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executive vice president chief risk compliance hr officer ceo resume example with 19+ years of experience

Jessica Claire
  • , , 609 Johnson Ave., 49204, Tulsa, OK 100 Montgomery St. 10th Floor
  • Home: (555) 432-1000
  • Cell:
  • resumesample@example.com
Summary

Twenty-three years of bank compliance risk management and internal audit experience working in high-risk and heavily regulated areas. Achievement oriented business professional with experience in Anti-Money Laundering (AML), Bank Secrecy Act (BSA), Consumer & Business Compliance, Community Reinvestment Act (CRA), GLBA privacy requirements, operational audits which include assessing risk. Excellent verbal and written communication skills. Excellent interpersonal skills and works well independently and in teams. Adaptive to working in complex and changing environments. Fosters and promotes a positive image and professional appearance. Diligent Executive Vice President with talents in project management and risk management. Friendly and organized with excellent decision-making skills. Adept at managing all phases of a project's life cycle. Highly strategic and motivated Executive Vice President with progressive career history in [Area of expertise]. Offering exceptional leadership and management skills with proven ability to build trust and communicate effectively across all levels of organization. Adept at partnering with boards of directors and C-suite executives to develop and execute strategic business plans that achieve key objectives. Experienced compliance professional familiar with developing policies, leading training programs and managing reporting. Well-coordinated and methodical with exceptional verbal and written communication skills. Seeking fast-paced position with [Company].

