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Work Background
Demand Compliance ConsultantsSenior Partner - Banking and Investment Regulatory Compliance
Dec. 2023-Provided consulting and contracted compliance services to global banks, firms, and high-income clientele for services ranging from responses to regulatory inquiries, internal assessments, regulatory change management, regulatory forecasting, architecture of compliance programs from ground-up, and everything in between. -Identified and mitigated regulatory and investor compliance risks for all clients and support staffs by assisting in construction and maintenance of framework and development of sustainable processes. Implemented regulatory reform and rule change initiatives impacting businesses and clients, and assisted with creation and implementation of compliance policies, protocols, and processes with proved success record. -Led initiatives for timely resolution of regulatory (OCC, SEC, FINRA, NYDFS, and FRB, SOC2, among others) and internal investigations and inquiries, communicating results to client management. Ensured ongoing compliance with financial and data privacy laws such as GDPR, CCPA, PCI-DSS, PSD2, among others) as well as crucial long-standing requirements (SOC2, NYDFS, among others). -Conducted extensive compliance reviews of internal client policies, procedures, controls, and program framework to ensure ongoing compliance with legal, regulatory, and business requirements. Served as subject matter expert on financial regulatory environment and reported upcoming changes impacting client. -Provided expert advise on regulatory change management as well as forecasted future regulatory trends ensuring clients stayed ahead of changed and remained at forefront of industry -Led regulatory exam response assessments and provided leadership with responses to ensure compliance with exam inquiries and mitigated any previous gaps identified requiring action -Provided clients with findings related to review of internal and external controls, identified gaps, and provided detailed mitigation action plans
TIAASenior Compliance Associate
Apr. 2019 - Nov. 2023Jacksonville, Florida AreaDrive and lead the firm’s Records Management Program as well as Trust and Wealth Management compliance function, including regular engagement with firm’s top 10% Trust and Wealth clientele and their internal teams. Lead the firms highly critical regulatory engagements with OCC, SEC, FINRA, and FRB with proven success record. Lead and design strategy for efforts across organization to ensure ongoing compliance with legal, regulatory, and business requirements impacting both the Enterprise and Bank, including development of the firm’s Records Retention and Disposal Schedule, architecture of Compliance Monitoring controls, and oversight of Compliance Risk Assessments. Maintain proactive dialog with business leaders, executives, and internal Wealth Management and Trust teams to provide ongoing oversight of key compliance controls as well as ad hoc responses to inquiries from high income clientele. Lead and enhance process improvements and audits to ensure evergreen processes and controls. Design and implement training sessions and materials for audiences ranging from associates to the CEO and the firm’s highest net worth clientele. -Developed framework and responsibilities for Department Records Controller network to ensure ongoing adherence to Compliance Risk Assessments and regulatory requirements -Built and maintained firm’s first Records Retention and Disposal Schedule and led organization-wide implementation or requirements -Serve as compliance point of contact for high income clientele and their internal teams as well as subject matter expert on private banking, wealth, Trust fiduciary regulations.
Demand Compliance ConsultantsSenior Partner - Banking and Investment Regulatory Compliance
Aug. 2009 - Feb. 2019Houston, Texas Area-Provided consulting and contracted compliance services to global banks, firms, and high-income clientele for services ranging from responses to regulatory inquiries, internal assessments, regulatory change management, regulatory forecasting, architecture of compliance programs from ground-up, and everything in between. -Identified and mitigated regulatory and investor compliance risks for all clients and support staffs by assisting in construction and maintenance of framework and development of sustainable processes. Implemented regulatory reform and rule change initiatives impacting businesses and clients, and assisted with creation and implementation of compliance policies, protocols, and processes with proved success record. -Led initiatives for timely resolution of regulatory (OCC, SEC, FINRA, NYDFS, and FRB, SOC2, among others) and internal investigations and inquiries, communicating results to client management. Ensured ongoing compliance with financial and data privacy laws such as GDPR, CCPA, PCI-DSS, PSD2, among others) as well as crucial long-standing requirements (SOC2, NYDFS, among others). -Conducted extensive compliance reviews of internal client policies, procedures, controls, and program framework to ensure ongoing compliance with legal, regulatory, and business requirements. Served as subject matter expert on financial regulatory environment and reported upcoming changes impacting client. -Developed, initiated, maintained, and revised policies and procedures to ensure ongoing compliance with financial regulatory requirement -Developed controls framework and compliance risk assessments to identify risks and established monitoring systems to track compliance and report -Conducted extensive compliance reviews of internal client policies, procedures, controls, and program framework to ensure ongoing compliance with legal, regulatory, and business requirements
Texas State UniversityVisiting Professor
Aug. 2009 - May. 2016San Marcos, TX-Formulated records management strategies for department and archival partners
-Served as Project Manager for development and delivery of curriculum across multiple platforms
-Ensured educational and regulatory compliance in accordance with federal, state, and local requirements
-Created and implemented subject specific training courses to educate departments on best practices
-Monitored and reported on progress and effectiveness of implemented materials
-Lead and taught multiple courses each semester to varying adult student populations
-Managed educational initiatives through multiple streams of content
-Advised students on degree plans and ensured compliance with mandated requirements
San Jacinto CollegeProfessor
Aug. 2009 - May. 2016Houston, Texas Area-Ensured Records Management compliance across institution
-Developed and maintained effective and engaging instructional methods
-Built curriculum to maximize focus and retention -Managed departmental records and ensured compliance with regulatory requirements
-Served as a subject matter expert with internal and external stakeholders
-Consulted with governmental and political leaders on behalf of institutional interests -Lead strategy meetings to ensure assigned projects are completed on time and under budget
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