avp risk and compliance manager resume example with 15+ years of experience

Jessica Claire
  • , , 609 Johnson Ave., 49204, Tulsa, OK 100 Montgomery St. 10th Floor
  • H: (555) 432-1000
  • C:
  • Date of Birth:
  • India:
  • :
  • single:
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Effective leader with ten years of risk and compliance management and managerial experience for the 5th largest bank in the United States. Proficient at evaluating risk for reducing regulatory burden, improving operations, analyzing business processes to determine business risk appetite, and developing reports for documenting transactional and operating risk. Takes initiative and provides end-to-end solutions to create lasting value to company. Excellent interpersonal relationships with internal and external stakeholders.
  • Internal Controls Analysis
  • Transaction Exposure review and validation
  • Analytical
  • Conflict Resolution
  • Organizational skills
  • Project planning
  • Budgeting
  • Conflict Resolution
  • Equity
  • Senior management
  • Financial
  • Fixed income
  • Focus
  • Insurance
  • Investment Banking
  • Law
  • Letters
  • Managing
  • Exchange
  • Office
  • Enterprise
  • Organizational
  • Organizational skills
  • Policies
  • Processes
  • Project planning
  • Quality Control
  • Reporting
  • Research
  • Risk Assessment
  • Securities
  • Supervisory
  • Validation
  • Workflow
AVP Risk and Compliance Manager, 01/2015 - Current
E. & J. Gallo Winery Livermore, CA,
  • Promoted in four months to manage a risk, compliance and audit team that conducts risk analyses of trading and operating activities across two business units and 14 business groups
  • Seven years of planning and budgeting experience in a highly regulated environment
  • Serves as the primary point of contact for multiple business line heads of departments, and a liaison to U.S
  • Securities and Exchange Commission,
  • Ffice of Comptroller of the Currency, Financial Industry Regulatory
  • Uthority, and Municipal Securities Rulemaking Board
  • And collaborates with various business groups
  • Develops processes and procedures and oversees audits and reviews that focus on detecting compliance with all regulatory requirements, detecting suspicious activity, and determining other areas of risk for the Enterprise
  • Responsible for leading and assessing residual regulatory compliance risk and evaluates the effectiveness of controls in place to mitigate exposure on trading and operational activities in adverse conditions
  • Highly knowledgeable and experienced at reviewing and interpreting laws and regulations and their impact on related to busines practices
  • Conducts in-depth analyses on known and unknown risks, impacts of new legislation and potential economic factors related to business line operating activities
  • Prepares and distributes regulatory communications, including annual and quarterly reports, supervisory letters, and exam findings and other formal correspondence to senior management.
AVP Quality Compliance Manager, 10/2014 - 01/2015
U.S. Bank National Association City, STATE,
  • Promoted to manage a team of seven risk and compliance analysts whose function is to ensure business lines adhere to product and service requirements and ensure compliance with regulatory laws and regulations
  • Oversaw U.S
  • Bank’s regulatory exam process by tracking regulatory exam schedules, assisting with exam preparation, managing exams, and reporting on examination status and results
  • Assessed the effectiveness of U.S
  • Bank policies, procedures, and control
  • Prepared and developed workflow and testing procedures to optimize processes and workflow
  • Generated and delivered weekly reports on quality control metrics to internal departments for analysis and delivered monthly reports to senior managers to aid in monitoring firm wide risks.
Wealth Management Controls Manager, 09/2012 - 10/2014
U.S. Bank National Association City, STATE,
  • Promoted to lead a team of analysts to assess the scope and depth of
  • Uality Control Assurance team exams that cover business line processes to ensure exams reflect the adequacy of business line controls established to comply with regulatory requirements, reduce overlap by multiple exam teams, and improve testing efficiency
  • Researched and led internal reviews into various business areas to drive improvements and devise new processes
  • Reviewed diverse organizational problems to assess concerns with areas such as workflows, communication, and cost controls
  • Documented research findings and prepared polished reports highlighting results and potential improvement strategies.
Compliance Analyst, 03/2007 - 09/2012
U.S Bank National Association City, STATE,
  • Conducted complaint reviews for U.S
  • Bancorp Investment, Inc., a broker- dealer, for cases that involved the sale of fixed and variable annuity and insurance products as well as trading of equity and fixed income securities
  • Performed investigations for improper conduct and violations of securities rules and regulations and U.S
  • Bancorp Investment, Inc
  • Policies
  • Enforced regulations by reviewing federal and state laws to confirm internal compliance
  • Expert in interpreting and reviewing securities law
  • Produced weekly and monthly reports detailing compliance findings and recommendations for improvements.
Education and Training
Bachelor of Science: Economics and Finance, Expected in 12/2014
Metropolitan State University - Saint Paul, MN
Status -
  • Securities Industry Registrations
  • Registered Investment Advisor Representative
  • Series 7 - General Securities Representative Examination
  • Series 24 - General Securities Principal
  • Series 53 - Municipal Securities Principal
  • Series 66 - Uniform Combined State Law Examination
  • Series 79 - Investment Banking Representative
  • Currently Studying for Financial Risk Manager (FRM) through GARP

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Resume Overview

School Attended

  • Metropolitan State University

Job Titles Held:

  • AVP Risk and Compliance Manager
  • AVP Quality Compliance Manager
  • Wealth Management Controls Manager
  • Compliance Analyst


  • Bachelor of Science

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