Oversaw of ethics and compliance program including Helpline investigation. Oversaw of enterprise compliance information system and ethics & compliance education and training system. Managed licensing operations for commercial and consumer lending operations. Managed compliance personnel work assignments, daily decision making (e.g. recruitment input, training, assignment of projects) and goal setting, and performance evaluations for direct reports. Implemented and maintained company-wide reporting system to facilitate disclosure of violations of code of conduct, law and/or policy and procedure. Lead on annual compliance risk management initiatives. Subject Matter Expertise: Federal (OFAC, US Patriot Act, Bank Secrecy, etc.) and State Law (50 state lending, collection, and insurance laws). Member of Textron Inc. Ethics & Compliance Working Group. Advisor to Steering Committee. Accomplishments:
- Successfully lead organization through more than twenty (20) annual external regulatory license examinations and audits for licenses covering residential and commercial lending activities, insurance and debt collections.
- Effectively maintained several hundred lending, insurance and collection agency licenses issued by regulatory bodies across throughout the United States and other countries and foreign regions.
- Maintained licensing and corporate governance processes for more fifty (50) independent corporate entities.
- Formalized enterprise policy (Know Your Customer (KYC), Customer Identification Program (CIP)) to ensure systems and processes meet regulatory requirements.
- Developed, implemented and managed annual enterprise risk assessment and the organization action plan to address enterprise risks.
- Successfully organized and planned quarterly Steering Committee meetings and reporting from various business units domestic and international.
- Redesigned several enterprise Compliance processes.