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Work Background
McDermott + BullCompliance Consultant
Nov. 2025 - Mar. 2026United States• Supported compliance initiatives targeting FDIC consent order remediation
• Conducted risk assessments and re-designed risk-based audit program • Designed and implemented FDIC-compliant mandatory leave program following risk assessment • Developed compliance management and audit frameworks • Responded to FDIC consumer complaints and supported regulatory inquiry tracking and resolution • Reviewed and revised bank policies and procedures to align with regulatory requirements • Conducted Regulation B application status reviews and compliance testing • Performed advertising and marketing compliance reviews across digital and traditional channels • Presented compliance findings and risk updates to Audit Committee and senior leadership • Skills: Regulatory Compliance • Risk Assessment • Statutory Interpretation • Regulatory Mapping • Microsoft Excel • SharePoint • Monday • Archer • Abrigo • Zendesk • OnBoard • FDIC Connect
Heitmeyer ConsultingBanking Regulatory Compliance Contractor
Nov. 2024 - Aug. 2025RemoteIn my latest contractor role with Heitmeyer, which after two extensions wrapped up in August 2025, I supported a global bank’s Third-Party Risk Management (TPRM) and Compliance Vendor Management (CVM) divisions in a consulting assessor role as listed below: • Researched and mapped federal and state statutes and regulations applicable to the bank’s lines of business operations and to CVM third-party service provider assessment scope. • Collaborated with in-house legal and Regulatory Change Management/Regulatory Compliance Management to research and add active and actionable statutes and regulations to the bank’s ServiceNow database.
• Evaluated third-party vendors to determine applicable regulations, map relevant citations to vendor contracts and services, with a heavy emphasis on California Consumer Privacy Act requirements, advised stakeholders on compliance with laws and regulations, and created detailed compliance documentation. • Conducted bank compliance due diligence activities of third-party vendors, ensuring proper risk assessment and mitigation. • On behalf of the bank’s Compliance Vendor Management, performed comprehensive risk assessments of third-party service providers for the bank’s legal organization, business technology, marketing, and payment services lines of business. • Ensured compliance standards were upheld by monitoring third-party assessments and completing all necessary activities within established SLAs. • Identified, escalated, and collaborated with CVM, TPRM, Model Risk Management and business stakeholders on resolving any compliance issues or risks identified during assessments. • Skills: Regulatory Compliance | Risk Assessment | Statutory Interpretation | Regulatory Mapping | Regulatory Change Management | Third-Party Risk Management | Compliance Vendor Management | California Consumer Privacy Act | Microsoft Excel | CUBE | ServiceNow | Archer
Heitmeyer ConsultingBanking Regulatory Compliance Consultant
Nov. 2024 - Aug. 2025United States• Supported global bank Third-Party Risk Management (TPRM) and Compliance Vendor Management (CVM) programs • Conducted regulatory applicability analysis across federal and state laws impacting vendor services • Mapped regulatory requirements to vendor contracts, services, and risk profiles • Performed comprehensive vendor risk assessments across legal, technology, marketing, and payment services • Integrated regulatory requirements into ServiceNow GRC system for enterprise tracking • Ensured compliance with California Consumer Privacy Act (CCPA) and other data privacy requirements • Partnered with legal, compliance, and business stakeholders to resolve regulatory risks and control gaps • Maintained SLA-driven compliance processes and escalated identified issues • Skills: Regulatory Compliance • Risk Assessment • Statutory Interpretation • Regulatory Mapping • Regulatory Change Management • Third-Party Risk Management • Compliance Vendor Management • California Consumer Privacy Act • Microsoft Excel • SharePoint • CUBE • ServiceNow • Archer
Apolis Consulting Pvt LtdBanking Regulatory Quality Assurance Contractor
Jun. 2024 - Sep. 2024I worked with a consulting firm to support a global bank’s regulatory compliance management remediation in a quality assurance role. My responsibilities included reviewing and updating the bank’s regulatory and control inventories across several lines of business, preparing them for migration into the bank’s Governance, Risk, and Compliance source of truth.
