Tamika Fleming, CFE, CAMS, CFIRS

20+ years building and leading risk, compliance, and financial crimes programs across global banks, Big Four advisory firms, and SEC-registered investment advisers. Now delivering that institutional expertise as a fractional principal — bringing C-suite-caliber counsel to RIA firms without the overhead of a full-time hire.

Founder & Managing Principal Consultant at Pree Quinn LLC (2025-01 – Present)

• Serve as fractional CCO for SEC-registered investment advisers, overseeing end-to-end compliance program design, implementation, and ongoing oversight
• Lead annual compliance program reviews under Rule 206(4)-7; develop and maintain policies and procedures, Code of Ethics oversight, and Form ADV filing support for clients with AUM exceeding $2B+
• Provide BSA/AML audit support and consent order remediation for G-SIB financial institutions, including direct regulatory liaison and examination support

SVP, Audit Managing Director – Financial Crimes Compliance | Senior Governance Control Officer at Truist Bank (2022-01 – 2025-01)

• Led comprehensive audit engagements across financial crimes, corporate security, fraud, and enterprise compliance; served as primary regulatory liaison during examinations
• Oversaw enterprise risk framework and internal controls; drove regulatory risk mitigation at scale
• Prepared audit committee reporting on financial crimes findings and actionable risk recommendations

Director, Internal Audit at Mitsubishi UFJ Financial Group (MUFG) (2019-01 – 2022-01)

• Primary AML SME for Financial Crimes across the Americas; led BSA/AML Consent Order efforts and regulatory examination engagements
• Managed 15-person team across international risk and control evaluation

MS in Organizational Leadership – Cardinal Stritch University

BBA in Accounting – University of Wisconsin-Milwaukee