Transformative leader with over 15 years of financial industry experience skilled in the areas of Enterprise Risk Management and securities compliance. Proven ability to build relationships with key stakeholders to support and foster a compliant and risk-minded culture. Experience in developing oversight programs and expertise in overseeing the creation of risk and compliance policies and procedures, risk assessments, and remediation of risk exposure within 3LOD operating models.
Skills
Executive Leadership
Enterprise Risk Management
Securities Compliance
Board Deliverables
Policy & Procedure Development
Issue Management & Controls
Regulator Exam Experience
Supervision & Surveillance
Sales Practice Oversight
Risk Assessments (RCSA)
ORM Standards
FINRA 3110, 3120, 3130
Education
University of Arizona - Eller College of ManagementTucson, AZExpected in ā āMaster of Business Administration: - GPA:
Executive MBA program
Arizona State UniversityTempe, AZExpected in ā āBachelor of Arts:Interdisciplinary Studies - Concentrations: Business & History - GPA:
Developed, from the ground up, the Risk and Quality Oversight program for Morgan Stanley's Service Relationship Teams comprised of over 30 analysts
Sphere of influence contributed to USAA LIFECO meeting Manager Identified Issue (MII) risk metric goal of 70% for 1LOD in 2020
Co-coordinated Key Risk Indicator (KRI) program for USAA LIFECO in 2021 (Risks: Principal = 5, Tier 1 = 10, Tier 2 = 19; KRI's = 21)
Identified operational risk related to gap in documentation resources that impacted over 400 USAA Financial Advisors. Remediated within budget and ahead of SLO
Supervised the establishment of 7 desktop procedures that outlined the ongoing monitoring, governance, and control testing of the disclosure environment for both USAA IMCO & LIFECO
Relevant Work History
USAA National Supervision & Controls - Executive Director - Head of Risk and Quality , , Gilbert, AZ04/2022 - Current
Oversee Risk and Quality Oversight program for all the Service Relationship Teams
Work closely with organizational leadership and operating committee to strategically affect operational direction
Exercise appropriate cost control to meet budget restrictions and maximize profitability
Drive strategic improvements to enhance operational and organizational efficiencies
USAA Investment Management Company - Director - Risk Mitigation , , Phoenix, AZ07/2015 - 04/2022
Influenced appropriate risk management prioritization on front lines to promote strategic objectives while meeting Enterprise Risk Management program expectations
Unit's risk mitigation plan effectively reduced or eliminated 100% of the prioritized risks for our division every year under my leadership (7yrs)
Coordinated the maintenance and process improvements of 23 IMCO Written Supervisory Procedures (WSPs)
My team was responsible for risk and issue management oversight of 5 business segments (Mutual Fund, Brokerage, Managed Accounts, Life Insurance, Annuity)
Assisted with examination responses on issues identified by regulators, compliance, and audit (MRA's, MRIA's)
USAA Investment Management Company - Manager - Mass Affluent , , Phoenix, AZ07/2011 - 07/2015
Led a tenured team of 12 Wealth Advisors to be recognized as the top performing team in 2012 and 2014 (out of 19 teams)
Successfully promoted 5 advisors into Wealth Management and 2 into leadership roles
Functioned as the Mass Affluent segment's compliance and risk SME
Assisted in the annual Risk Control Self Assessment (RCSA) refresh
Conducted supervision requirements as outlined in the WSPs
Fulfilled the responsibilities of a securities principal
USAA Investment Management Company - Manager - Mass Market , , Phoenix, AZ08/2010 - 07/2011
Built and led a high performing team of 14 Financial Advisors responsible for helping members through insightful and actionable advice
Successfully promoted 2 advisors into Mass Affluent, 1 into Wealth Management and 1 into leadership roles
Team was recognized as top performing in 1st and 2nd qtr 2011 (out of 15 teams)
Conducted supervision requirements as outlined in the WSPs
Fulfilled the responsibilities of a securities principal
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Resume Overview
School Attended
University of Arizona - Eller College of Management