BSA-AML Examiner School Case Study eBook

• Created Key Risk Indicators (KRI), Key Performance Indicators (KPI) and Key Surveillance Points (KSP) across all coverage areas, and internal QA Program Team. • Managed a remote, multi-layer team of Associates and Analysts and monitored an inventory of over 250 ongoing QA reviews • Identified opportunities for process and control enhancements; outlined solutions to mitigate risk and ensure overall functional effectiveness • Provided subject matter guidance for all applicable Regulations, including but not limited to: Privacy, Reg CC, Reg E, BSA/AML, OFAC, Flood, Reg Z • Examined Business Unit functions for alignment to Regulatory, Compliance, Risk, and Legal expectations • Created and distributed dashboard reporting of ongoing trend analysis for Senior and Executive management review • Cultivated critical partnerships with Business Unit leaders, Executive Management and Internal Audit 3/19-2/20 Vice President Sr. Controls & Governance Leader • Advised and acted as Subject Matter Expert for assigned Business Units and relative processes and regulations • Led and guided Business Units in completing annual Risk Assessments and control plan analysis • Performed monitoring activities related to Bank's policies, programs and applicable regulations, including but not limited to testing, and referred back outputs for further remediation, reported and communicated results to various stakeholders • Provided reporting for monitoring and program activities • Monitored and tracked recommendations for enhancements to policies, processes, procedures or controls from external examinations, internal audits or compliance testing • Supported or otherwise provided subject matter guidance to implement changes to polices, processes, procedures or controls • Supported projects or ongoing control process or continuous monitoring process related to controls that ensure compliance with one or more regulatory requirements • Supported and prepared documentation/responses for interactions with external examiners and coordinated with internal audit and Corporate Compliance Testing within position’s area of focus 2/16-present Assistant Vice President Compliance Officer, Policy Management • Managed and enhanced the Enterprise Compliance Policy Management Process to ensure efficiency, transparency, and consistency • Assisted with updating of Enterprise Level Policies, and ensured consistency with various content elements • Managed, tracked and reported ongoing efforts for bank alignment to Compliance-related Group and IHC procedures from various domains • Responsible for providing information and analysis to assist in overall assessment of Compliance Group and IHC procedures, determining domain of ownership, and issuing communication of request to align • Managed the gathering, tracking and reporting of all exceptions and exemptions related to Enterprise Level Compliance policies, procedures, standards and programs Bank NORTH Bank North

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