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Work Background
Coastal Community BankEVP Head of ERM
May. 2023Everett, Washington, United States
Silicon Valley BankSenior Director Risk Issues Management
Aug. 2021 - May. 2023Tempe, Arizona, United StatesA Robust Issue Management program will provide mission critical insight into an organizations control health, allow for transparency in reporting to Executive leadership to effectively manage Risk holistically for the enterprise, and drive decisions and actions in an efficient way to promote sustainable and informed growth. I am proud to establish and lead this function for SVB
Silicon Valley BankDirector of Risk Management
Mar. 2020 - May. 2023Tempe, Arizona, United States
JPMorgan Chase & Co.Executive Director Wealth Management O&C
Mar. 2017 - Mar. 2020Columbus, Ohio AreaGlobal strategy leader for risk and control quality assurance testing program. Manages a Global team who design and execute best in class testing to identify key control gaps, perform root cause analysis, and prompt remediation and action to mitigate business risk and strengthen internal control effectiveness.
J.P. MorganVP GCO Global AML/KYC Quality Assurance Manager
Jan. 2015 - Mar. 2020Columbus, Ohio Area• Develop a global quality assurance approach and team to support BSA/AML/KYC due diligence quality standards as determined by regional regulation and Corporate AML standards in APAC, EMEA, LatAm, and US markets across Asset Management, Consumer and Business Banking, and Commercial Banking lines of business
• Develop the quality assurance methodology and testing standards to align with consent order initiatives, firm wide quality standards, and BSA/AML regulation for the Global Investment and Asset Management, Commercial Bank, and Consumer/Business Banking organizations
• Partner with AML Corporate Compliance leadership and line of business executive management across all LOBs globally to define quality in alignment with standards, identify root cause of defects, develop sustainable action plans to remediate gaps in process, and provide continuous monitoring of BSA/AML internal control effectiveness
• Possess advanced knowledge of AML laws and requirements and risk principles to design and perform customer due diligence, EDD, SpDD and High Risk client reviews that meet business and regulatory requirements
JPMorgan ChaseVice President, BB KYC QC Manager
Apr. 2012 - Jan. 2015Columbus, Ohio Area• Manage the KYC “Know Your Customer” BSA/AML quality control function for Chase Business Banking due diligence
• Serve as liaison to regulators, auditors, and internal compliance partners to facilitate reviews and develop action plans to address identified areas of improvement in the due diligence process
• Promote quality KYC due diligence initiatives that focus on risks associated with business banking relationships designed to meet BSA/AML regulatory compliance requirements
• Possess advanced knowledge of AML laws and requirements and risk principles to design and perform customer due diligence, EDD, SpDD and High Risk client reviews that meet business and regulatory requirements
• Develop “best in class” know your customer due diligence practices and procedures in an effort to reduce risk of financial loss and regulatory non-compliance
• Partner with line of business management in business banking, compliance, audit and fraud to achieve Company goals of regulatory compliance and effective risk management
Alliance DataSenior Manager Compliance/BSA Officer
Sep. 2010 - May. 2012Columbus, Ohio Area• Administration of the Banks’ BSA/AML program including SAR filing efforts, CIP and OFAC processes, and BSA/AML risk assessment and serve as the bank’s BSA officer.
• Manage regulatory compliance review function including scope determination, transactional testing and management reporting processes and provide executive and Board level reporting on regulatory compliance governance and risk.
• Develop and maintain the Banks’ regulatory compliance risk assessment
• Partner with line of business management to achieve Company goals and objectives by identifying opportunities for process improvement, efficiencies, and internal control enhancement. Regulatory compliance risk management. Bank regulator liason.
Alliance DataInternal Audit Manager
Sep. 2005 - Sep. 2010Columbus, Ohio Area• Manage operational, compliance, fraud and financial audit projects for business lines within Alliance Data. Primary focus on bank regulatory compliance as governed by the OCC and FCIC banking regulators.
• Performed the Banks’ required annual BSA/AML audit in accordance with OCC/FDIC guidelines.
• Develop risk based audit programs to analyze and test for internal control effectiveness and compliance with corporate standards, OCC guidelines, and Sarbanes Oxley requirements.
• Communicate with upper management the importance of continuous process improvement and internal control structure review and enhancement to reflect the changing regulatory environment, and enhance business performance
• Partner with line of business management to achieve Company goals and objectives by identifying opportunities for process improvement, efficiencies, and internal control enhancement.
• Recognized for gaining an advanced understanding of the business and ability to build mutually beneficial relationships with internal business leaders
• Effectively motivate, manage and evaluate audit staff of 1-4 based on project scope.
Wells FargoAudit Project Leader
Aug. 2004 - Sep. 2005Phoenix, Arizona Area• Lead operational, regulatory compliance and financial audit projects in the Community Banking Group for business lines relating to the retail banking/depository and lending lines of business.
• Develop risk based audit work programs to analyze and test for bank regulatory compliance (OCC) including BSA/AML annual required audit, compliance with Corporate standards and Sarbanes Oxley requirements.
• Communicate with upper management the importance of continuous process improvement and internal control structure review and enhancement to reflect the changing regulatory environment, and enhance business performance.
• Recognized for my advanced skills in diplomacy, negotiation and client presentation.
• Supervision of 1-4 audit staff assigned to each project.
Harrahs Ak-Chin Casino ResortAudit Manager
Sep. 2001 - Aug. 2004Phoenix, Arizona Area• Managed the regulatory audit department for all gaming and non-gaming areas of the Casino Resort
• Developed compliance and operational audit programs to ensure the gaming operation was in compliance with Federal, State, and Tribal regulations
• Formally recognized for serving as an effective and respected liaison between the Tribe, Harrahs Corporate, State and Federal regulators • Managed audit staff and department budget
Arthur Andersen LLPSenior Auditor
May. 1997 - Dec. 2000Phoenix, Arizona Area• Performed planning and substantive testing of financial statements and operational areas for clients within multiple industries with a specialization in Healthcare.
• Took a lead role on external and internal audit engagements providing staff mentoring, budget responsibilities, and workpaper review
• Participated in college recruitment initiatives and new staff development
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