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Senior Vice President, Compliance Manager Resume Example

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SENIOR VICE PRESIDENT, COMPLIANCE MANAGER
Experience
11/2015 to Current
Senior Vice President, Compliance Manager
  • Lead a team of compliance professionals tasked with 2nd line of defense support of business unit initiatives and risk assessments/mitigation efforts.
  • Responsible for strategic plan and administration to create strong second line of defense compliance program.
  • Successes include: Elimination of duplicative reporting and creation of new comprehensive executive reporting of 1st line compliance risks and outstanding issues for remediation Overall improvement of line management of past due compliance issues for remediation Improved complaint analysis and reporting to provide meaningful data and recommendations to executive management Efficiency improvements through consolidation of work efforts, automated workflows and centralized document repository.
03/2012 to 11/2015
Senior Vice President
  • Lead a 95 member team responsible for straight through processing and monitoring of commercial credit products for companies with revenues from $1MM to $25MM.
  • Responsible for ensuring all credits are approved, documented and funded according to bank policy and procedures as well as all regulatory compliance requirements.
  • Improved efficiency ratio by 3% due to design and implementation of centralization.
  • Supported new production of $2-3B annually in commercial loans to small businesses and managed portfolio management and covenant monitoring of $3.5B portfolio.
03/2006 to 03/2012
Vice President, Operations ManagerCity, State
  • Responsible for centralization of support functions for the lending teams working with companies with annual revenues of $10MM to $50MM Developed and implemented workflows and procedures to support consistency and credit risk management Implemented imaging software to reduce data entry of customer financial information Improved audit results of the field offices from 57% to 100% generally sat or satisfactory Decreased covenant violations by 40% by creating a process to manage reporting due from borrowers Managed move from paper to electronic files and facilitated first online FDIC review of the business banking credits.
10/2004 to Current
Company Name
  • A commercial bank headquartered in San Francisco, CA with over $62 billion in assets.
  • Bank of The West is a high-performance, full service regional financial services company with more than 700 commercial and retail banking locations.
10/2004 to 03/2006
Vice President, Construction Lending Officer
  • Managed a portfolio of $20MM in construction loans to local residential builders.
  • Improved inspection and draw process to reduce risk of financial loss to the bank.
  • Met annual production goal of $3MM in 2005.
02/2004 to 03/2006
Office ManagerCompany Name － City, State
  • Responsible for new origination and management of the entire consumer residential construction portfolio.
  • Managed 6 employees responsible for all processing aspects of construction lending from submission to closing including funding draws to subcontractors.
  • Managed completion of REO properties under construction.
12/1998 to 10/2004
Company Name
  • A locally owned savings bank headquartered in Kansas City MO with over $1 billion in assets and specializing in residential and commercial construction lending as well as home mortgages.
Education
Bachelor of Business AdministrationBaker University － CityMagna Cum Laude
August 2014
Pacific Coast Banking School － City, StateGraduated with honors
Skills
banking, closing, commercial loans, CA, draw, credit, credit risk, data entry, executive management, financial, imaging, inspection, regulatory compliance, reporting, retail, San, sat, strategic
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Resume Overview

School Attended

  • Baker University
  • Pacific Coast Banking School

Job Titles Held:

  • Senior Vice President, Compliance Manager
  • Senior Vice President
  • Vice President, Operations Manager
  • Vice President, Construction Lending Officer
  • Office Manager

Degrees

  • Bachelor of Business Administration

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