the exam management, compliance & risk of approx. $250,000 a year through the repurpose existing office equipment and building relationships with hardware support teams.

Fort Mill, Sc

Preforming root cause analyst on defaulted mortgage accounts, providing summaries to business partners & recommendations for changes to policy and/or business practices. • Completed an audit of over 1500 bankruptcy Proof of Claim filings within eastern district of Louisiana resulting in corrections to 25% of accounts preventing fines exceeding 1 million and ongoing litigation against Wells Fargo Home Mortgage.• Increased individual productivity by 56% via creation of macros used by compliance and risk.• Oversaw designed of audit software, resulting in an increase production by 500% and elimination of errors

Fort Mill, Sc

Preparing mortgage account documentation for government audits & reconciling accounting on mortgage loans.• Assisted in streamlining exam management audits for Housing & Urban Development (HUD), Fannie Mae (FNNA) & Freddy Mac (FHLMC) resulting in reductions of time spent by 50%.• Through creating, & implementing technology, programs, macros, procedures and training achieved decrease in loan processing errors 25%.• Created procedures, used by compliance, risk, and exam management for internal mortgage software, hardware and preformed annual due diligence reviews of existing procedures.

Fort Mill Sc

Resolving inbound customer inquiries pertaining to defaulted mortgage accounts, specializing in late stage foreclosure and bankruptcy. • Averaged 3 minutes for customer resolutions, 2 minutes under standard for Wells Fargo for customer service representatives.• For 6 consecutive months rated within top 10% of specialists to resolve account inquiries. • Provided coaching and training for onboarded team members & a team of 25 specialists.