Apolis Consulting Pvt LtdBanking Regulatory Quality Assurance Consultant
Jun. 2024 - Sep. 2024United States• Supported a global bank’s regulatory compliance management remediation in a quality assurance role • Reviewed and updated the bank’s regulatory and control inventories across several lines of business • Supported migration into enterprise Governance, Risk, and Compliance platform • Skills: Regulatory Mapping • Quality Assurance • Microsoft Excel • SharePoint
RSC Solutions, Inc.Banking Regulatory Compliance Contractor
Dec. 2021 - Nov. 2023Orange County, California, United StatesEmbedded in a client national bank’s consumer lending division, researched U.S. state banking statutes to determine major compliance requirement applicability to various consumer lending lines of business on numerous regulatory topics (Debt Collection, Privacy, UDAP/UDAAP, etc.) for the bank, wrote regulatory applicability and control adequacy narratives describing how each regulation applied to the risk assessable business units and how their controls mitigated the regulatory compliance risks, as well as mapped controls for these lines of business. Previously, led a Quality Assurance team to ensure statutory major compliance requirements were properly mapped to the client national bank’s risk assessment units and properly annotated, and subsequently performed Quality Control of the bank’s employee-authored applicability and control mapping/adequacy narratives for various consumer lending lines of business (Auto, Merchant Services, Credit Cards, Home Lending, Correspondent Lending, etc.) regarding various topics (Product Related Disclosure Requirements, Interest and Usury, Debt Collection, Release of Lien, Ancillary & Add-On Products, Foreclosure and Loss Mitigation, Tax and Insurance Escrow Requirements, Assumptions, etc.), and performed Evidence Based Control Evaluations as part of the Risk and Control Self-Assessment (RCSA) process to test control design and control execution for compliance with regulatory requirements and with bank policies and procedures.
RSC Solutions, Inc.Banking Regulatory Compliance Consultant
Dec. 2021 - Nov. 2023United States• Conducted regulatory applicability analysis across consumer lending lines of business (auto, mortgage, credit card, merchant services) • Developed control narratives and risk assessments aligned with federal and state regulations • Led Quality Assurance team reviewing regulatory mappings and control documentation • Performed Evidence-Based Control Evaluations (SOX testing) within RCSA framework • Assessed control effectiveness and identified compliance gaps across business units • Supported enterprise-wide Risk and Control Self-Assessment (RCSA) processes • Skills: Data Quality Control • Team Leadership • Consumer Lending • Microsoft Office • Fair Lending Laws • Evidence Based Control Evaluation • Sarbanes-Oxley • SOX • COSO • Data Integrity • Data Quality Assurance • Risk and Control Self-Assessment (RCSA) • CUBE • Proviso Microsoft Excel • SharePoint • Risk Assessment • Control Narrative • Statutory Interpretation • Major Compliance Requirements
Real Soft IncBanking Regulatory Compliance Contractor
Oct. 2020 - May. 2021RemoteAs contractor, researched U.S. and non-U.S. banking laws and regulations and drafted summaries of their key requirements for a client global bank, then using ARCHER mapped the summaries and key data points to the bank’s digital regulatory inventory, all to assist the bank’s lines of business across multiple geographies in determining the subject law/rule/regulation’s applicability to their operations.
