At Wells Fargo & Company, I led enterprise RCSA engagements in Consumer Lending, translating regulatory and policy requirements into actionable controls and operational procedures. Those engagements sustained 89–95% control effectiveness.
I consolidated Relationship Management and Marketing into a newly established Risk Assessable Unit, aligning risk and control coverage. I also reviewed more than 120 control procedures across four units against Internal Control Policy guidelines ahead of internal audit review.
Earlier at Wells Fargo & Company, I evaluated control design and operating effectiveness in Consumer Small Business Banking, completing all scheduled control-test engagements on time. In Wealth & Investment Management, my independent compliance testing helped reduce compliance gaps by 30%.
My experience also includes compliance testing and federal tax filings for institutional retirement plans, quality assurance, and legal and estate operations. I’ve worked across First and Second Line of Defense risk functions in financial services.