Skills
  • Microsoft Excel, Microsoft Word, Windows, PowerPoint, Visio and Outlook
  • Administrative
  • Analyst
  • Agency
  • Disaster Recovery
  • Due diligence
  • Hiring
  • Human Resources
  • HR
  • Information Security
  • Leadership
  • Director
  • Microsoft Excel
  • Money
  • Outlook
  • PowerPoint
  • Windows
  • Microsoft Word
  • Payroll
  • Personnel
  • Policies
  • Processes
  • Reporting
  • Risk assessment
  • Risk management
  • Safety
  • Sarbanes Oxley
  • Strategic
  • Tax
  • Visio
  • Controls systems enhancement
  • Recruiting and hiring top talent
  • Operations oversight
  • Leadership training
  • Mergers & acquisitions
  • Regulatory compliance
  • Shareholder accountability
  • Relationship management
  • Business alliances
  • Organizational leadership
  • Ability to manage tactfully
  • Corporate leadership
  • Program leadership
  • Leadership experience
  • Executive leadership
  • Policy updates
  • Strategic planning
Experience
Executive Vice President, Chief Risk /Compliance HR Officer, CEO, 12/2010 to Current
Pacific Mercantile BankCity, STATE,
  • Corporate.
  • Manage and administer the Bank’s overall Risk, Compliance, Bank Secrecy Act (BSA), Community Reinvestment Act and Security Program functions to ensure that all applicable related regulations are complied with in all respects.
  • Liaison/ Chair and report to the Audit/ERM Committee of the Board of Director.
  • Responsible for the coordination of Safety and Soundness, compliance and SBA examination with the federal and state regulatory agencies.
  • Evaluates existence of processes and procedures to identify, analyze, anticipate and react to material risk indicators.
  • Makes recommendations as to modification to the system of internal controls and risk processes and procedures.
  • Responsible for the coordination, management and oversight of all internal and external audits.
  • Oversees the development of the Bank’s risk self-assessment process, reviews self-assessment findings, and recommends corrective action.
  • Monitor staff compliance with regulations based on a compliance audit plan approved by the Audit/Compliance Committee.
  • Provide training to staff and management to understand the regulations and the importance of compliance; test knowledge of same.
  • Educates and trains leadership, staff and business associates as to the risk management program, and their respective responsibilities in carrying out the risk management program.
  • Develop and update compliance risk assessments by assessing the relevant consumer and commercial compliance-related risks, including where appropriate, assessing the risks posed by Bank customers, products, services and transactions/processes.
  • Member of ALCO, Director’s Loan Committee, Management Executive Committee, IT Steering Committee and 401K Committee.
  • Supervised staff of up to eight compliance, operations, CRA/HMDA, and BSA personnel.
  • Bank’s liaison with the federal and state regulatory agencies, Report to the Human Resources & Compensation and, , Serve as Interim CHRO overseeing the HR generalist and Payroll functions, partnered with the senior leadership to resolve obstacles and/or people issues to enable the Bank to stay on course and meet strategic obje4ctives.
  • Provide leadership, counsel and guidance to the Compensation Committee of the Board.
  • Serves as liaison on the 401k Plan Committee and oversee 401k reviews and audits.
  • Negotiate various employee severance and settlement and assisted Banks with employee transition and outplacement.
  • Conduct due diligence, sourced and selected third-party background check company currently being used.
  • Assisted in the development of the Bank’s hiring criteria.
  • Worked closely with the development of the Bank’s compensation risk assessment and Executive scorecards.
  • Manage and administer the Bank’s performance evaluation process.
  • Review and update of the Bank’s Code of Ethic and Employee Handbook.
  • Assisted with and conducted various employee investigations.
  • Instrumental in the planning of company related employee functions.
Vice President, Compliance & BSA Manager, 11/2005 to 01/2011
California Bank & TrustCity, STATE,
  • Corporate Compliance.
  • Develop, design, administer and manage the Bank’s Compliance, Bank Secrecy Act (BSA), Community Reinvestment Act and Security programs to ensure that all consumer related regulations are complied with in all respects.
  • Chair and report to the Compliance Committee of the Board of Directors and to the EVP, Director of Compliance.
  • Responsible for the coordination of compliance examination with the federal and state regulatory agencies.
  • Monitor staff compliance with regulations based on a compliance audit plan approved by the Compliance Committee.
  • Provide training to staff and management to understand the regulations and the importance of compliance; test knowledge of same.
  • Responsible for the distribution of new regulations or changes thereto and assist departments with incorporating these regulations into policies and procedures.
  • Responsible for the review of all new policies and procedures to ensure corporate compliance to include, but not limited to the Bank’s compliance with applicable laws and regulations.
  • Responsible for the administration of the Bank’s Bank Secrecy Act (BSA) and Anti-money Laundering programs.
  • Develop and administer the Bank’s Gramm-Leach-Bliley Act Information Security Program.
  • Supervised staff of up to fourteen compliance and BSA personnel.
  • MAJOR ACCOMPLISHMENT.
  • Created a regulatory compliance-minded posture within the Bank as it relates to business and consumer compliance.
  • Successfully negotiated a reduction in CMP restitution with the Bank’s primary regulatory agency.
  • Created and implemented a company-wide compliance training plan.
Vice President, Compliance/BSA Officer/CRA and Security Manager, 08/2001 to 11/2005
Imperial Capital BankCity, STATE,
  • Corporate Compliance.
  • Develop, design, administer and manage the Bank’s Compliance, Community Reinvestment Act, Security and Disaster Recovery programs to ensure that all consumer related regulations are complied with in all respects.
  • Chair and report to the Compliance Committee of the Board of Directors and to the General Counsel administrative functions.
  • Responsible for the coordination of compliance examination with the federal and state regulatory agencies.
  • Monitor staff compliance with regulations based on a compliance audit plan approved by the Compliance Committee.
  • Provide training to staff and management to understand the regulations and the importance of compliance; test knowledge of same.
  • Responsible for the distribution of new regulations or changes thereto and assist departments with incorporating these regulations into policies and procedures.
  • Responsible for the review of all new policies and procedures to ensure corporate compliance to include, but not limited to, the Bank’s compliance with applicable laws and regulations.
  • Responsible for the administration of the Bank’s Bank Secrecy Act (BSA) and Anti-money Laundering programs.
  • Designated and Board approved BSA Officer.
  • Develop and administer the Bank’s Gramm-Leach-Bliley Act Information Security Program.
  • Assist with the administration of the Bank’s Sarbanes Oxley compliance program.
  • Create, manage and administer the Bank’s compliance program for its Refund Anticipation Loan partnership with Household/HSBC.
  • Serve on the Bank’s Information Steering and Safety Committee.
  • Manage the compliance function for the Bank’s Single Family Residential (SFR) program offered nationwide.
  • Responsible for the administration of the Bank’s HMDA reporting.
  • Supervised a staff of up to eight compliance and BSA analyst.
  • The Bank was placed under a Board Resolution for consumer compliance related issues and my primary responsibility was to assist the Bank in removing that letter of agreement.
  • The letter of agreement was removed after nine months of my employment.
  • Created and successful implemented a nationwide tax compliance program for ERO agents.
  • Achieved an Outstanding Community Investment Act (CRA) rating for the first time in the Bank’s history.
MAJOR ACCOMPLISHMENT, to
, ,
  • Assist the Bank is addressing regulatory mandates.
  • Created and implemented a company-wide Mortgage Compliance Plan.
  • Assist the Bank in successfully removing several enforcement action.
  • Received the Bank’s first President’s Award for outstanding work.
Education and Training
American Bankers Association: , Expected in 2004
National Compliance School - ,
GPA:
Graduate: , Expected in
Pacific Coast Banking School University of Southern California - Los Angeles, CA
GPA:
MBA Degree: , Expected in
- ,
GPA:
BS Degree: , Expected in
University of Redlands - Redlands, California
GPA:
Business Courses: , Expected in
California State University - Los Angeles, California
GPA:
AA Degree: , Expected in
Pasadena City College, Loyola Marymount University - Pasadena, California
GPA:
CONTINUING EDUCATION: , Expected in
- ,
GPA:
Activities and Honors
Board Member – Vice Present – AOJAH Board Member – Wiley Center Former Advisory Board Member - Central City Lutheran Mission, San Bernardino Former Board Member - Juvenile Diabetes Foundation, Los Angeles Chapter Former Advisory Board Member - Bethlehem Temple Economic Development Former Board Member - USC Summer Leadership Program

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Resume Overview

School Attended

  • National Compliance School
  • Pacific Coast Banking School University of Southern California
  • University of Redlands
  • California State University
  • Pasadena City College, Loyola Marymount University

Job Titles Held:

  • Executive Vice President, Chief Risk /Compliance HR Officer, CEO
  • Vice President, Compliance & BSA Manager
  • Vice President, Compliance/BSA Officer/CRA and Security Manager
  • MAJOR ACCOMPLISHMENT

Degrees

  • American Bankers Association
  • Graduate
  • MBA Degree
  • BS Degree
  • Business Courses
  • AA Degree
  • CONTINUING EDUCATION

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