Lead Control Management Officer, VP - Wells Fargo Bank, N.A. - Remote
(2018-11 - 2025-09)
Provided risk and control leadership by partnering with business stakeholders to identify, assess, and mitigate operational risks, strengthened control frameworks, and enhanced business process management data quality. Partnered across the enterprise to ensure alignment with regulatory and industry best practices.
- Provided strategic guidance on risk identification, measurement, and mitigation. Developed and refined control management programs that aligned with enterprise risk tolerance and business objectives.
- Directed the execution of all front line risk program components including RCSA, control assurance, issues management, third party risk, and regulatory compliance reviews.
- Acted as a trusted advisor to leadership and provided guidance on control design, operational risks, documentation and automation during process mapping.
- Partnered with internal audit, compliance, and regulatory agencies during reviews, ensure audit readiness and documentation accuracy.
- Developed and monitored Key Risk Indicators (KRIs), delivering actionable insights and trend analyses to mitigate emerging risks.
- Successfully facilitated monthly RCSA workshops for Commercial lines of business, resulting in passing review outcomes.
- Escalated critical risks and collaborated with stakeholders to implement sustainable corrective actions and issue remediation strategies.
- Created and presented executive level risk reports and dashboards for senior management and governance committees.
Operational Risk Consultant – IT Sox Analyst - Wells Fargo Bank, N.A. - Remote
(2016-03 - 2018-11)
Supported IT SOX compliance by testing controls, validating financial data accuracy, and developing reporting solutions to strengthen operational risk management.
- Performed IT COSO financial forecasting and performance against goals.
- Developed and distributed reports and dashboards for internal metrics.
- Maintained financial data in various tools/systems and validated the accuracy.
- Created test scripts and performed user access testing for system enhancements.
- Maintained system of record SHRP with quarterly changes to ITGC and application controls, test plans, test results and all related documentation including but not limited to flow diagrams and process narratives.
- Provided Change Management Training to new team members as needed.
- Created and ran various exception reports in SHRP and performed reconciliations to identify control discrepancies.
- Created and maintained Coordination team process documentation.
Operational Risk Consultant - Wells Fargo Bank, N.A.
(2013-01 - 2016-03)
Executed risk assessments, control testing, and policy reviews to ensure compliance, mitigate operational risks, and strengthen internal control environments across Dealer Services and related business lines.
- Implemented testing methodologies and evaluated adequacy and effectiveness of policies and procedures, processes, initiatives and internal controls for lines of business within Dealer Services.
- Identified operational risk issues and advised management on risk ratings and evaluated ratings against established policy standards.
- Validated Corrective Action Validations as a result of audit findings for lines of business within Dealer Services and Direct Auto to ensure audit requirements have been implemented.
- Performed corporate required Major Policy Reviews for lines of business within Dealer Services and Direct Auto to ensure policy requirements are adhered to. Provided oversight for Reliable Major Policy Reviews.
- Completed annual risk assessments for major policy requirements to review accuracy on controls and risks.
- Designed and executed control assurance test plans, and evaluated financial controls to ensure accuracy and SOX requirements were met.
- Performed Test Script review for Dealer Services, Direct Auto, Warranty Services, Strategic Auto, and Commercial Dealer Services and made applicable updates to align with CCS requirements.
- Performed internal COR Process reviews including creating process flows and narratives to outline team functions.
- Performed state contract reviews and parameter changes to ensure compliance with state regulatory changes.
Loan Servicing Specialist 4 - Wells Fargo Bank, N.A.
(2011-06 - 2013-01)
Supported Commercial Dealer services by servicing commercial loan products such as floorplan, line of credit, and term loans including real estate and construction.
- Worked closely with Sales, Service and Risk teams by providing support to ensure dealer account accuracy.
- Researched and resolved discrepancies with Dealer Services Accounting and Finance general ledger entries.
- Processed loan disbursements and daily clearing.
- Performed Quality Assurance reviews on all non-floorplan transactions to ensure accuracy and minimize negative client impact.
- Served as subject matter expert for non-floorplan system of record and trained team members on applicable processes.
- Created and maintained Non-floorplan procedure edits.
