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Click here or scroll down to respond to this candidateCandidate's Name
Street Address
PHONE NUMBER AVAILABLE EMAIL AVAILABLE LINKEDIN LINK AVAILABLE EXECUTIVE SUMMARY Twenty-six years of financial services industry experience at multiple financial institutions focused on leading Compliance and Operational Risk Management teams, Product Management and Process Design teams as well as client-facing sales and servicing associates Currently Chief Compliance Officer, Custodia Bank (October 2023 present) Previously Chief Compliance Officer, Imprint Payments (May 2021 - September 2023) Attended American Bankers Association National Compliance School - Lending & Deposit Modules (October 2013) Six Sigma Black Belt Certified (2004) Other Business Involvement: Co-founder and co-owner of Legal Remedy Brewing, a 8,000 barrel-per-year craft brewery and brewpub ranked among the top 5% of brewpubs in the nation by the Brewers Association in 2017PROFESSIONAL EXPERIENCECustodia Bank October 2023 - present Cheyenne, WY Chief Compliance OfficerOversee the Compliance Management System and BSA/AML Program for a Wyoming Special Purpose Depository Institution created for those seeking enhanced regulatory clarity and minimized transactional risk as they traverse the digital asset frontier by providing banking and financial services tailored to business customers. Reporting to Custodia Banks CEO with functional reporting to the Board of Directors, manage Compliance & BSA/AML teams to ensure compliance with all applicable laws, rules and regulationsImprint Payments, Inc. 2021 - 2023 New York, NYChief Compliance OfficerDesigned, built, implemented and operationalized a comprehensive Compliance Management System and BSA/AML Program for a fintech startup in the co-branded credit card business. Partnered closely with FDIC-insured sponsor financial institution to obtain approval of 40 Policies, 12 Standards and 24 Procedural documents to establish the functional framework for Imprints CMS & BSA/AML Program Deployed and managed all facets of the companys compliance program to launch co-branded unsecured credit card programs for Horizon Hobby, Westgate Resorts, Holiday Inn Club Vacations and H-E-B/Central Market. Contributed to significant Product and Engineering achievements to deploy bespoke Card programs in under 6 weeks Responded to all requests from bank partners to furnish new partner program validation materials as well as monthly Monitoring & Testing document requests Candidate's Name
Provided ongoing Compliance Advisory oversight to the line of business for Product and Program Development, Application Build and continuous improvements to the in-app and website customer experience Received Satisfactory rating from external Audit agency in 2022 and 2023 KPMG 2020 - 2021 Philadelphia, PADirector, Risk Advisory Solutions, Financial Services Regulatory & Compliance Risk Focusing on the Regulatory & Compliance risk practice, provide consulting services to large financial services companies to solve complex compliance issues. Assisted large financial services companies and consumer product companies with in-depth analysis of their compliance functions Managed data collection and reconciliation as well as oversight of QA& QC functions for a Data Review and Validation project for a top 25 US Banks Paycheck Protection Program Lending Portfolio Assisted a major ecommerce platform provider with an overhaul of its Complaint Management functionUSAA Federal Savings Bank 2019 2020 Glen Mills, PA Compliance Executive, AVP & Head of Bank Compliance Program Office Reporting to the Federal Savings Banks Chief Compliance Officer, oversaw the Compliance Program Office, interacted with regulators at the OCC & CFPB and coordinated the Program Office staff of 20 compliance professionals. Managed the Program Office including bank-wide oversight of Issues Management, Monitoring, Policy & Procedure reviews, Compliance Risk Assessment execution, Risk & Control Self Assessments, and Compliance Training Coordinated Exam Management in conjunction with Enterprise Regulatory Relations team Co-Chaired the Banks Member Remediation Committee Member of the Bank Compliances employee satisfaction Pulse team THE BANCORP BANK 2017 2019 Wilmington, DEManaging Director, Head of ComplianceReporting to the Board of Directors with administrative reporting to the Banks Chief Operating Officer, oversaw the Compliance organization, interacted with regulators at the FDIC and Federal Reserve and coordinated the provision of the Compliance Risk Management Program, and Oversight & Advisory services to all lines of business with a staff of 20. Responsible for execution of enterprise-wide Compliance Advisory Support, Annual Risk Assessments, Monitoring & Testing, Reporting, Policy and Procedure Review, Regulatory Change Management and Compliance Training for all Bank staff, management and the Board of Directors Participated in the development and implementation of the Integrated Compliance Program intended to drive significant enhancements into the Banks Compliance Management SystemCandidate's Name