Real Soft IncBanking Regulatory Compliance Consultant
Oct. 2020 - May. 2021Remote• Researched U.S. and international banking regulations and developed regulatory summaries and applicability frameworks • Mapped regulatory requirements into Archer GRC system supporting global operations • Skills: Consumer Lending • Fair Lending • Data Integrity • CUBE • Archer • Microsoft Office • SharePoint
Self EmployedRegulatory Compliance Consultant
Jan. 2020 - Oct. 2020Orange County, CA• Advised small businesses on regulatory compliance, licensing, and employment requirements
City National BankVice President, Compliance/CCAR Manager
Jul. 2018 - Dec. 2019Los Angeles Metropolitan Area• Managed compliance and risk control programs for high-volume lending operations • Led team managing RCSA, underwriting compliance, and loan documentation reviews • Directed CCAR-related compliance and risk processes • Developed enterprise risk assessments and control frameworks • Implemented data governance processes aligned with RBC standards • Served as liaison between business units, compliance, and corporate risk functions • Skills: Compliance Oversight • Product Compliance Review • Team Leadership • Management • Microsoft Office • Fair Lending • Fair Debt Collection Practices Act • FDCPA • California Rosenthal Fair Debt Collection Practices Act • Data Integrity • Compliance Assessments • Data Quality Assurance • Risk and Control Self-Assessment (RCSA)
Grandpoint BankVice President, Compliance Testing
Apr. 2016 - Jun. 2018Los Angeles, California• Designed and executed compliance testing programs across lending and deposit operations • Led Fair Lending program enhancements, including Reg B implementation standardization • Conducted enterprise compliance reviews and reporting to senior management • Monitored remediation efforts and advised on process improvements • Developed and delivered compliance training programs • Skills: Compliance Oversight • Product Compliance Review • Compliance Training • Procedure Manuals • Fair Lending • Equal Credit Opportunity Act • Regulation B • Retail Non-deposit Investment Products • Marketing and Advertising • SCRA • Compliance Testing • Risk Assessments • Issue Management
FISEngagement Management Manager
Oct. 2009 - Mar. 2016Orlando, Florida, United StatesEngagement Management Manager As an Engagement Management Manager in the Research and Communications Division of the Center of Regulatory Intelligence, I advised on federal and state deposit and lending regulations and regulatory compliance. Additionally, I researched state law and monitored federal regulatory changes for institutional clients, assisted in preparing weekly and monthly bank and credit union regulatory compliance updates, as well as researched, prepared and presented an internal monthly regulatory Compliance Round-Up. I am also a licensed attorney in Florida. Previous FIS Experience Senior Compliance Manager As a Senior Compliance Manager in the Regulatory Advisory Services division of FIS Enterprise Governance, Risk & Compliance Solutions, I advised and instructed U.S. national and state chartered financial institutions and their personnel on Federal deposit and lending regulations and regulatory compliance. I also provided compliance support for FIS field consultants. Additionally, I authored articles for the department’s Client Portal, as well as authored and presented webinars, internal regulatory compliance updates, revised the Compliance Manual, and drafted and revised the department’s Policy Manual for financial institutions. Compliance Manager As part of the Regulatory Advisory Services division, I advised and instructed U.S. national and state chartered financial institutions on federal deposit and lending regulations and regulatory compliance. Additionally, I authored articles for the department's compliance website, and coordinated completion of the department's compliance seminar projects. Also, I reviewed and prepared policies, procedures, disclosures and notices for clients.
FISSenior Regulatory Compliance Manager
Oct. 2009 - Mar. 2016Orlando, FL• Advised financial institutions on consumer deposit, lending, and BSA/AML compliance • Authored regulatory advisory content, policy manuals, and compliance updates • Delivered training, webinars, and advisory support to financial institutions • Contributed to and edited the FIS Regulatory Compliance Manual • Skills: Financial Regulation • Compliance Training • Procedure Manuals • Consumer Lending • Fair Lending • Deposit Regulations • Mortgages • Mortgage Servicing • AML • Bank Secrecy Act • BSA • Advertising (TILA and TISA) • CAN-SPAM • Electronic Funds Transfer Act (EFTA) • Regulation E • Electronic Signature in Global and National Commerce Act (E-SIGN Act) • Equal Credit Opportunity Act • ECOA • Regulation B • Expedited Funds Availability Act (EFAA) • Regulation CC • Fair Credit Reporting Act • FCRA • Flood Insurance • Hazard Insurance • Gramm-Leach Bliley Act • GLBA • Privacy • Regulation P • Home Mortgage Disclosure Act • HMDA • Regulation C • Community Reinvestment Act • CRA • Insider Lending • Loans to Executive Officers • Regulation O • Lending to Servicemembers • Servicemember Civil Relief Act • SCRA • Military Lending Act • MLA •Overdraft • Real Estate Settlement Procedures Act • RESPA • Regulation X • Truth in Lending Act • TILA • Regulation Z • Fair Debt Collection Practices Act • FDCPA • Truth in Savings Act • TISA • Regulation DD • Unfair or Deceptive Acts or Practices • UDAP • Federal Trade Commission • FTC Act • Unfair, Deceptive, or Abusive Acts or Practices • UDAAP • Dodd-Frank Wall Street Reform and Consumer Protection Act
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