RI Manager

••••• W. •••••

•••••. Phone: •••••
Colorado Springs, CO ••••• email: •••••

PROFILE

Skilled manager with proven expertise and accomplishments in operations, quality control and compliance for the financial services industry. Demonstrated skills and accomplishments in operational risk management, re-engineering, and project management. Additional skills and accomplishments in process improvement, talent management and coaching. Excellent oral and written communication skills. In process of Six Sigma Green Belt Certification.

Leadership•••••Process Improvement•••••Client Management
Compliance and SOX•••••Project Management•••••Data Integrity
Strategic Partnering•••••Internal Partnering For Solutions•••••Talent Management

PROFESSIONAL EXPERIENCE

WELLS FARGO, Colorado Springs, CO •••••present

Operating Control Manager/Review Strategy and Process Manager-
Led cross-channel Control Mapping process, Core Team Member/Lead for creation of issue and monitoring databases, Planning and execution for data integrity testing associated with Basel II initiatives.
Managed audit preparation and facilitation leading to acceptable audit results on all audits for a •••••year period.
Recruited and built an Audit Preparation team to conduct pre-audit testing and process compliance assurance.
All departments that used this team achieved audits with no findings.
Ensured compliance and improved compliance testing and post test improvements by proactively partnering with Compliance department.
Led projects that moved self-monitoring database from Access to a web-based program, improving consistency, ease of reporting and usability.
Created and executed risk-based independent audit preparation process, coordinated audit preparation and audits conducted by the OCC, KPMG, Risk Asset Review (internal credit policy auditor) and Wells Fargo Audit Services, conducted process walkthroughs of operations,

Chase Manhattan Mortgage Corporation, Columbus, OH ••••• •••••

Operational Risk Analyst ••••• - •••••
Provided internal consulting on Operational Risk Management for Chase Home Finance Division, including Retail lending, wholesale and Correspondent Lending, loan servicing, finance, accounting and other support departments.
Provided internal Consulting that re-engineered the Correspondent Loan Recovery process, leading to additional revenues and improved customer relations.
Ensured mandatory reporting compliance by working on implementation of Metro 2 Credit Reporting format.
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Led pre- and post-audit reviews, re-engineering projects, operational risk reviews, coordinator for roll out of corporate risk assessment database and performed detailed process mapping.
Internal consulting and implementing results consistently led to improved audit scores.

Loss Analysis Supervisor ••••• •••••
Created Loss Analysis Department to analyze losses experienced with Foreclosed loans. Staffed department and created loss analysis process in conjunction with PriceWaterhouseCoopers.

Captured significant cost savings by partnering with Corporate Accounting to streamline loan deletion process.
Created Recovery area to recapture losses due to items not claimed from Insurers/Investors or as a result of over-billing by vendors.
Worked with responsible departments to correct errors that were the root cause of losses.
Built and trained staff so that they were ready and then received consistent promotions.

Waterfield Financial Corporation, Fort Wayne, Indiana••••• ••••• •••••

Quality Control Manager ••••• ••••• •••••
Managed Regulatory Compliance, Origination reviews, Servicing audits, liaison with outside auditors (state banking, federal agencies, KPMG etc.).
On testing and implementation team for roll-out of automated underwriting system.
Partnered closely with KPMG to provide pre-audit USAP documentation, leading to reduced testing •••••e and costs.
Also used improved process to increase •••••eliness and quality of data.
Rolled out improved branch review process leading to better reporting and more emphasis on consultative approach than findings based approach.

Collection/Loss Mitigation Supervisor ••••• ••••• •••••
Led attainment of collection and delinquency goals, founding member of Loss Mitigation unit.
Member of Foreclosure Review Board.
Loss Mitigation unit routinely met Investor/Insurer goals.
Collection Department set record Delinquency and Foreclosure percentages.

EDUCATION AND TRAINING

BA, Business Administration Political Science Wittenberg University•••••Springfield OH

Company sponsored training in:


Leadership
Compliance
Communication
Six Sigma


Quality Control
Compliance
Mortgage Bankers Association Appraisal Review