Management Manager

LISA K. KING, CRCM, CCBCO, CCBIA

**** ******** **** *****, ******** OH 43213

614-***-****, **********@*****.***

SUMMARY

Strategic, Professionally Certified, Results-Driven Compliance and Risk Management Executive with

more than 13 years of superior accomplishments in the program design, implementation and senior-level

management of highly successful risk assessment and compliance program strategies.

COMPETENCIES INCLUDE

• Building diverse leadership teams and collaborative relationships

• Translating vision and strategy into clear actionable goals

• Driving consistent process improvement initiatives; building client needs into simple solutions

• Influencing with impact, with a reputation of effectively communicating technical information at all

levels

• Above and beyond commitment to reaching company objectives

ACCOMPLISHMENTS

• Transformed 4-person transactional compliance group into a dynamic multi-level Risk Assessment

and Compliance Management Team of 23, with a strong focus in the areas of Compliance Review,

Anti-Money Laundering, Operations, Credit and Marketing

• Mentored team to reach remarkable and sustainable goals

EMPLOYMENT HISTORY

Alliance Data, Columbus, Ohio

World Financial Network National Bank (WFNNB), Ohio

World Financial Capital Bank (WFCB), Utah

Sr. Director Compliance January 2007 – March 2010

Director Compliance September 2003 – December 2006

Developed, administered and managed various teams consisting of middle management

associates, who were responsible for developing, implementing and enhancing best practices for

comprehensive Regulatory, Compliance and Risk Assessment Programs for the organization.

Held dual reporting relationships to the VP/General Counsel for the Retail Division and to the

Board of Directors for both banking divisions (WFNNB and WFCB) to ensure compliance program

consistency and effectiveness.

• Bank Officer Positions: Compliance, AML/BSA, CRA

• Mentored Middle Managers to become Subject Matter Experts, providing compliance

guidance to our Internal Business Partners

• Provided executive partnership to all levels of management to develop risk-based solutions to

critical business initiatives

• Managed bank regulatory examinations with the OCC and FDIC and maintained collaborative

relationships for successful results

• Instrumental in successful career development initiatives and recruitment strategies

• Key Member of the Operational Risk Management Committee

• Oversaw the management, coordination, tracking and monitoring of corrective action plans for

compliance and quality concerns

LISA K. KING, CRCM, CCBCO, CCBIA

6025 Carnegie Cove Court, Columbus OH 43213

614-***-****, **********@*****.***

Stage Stores, Inc., Houston/Jacksonville, Texas

Granite National Bank, Ohio

Compliance Coordinator September 2001 – September 2003

Initial Project: Developed and provided strategic oversight of compliance and BSA management

program satisfying terms of consent order (as amended) in under 15 months

• Reviewed, analyzed and implemented risk mitigation and remediation strategies

• Managed two teams responsible for operations (exception underwriting, card production,

credit loss prevention) and compliance (consumer protection regulations, BSA)

• Direct reporting relationship to bank board of directors

• Managed OCC bank examination activities and developed collaborative relationship with

examiners

• Bank Officer Positions: Compliance, AML/BSA

First National Bank of Newton, Newton, Texas

Asst. VP/Internal Auditor January 1997 – September 2001

• Developed and executed internal audit and compliance programs

• Key team member for customer communication redesign and start-up of HELOC program

• Developed and delivered training related to new/evolving regulatory requirements and

business expectations

• Direct reporting relationship to bank board of directors

• Co-managed OCC bank examination activities

• Bank Officer Positions: Compliance

Lead Loan Secretary/Underwriter November 1991 – December 1996

• Oversaw lending support functions for consumer, commercial, aviation, marine and real

property lending

• Informally supervised work of loan administrative staff in four locations

• Developed and delivered on-boarding training for loan secretary staff

EDUCATION

Bachelor of Business Administration, Mount Vernon Nazarene University, Mount Vernon, Ohio

Cum Laude

PROFESSIONAL CERTIFICATIONS

Certified Regulatory Compliance Manager (CRCM)

Certified Community Bank Compliance Officer (CCBCO)

Certified Community Bank Internal Auditor (CCBIA)

PROFESSIONAL MEMBERSHIPS AND COMMUNITY INVOLVEMENT

Institute for Certified Bankers (ICB), Member

Columbus Housing Partnership, Board Member (2006-Present)

Cherokee County Crisis Center (2002, 2003)

Newton County Christian Help Center (1997-2001)

Awarded the Alliance Data Chairman’s Excellence Award for Individual Excellence 2006

Contact this candidate