An accomplished, results-driven, and solutions-focused professional with strengths in analysis and project management. Proactive leader with knowledge and experience of compliance with over twenty years’ experience in the financial industry. Adept at managing concurrent objectives to promote efficiency and influence positive outcomes.
Skills
Business analysis
Project management
Change management
Product development
Human Resources
Risk assessment
Software testing
Risk mitigation
Project organization
Process improvement
Problem resolution
Experience
BU Risk & Controls, Compliance Director, 12/2018 to Current TIAA – City, STATE,
Responsible for the implementation, maintenance, and administration of the HR-wide compliance program to ensure adherence with internal policies and federal, state laws and regulations.
Provide regulatory and compliance oversight of Human Resource functions, while identifying high-risk areas and monitoring internal controls and mitigation strategies.
Designed and manage a regulatory change management process in collaboration with Legal and the Corporate Compliance to analyze regulatory changes for applicability and identify potential impacts to HR processes and procedures.
Provide program management oversight of systemic and/or procedural changes necessary to comply with new or changes to existing regulations, including pay equity laws and data privacy legislation such as GDPR and CCPA.
Prepare an executive-level compliance dashboard providing metrics, compliance monitoring results, and upcoming milestones to demonstrate overall compliance health within HR.
Conduct compliance risk assessments of HR functions to identify and minimize potential risk exposure.
Project Manager III, Human Resources, 11/2016 to Current TIAA – City, STATE,
Supported merger and integration activities of nine HR workstreams associated with the acquisition of EverBank.
Managed executive-level program level documentation associated with the execution of merger and integration activities including the HR Program Charter, Business Case, Risk Assessment and monthly action plan.
Developed the change management strategy for cost estimates, scope and resource changes, schedule updates, and communication and training needs.
Created and managed full-scale project plans including defining project milestones. establishing timelines for integral phases, and handling continuous project monitoring while developing forecasts and tracking expenses.
Assessed project risks and led a team of project managers to devise mitigation strategies with consideration of maintaining vital business functions.
Facilitated discovery sessions to identify target operating models, workstream dependencies, and implementation timelines for the Benefits, HRIS, Payroll and Talent Acquisition work streams.
Project Manager III, Consumer Lending Strategy, 01/2014 to 11/2016 TIAA – City, STATE,
Supported Home Lending initiatives associated with product development, compliance adherence, and new system implementations.
Provided project management and business analyst expertise while supporting the home lending sales originations, underwriting and operations teams.
Managed all aspects of projects, facilitating full project lifecycle planning and tracking of milestones, tasks, resources and timelines.
Provided status updates to leadership and executive team members.
Fulfilled the roles of the FHA Application Coordinator, VA Lending Coordinator and NMLS Account Administrator for TIAA, FSB by staying abreast of agency changes, coordinating Lender Functions for FHA and VA, completing FHA and VA Annual Recertification and maintaining Institutional information and annual renewal of TIAA, FSB’s NMLS account.
Implemented annual compliance risk assessment to ensure compliance with OCC requirements by conducting interviews and reviews of business areas to understand current state and create gap analysis of deficient business processes.
Operationalized contracts with third-party vendors, which included an in-depth analysis and understanding of contracts, creating a traceability matrix of contract requirements to show the relationship to business processes and implementing new quarterly audit procedures, monthly financial reconciliation processes and business capabilities.
Elicited and documented business requirements, risks and priorities to create clear business, functional and non-functional requirement artifacts.
Created current/target state process flows, performed impact analysis to identify system and process gaps, and documented data requirements while identifying data anomalies.
Created test scenarios and conducted user acceptance testing of software changes.
Senior Consultant, TIAA-CREF, 03/2013 to 02/2014 Carlisle And Gallagher Consulting Group – City, STATE,
Supported strategic initiative to establish an in-house home lending call center and supported home lending initiatives for product development.
Evaluated staffing needs and created job descriptions to support talent acquisition of loan officers and sales center management, created a performance management scorecard and identified facility requirements.
Created specification artifacts and documented processes and procedures.
Led effort to operationalize regulatory requirements for federally registered loan officers, including creation of hiring standards and business procedures to ensure compliance with the SAFE Act of 2008.
Managed cross-functional teams to expand product offering within the lending space to include government-insured products.
Responsibilities included leading discovery sessions, identification and implementation of business procedures to ensure compliance with HUD requirements and establishing yearly renewal processes.
Education and Training
Master of Business Law and Compliance: , Expected in 2020 Wake Forest University School of Law - Winston-Salem, NC, GPA:
Bachelor of Arts: English, Expected in 1992 University of North Carolina - Charlotte NC, GPA:
Certifications
CTFL, International Software Testing Qualifications Board, Certified Tester Foundation Level
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