Gary Brooks MBA, MA, CRCM

Experience

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  MISSOURI REAL ESTATE COMMISSION

  Aug 1995 - Jul 1999

  EXAMINER/AUDITOR

  Audited residential and commercial brokers, property management firms, investors and land developers. Examined contracts, transactions, management agreements and leases; reconciled bank, escrow and trust accounts. Reviewed and analyzed financial statements, evaluated business practices and conducted interviews. Documented violations and generated reports identifying alleged violations. Delivered presentations on real estate regulations to community groups. Independently scheduled audit frequency and activities; worked with minimal supervision. Show less

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  BLAKE & DAVIS REALTORS/E. ROBB, INC

  Aug 1999 - Oct 2002

  OPERATIONS MANAGER/GENERAL MANAGER

  Co-managed $30 million residential real estate practice with “Top 10” St. Louis listing agent. Coordinated with sellers, colleagues, attorneys, inspectors, surveyors, lenders and title insurers to close deals. Marketed, listed, and sold properties, managed an active database of 100+ buyers and oversaw 3 licensed agents. Previously managed large residential real estate practice with 3 offices, 130 licensed agents, 15 support personnel and ±$200 million in annual sales. Recruited agents; oversaw licensing and continuing education requirements. Analyzed internal processes and procedures to identify potential cost savings and efficiency improvements. Audited sales transactions to assure complete documentation, mandated disclosures, accurate commission payouts and conformance to federal/state regulations. Assisted in training new agents and in educating experienced agents on changes in real estate law. Developed productive recruiting database. Show less

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  Truman Bank

  Nov 2002 - Dec 2004

  Compliance & Loan Review Offcr.

  Established formal compliance function for community bank with 2 branches, $500 million in assets and no internal audit or compliance process in place. Served as chief resource on compliance, operational and audit issues; implemented directives across all operational areas. Reported to President and Board of Directors.

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  American Equity Mortgage, Inc.

  Jan 2005 - Jul 2007

  Policy & Compliance Mgr.

  Established centralized compliance function and uniform, nationwide policies and procedures for the organization. Successfully managed up to 10 employees within various departments and functions. Chaired Policy & Compliance Committee comprising senior managers, executives and owner; advised on legal, compliance, documentation, loan type and disclosure issues. Raised awareness of potential conflicts of interest, risk and compliance issues awaiting business decisions.

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  BAI

  Feb 2008 - Jan 2009

  Compliance Product Mgr.

  Charged with ensuring the entire business unit’s on-line products (300+ training courses) were reflective of all current banking and credit union regulations and updated as necessary to convey the current regulatory environment. Functioned as the business unit’s internal compliance expert providing regulatory product support both internal and external to the organization.

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  FirsTech Payment Processing Solutions

  Jul 2009 - Jan 2010

  Manager, Agent Operations

  Successfully led the physical, operational, and human capital transition of the Electronic Payments Processing/ACH division of a 25 year old well established company in Central Illinois to a recently established second processing location in Clayton, Missouri. Worked in concert with the Vice President to establish goals, timelines, agendas, project plans, and resources necessary to accomplish tasks and successful movement of the department. Reported directly to the President and Vice President. Actively led the ACH/Electronic Payment Processing department. Show less

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  U.S. Bank

  Sept 2010 - now

  Vice President, Regulatory Review Manager/Business Line Compliance Manager

  -Lead, manage, and coordinate all regulatory and internal compliance requests related to Credit Card Collections and Recovery activities.-Manage and direct all internal/external audit requests & issues management for the business line, all emerging issues research, gap analysis and risk assessments. -Review, approve, and recommend corp. directed LMS training assignments for all 500+/- staff across 3 sites.-Oversee & provide regulatory, compliance, and risk guidance for and on behalf of the business line.-Identify and coordinate areas of process improvement resulting from audit activity and special projects; work with Operations Managers to develop processes, controls, and mitigate risk.-Direct and coordinate procedure/training material updates resulting from identified issues, audit findings, peer consent orders.-Lead, develop, and drive management responses and resolution plans and/or challenge audit findings resulting from 2nd, 3rd, and 4th Lines of Defense.-Lead and engage discussions as necessary with Corp. Compliance and the Law Division to resolve any risk, regulatory, and or compliance concerns around adherence to policy, practice, process. -Managed various departments and functions within the Business Line, upwards of 25-40 direct and indirect reports to include such areas as: Support, Elec. Pmts, Clerical, Mail Room, Phone Reps, Accounting & Analysis, Business Continuity Plans/Disaster Recovery, Complaints, Procedure Development and Training, 3rd Party Collections Agency Audit Control, Regulatory, and Issues Mgmt. Show less