Experience

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  Td

  Aug 2010 - Dec 2011

  Ira consultant

  Used analytical skills, audited IRA/HSA source documents to ensure compliance with state and federal regulations.● Provided IRA/HSA expertise and support to the 1,300 branches network and customers as needed.

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  Charles schwab

  Jan 2012 - Jan 2024

  Drove product strategy, overall project business management, project goals, development of business requirements, and represented the business on projects within the Risk/Regulatory work stream.● Created consistency across the oversight processes within Personalized Investing products.● Identified operational or process gaps and suggested controls, with an ability to document decision making, drive efficient processes with procedures documentation.● Executed on key regulatory projects by partnering with internal stakeholders including sales, marketing, operations, legal, compliance, and supervision and controls.● Developed compelling, clear presentations for senior leadership that can be used to inform and influence.● Worked with Risk partners on RCSAs, risk analysis and assessments, new product reviews, control testing, and remediation plans.● Worked with development teams through SharePoint, JIRA, and Confluence to create consistent processes with built-in controls.● Created materials for council presentations, including but not limited to new products review and thematic oversight.● Owned the business documentation and review of corporate governance activities, such as Business Continuity Planning and corporate record review. Show less Served as point person on the integration of Move Money/Cashiering TD Ameritrade business/ procedures into Schwab.● Lead a team of subject matter experts responsible for training the 22 Regional Service Teams (RST) in Move Money/Cashiering, Transfers, New Account Opening, and Principal Reviews.● Maintained “Standard Work” and ensures updates are appropriately communicated to the RSTs.● Worked on Enterprise Level Projects as SMEs, based on new regulations/technology updates that would change procedures/standard work.● Oversaw testing of all updates to processing systems.● Communicated and interacted with high level managers and directors within all areas of the firm.● Worked directly with Risk, Legal, and Compliance on regulation changes that will affect RST procedures.● Developed and implemented operational standards, policies and procedures.● Conducted performance evaluations, compensations and hiring to maintain appropriate staffing requirements.● Provided strong leadership to enhance team productivity and morale. Show less Partnered with change and project management teams on an Institutional and Enterprise-wide level that affected the 22 Regional Service Teams.● Contributed project management capabilities and best practices, in order to help the department execute against major initiatives more effectively.● Worked directly with the QA/QC Team to test scenarios in the testing environment to ensure all issues are identified before each major systems release.● Worked directly with Risk, Legal, and Compliance on regulation changes that will affect procedures.● Led projects by coordinating schedules, organizing resources and delegating work to meet deliverable and timeline requirements.● Supported department leadership in implementing new policies, procedures and controls.● Identified areas in need of critical improvement and implemented strategies to achieve targets. Show less Supported audit, SOX testing, compliance testing, QA, and operational management.● Concluded on design and operating effectiveness of the function’s systems of internal control.● Assisted in preparing reports on the adequacy and effectiveness of systems of internal control to respective stakeholders.● Identified control gaps in processes, procedures and systems through in-depth research and assessment and suggested methods for improvement.● Created remediation plans with business units and worked follow-throughs to completion.● Followed established auditing processes to meet internal and regulatory requirements.● Planned audits and audit activities to allocate necessary resources and determine consistency of plans with audit objectives.● Interpreted state and federal laws, accepted auditing principles and procedures and program standards to audited materials and data to detect non-compliance and facilitate recommendations. Show less

  • Senior Manager Offer Management-Charles Schwab

    Feb 2022 - Jan 2024

  • Senior Manager-Operations

    May 2020 - Feb 2022

  • Senior Specialist- Process Confirmations & Escalations

    Nov 2018 - May 2020

  • Staff Auditor-Brokerage Operations

    Aug 2016 - Nov 2018

  • Retirement Account Services Consultant

    Jan 2012 - Aug 2016
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  Raymond james

  Aug 2024 - now

  Risk operations manager

  Leads a team of Analysts and Sr. Analysts who support divisional risk and control coverage across the Operations division including risk event reporting, issue management, root cause analysis, governance reporting, audit management, and RCSAs.Leads and/or supports the management of various audits and reviews impacting RJA Operations, including SOX/17a5, SOC1, FICCA, regulatory examinations, and various compliance control reviews.Manages the development of data requirements and implementation of consolidated control metrics for Operations.Assists in the development and implementation of core control standards across the Operations division. Show less