Implemented enterprise-wide Compliance Management System Quarterly Dashboard reporting (Q3 2017) Board-appointed Community Reinvestment Act Officer (August 2018) Member, Management Council Member, Internal Diversity & Inclusion CouncilCITI 2014 2017 Wilmington, DEDirector, Card Compliance Operations, Privacy, Fair Lending, and Tech Implementation Managed team of 18 Directors, SVPs and VPs to provide Compliance Advisory services for Technology Implementation and Operations teams for the North American Retail Services & Branded Cards lines of business. Reported to the Chief Compliance Officer for Card and managed adherence to the Global Compliance Program including Risk Assessments, Reporting, Policy and Procedure oversight, Fair Lending, Privacy and AML Transaction Monitoring & Investigations Managed Technology Implementation Compliance team to ensure advisory coverage was appropriately applied to all technology changes and projects initiated by the Cards businesses Assisted with administering the Compliance Annual Risk Assessment (CARA) program to assess inherent risks, control effectiveness and residual risks to contribute to the continuous improvement of the Compliance Management System Responsible for or assisted with annual Risk Assessments as well as Compliance Monitoring and Testing across all applicable consumer deposit and lending regulations including Reg E, Reg Z, Reg B, Reg P, UDAAP, FCRA, TCPA, SCRA, Treating Customers Fairly, and BSA/AML Designated Reg O Subject Matter Expert for the Cards Compliance team at Citi; developed and deployed Reg O training to all customer-facing Card Services associates J.P. MORGAN CHASE 2012 - 2014 Wilmington, DEManaging Director, Senior Vice President Consumer & Community Banking Compliance Head of Governance & Practices for Consumer Card, Global Commercial Card, Card Canada & Chase Merchant Services (North America & Europe). Reporting to the Card & Merchant Services Chief Compliance Officer, manage adherence to the seven core components of the Global Compliance Program including Risk Assessments, Reporting, Policy & Procedure oversight, and Monitoring Administered the Compliance Risk Assessment program to assess the inherent risk, control effectiveness and residual risks to contribute to the development of Compliance Monitoring, Testing & Training programs Oversaw end-to-end Compliance Monitoring programs including interfacing with line of business leaders to continuously enhance visibility into overall compliance health of business operations Produced monthly Compliance updates for inclusion in all Risk Committee and Risk Sub-Committee decks for review by Risk, Controls, Legal, lines of business leaders and regulatorsCandidate's Name
Managed Regulatory Change Management & Policy Governance administration to assess and proactively prepare for changes in the regulatory environment Managed other ad-hoc projects including writing line-of-business specific Annual Compliance Plans, developed Staffing Models, performed State Law Exemption & Gap Analysis for domestic Card businesses, performed Emerging Risk Analysis, and developed team-wide annual performance planning and goal setting Attended American Bankers Association National Compliance School - Lending & Deposit Modules in October 2013BANK OF AMERICA 1998 - 2012 Charlotte, NC Senior Vice President, Global Bank Senior Compliance Manager, Six Sigma Black Belt Vice President, Operational Risk Manager, Business Banking Vice President, Senior Product Manager, eCommerce & Online Banking Vice President, Quality & Productivity Engineer, Small Business Card Services Vice President, Premier Banking National Relationship Growth Manager Vice President, Contact Center Deployment, Change Consultant, Premier Banking Assistant Vice President, Senior Business Banker, Small Business Direct Sales OTHER BUSINESS INVOLVEMENTLEGAL REMEDY BREWING COMPANY, LLC 2014 - present Rock Hill, SC Co-Founder, Co-OwnerProvide public relations and marketing guidance for the 5,000-barrel-per-year craft brewery and brewpub with multiple locations that was ranked #37 on the Brewers Associations 2017 list of 2,252 US Brewpubs (top 4.6%).EDUCATIONJAMES MADISON UNIVERSITY Harrisonburg, VABachelor of Business Administration Double Major, Marketing & Public Relations |
