Manager Quality Assurance

JON SHRUM

nd

**** *** * * **, Mill Creek, WA ***12 4 2 5 3 3 7 - 1 4 4 5 J R S h r u m @ c o m c a s t . n e t

Email Address

A & C E

UDIT OMPLIANCE XECUTIVE

Outstanding record in Internal Audit and Compliance working for “Fortune 100” companies. Expert in Audit Processes, Risk Management,

Regulatory Compliance, and Process Improvement. Proven ability to organize, solve problems, maximize resources and lead teams. Superior

project management skills to enhance efficiency while maintaining an independent and objective viewpoint towards the risks of an organization.

Extensive experience and knowledge of regulatory compliance including SOX, RESPA, ECOA, Fair Lending, HMDA, UDAP, and FDCPA. Key

skills include:

Talent Management/Succession Planning

Change Management Risk Management

Leadership Development

Project Management Process Enhancement

Performance Management

Six Sigma Green Belt Regulatory Compliance Knowledge

P E

ROFESSIONAL XPERIENCE

HSBC NORTH AMERICA 2004 - 2010

VP DEPARTMENT MANAGER - MORTGAGE SERVICES AUDIT AND COMPLIANCE GROUP BRANDON, FL (2009 – 2010)

Managed 18 Audit Specialists in the Voice Monitoring and Audit Department. Developed and implemented Voice Monitoring Programs to

comply with all Federal and State Regulatory requirements. Prepared and executed Audit Programs for Customer Service, Default Operations,

and Operations Support Departments to comply with all Internal and External Compliance requirements

• Partnered with Operations Management that reduced the Regulatory risks of the Default Services Unit of 400+ employees.

• Implemented comprehensive action plans that increased Manager compliance with Monitoring policies over 200 basis points and

increased overall Regulatory Compliance rates over 120 basis points.

• Audit Program implemented for Customer Service, Default Management, and Operations Support Departments significantly increased

compliance with Sarbanes-Oxley requirements.

• Identified significant risks from oversight in Default and Customer Service Management Audit requirements that eliminated potential

fines and restatement of Operational Results.

• Created inspirational development plans for a group of 18 Audit Specialist that resulted in improved efficiency metrics for the

Department.

VP SENIOR MANAGER - NW DIVISION, CONSUMER MORTGAGE AUDIT/COMPLIANCE DEPT, SEATTLE, WA (2008 – 2009)

Responsible for Regulatory and Operational compliance for 72 Branch Offices in 10 Western States. Collaborated with Sales Management and

managed six Audit Specialists to develop and implement action plans to ensure compliance with all State, Federal and Internal policy

requirements.

• Managed Division group of Audit Specialists to an overall Audit Quality rating of 99.02%. Ranked #1 in US Consumer Mortgage

Lending Divisions for 2008.

• Initiated training for process enhancements that improved Comprehensive Audit results. The Division exceeded goal and obtained a 98%

satisfactory rating on all audits.

• Created and implemented audit training processes ensuring compliance with all Federal and State Regulatory requirements. The Division

passed all State Regulatory audits with no major findings noted.

• Director of Regional Advisory Team that created and implemented a Feedback Process that provided important operational information

to Sales Management on Branch Audit Observations.

• Recognized as the #1 Audit and Compliance Manager in the U.S. for the first half 2008.

• Western Region Audit and Compliance Manager of the year 2008.

VP SENIOR MANAGER - WESTERN REGION COMPLIANCE EXCEPTION TEAM, SEATTLE, WA (2004 – 2007)

Created and completed audit exception reports that identified significant Regulatory exposure for the branch network in the Western Region.

Managed six Audit Specialists that performed reviews of exception reports for 16 Western States.

• Created a structure and process for Audit Exception Reporting that was implemented throughout all U.S. Operations.

• Leader of a Six Sigma team that developed audit worksheets for use by all U.S. Audit Specialists in completing comprehensive audits.

The worksheets created a standard process for recording and reporting audit results for U.S. Operations.

• Collaborated with the Learning and Development Group to create a Facilitation Workshop for Quality Assurance Managers and

Specialists to develop skills for training presentations, meetings, and workshops. The Workshop was implemented nationwide.

• Created audit training process and monitoring plan that was responsible for the successful Offshore migration of Exception Report

monitoring to India

• Western Region Leadership Award winner 2004, 2006

HOUSEHOLD INTERNATIONAL CORPORATION 1997 - 2004

AVP– MANAGER AUDIT/COMPLIANCE, NW DIVISION, CONSUMER COMPLIANCE GROUP, SEATTLE, WA (1999 – 2004)

Responsible for the Regulatory compliance of WA, OR and Northern CA branch offices. Recruited, trained, and managed a team of five

Audit Specialist to ensure that Branch Operations Management was completing all internal and external audit requirements.

• Implemented training and audit processes that resulted in the Division ranked #1 in the Region for Quality Results.

• Western Region Leadership Award winner 2003

AVP–MANAGER WESTERN REGION QUALITY ASSURANCE AND COMPLIANCE, ELMHURST, IL (1997 – 1999)

Created the Quality Assurance and Compliance Department for the Household Finance Branch Network of 1,500 offices. Responsibility

included the management of 15 Quality Compliance Managers for 23 States. Created the training program for the Quality Assurance

Managers throughout the Department.

• Planned and executed the start of the Quality Assurance and Compliance Department. The rollout included the successful recruiting and

hiring of 28 Compliance Managers for U.S. Branch Operations.

• Managed the successful completion of the first Branch Audit Plan for the company. The branch audits results identified significant

regulatory exposure. The risk was mitigated by collaborating with Branch Operations management to implement audit requirements that

resulted in significant reductions in regulatory examination findings.

R E

ELEVANT XPERIENCE

HOUSEHOLD FINANCE CONSUMER FINANCE AND MORTGAGE SALES GROUP

ASSISTANT TO DIVISION GENERAL MANAGER, BELLEVUE, WA

Assisted the General Manager in Sales Management of 75 Branch Division in 7 Western States

• Created and Implemented the Sales Metrics Measurement and Performance Tracking for the Division that increased sales by 25%

DISTRICT SALES MANAGER, BELLEVUE, WA

Managed Operations for 10 Branch Office District in the Seattle Metro Market

• Improved market share by 15%

BRANCH SALES MANAGER, OR, CA, WA

Consistently promoted to larger Branch Offices – Responsible for $2 Million up to $60 Million in Receivables. Managed Consumer and Mortgage

Sales, Collections, and Servicing for 5 Branch Offices in 3 Western States

E DUCATION

Bachelor of Science, Major: Business Administration, Minor: Computer Science, Oregon State University, Corvallis, OR

P A

HILANTHROPIC CTIVITIES

NORTHWEST DIVISION COORDINATOR OF PHILANTHROPIC ACTIVITIES - 2008- 2009

• Developed and coordinated Philanthropic Programs for over 70 branch offices. The successful program launch resulted in

more than 300 employees volunteering over 5,000 man-hours for various Charity and Environmental Programs

C ERTIFICATIONS

• Six Sigma Green Belt

• Dale Carnegie: Public Speaking

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