Manager Project
Resume:
Christopher Wingate CRCM, CCRP
**********@*****.***
Profile
SUMMARY
Experienced professional with over 20 years hands-on experience in Banking Regulatory Compliance Initiatives, Audit, Fraud and Enterprise Risk
Assessment, Investigations, and-international exposure. Strengths include executing regulatory compliance initiatives-covering Wholesale Banking,
Capital Markets, Securities and International Regulatory Oversight, Consumer and Securities Protection Programs, CFR Section 7 and 12, 31, 34.
Securities Exchanges Commission (SEC), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Federal Reserve
Board (Sarbanes-Oxley Act (SOX), and Federal Deposit Insurance Corporation (FDIC). Highly proficient in evaluating Consent Orders, identifying
regulatory requirements, related risks; and helping design and implement remediation controls to enhance compliance.
These include remediation programs for consent orders related to the Office of Comptroller & Currency/ Federal Reserve Board (OCC/FRB), Financial
(FACTA), Fair Debt Collection Practices Act (FDCPA), Unfair Deceptive Abusive Acts or Practices (UDAAP), Home Mortgage Disclosure Act,
(HMDA), Real Estate Settlement Procedure Act (RESPA), Truth in Lending Act (TILA), Consumer Financial protection Bureau (CFPB), Bank Secrecy Act (BSA), Anti Money Laundering (AML). Skillful in reviewing risks and controls related to A-Z regulations. Proven leader with maturity to balance
objectivity with corporate goals.
PROFESSIONAL EXPERIENCE
February 2015 to Present
Wells Fargo Bank Wholesale Operational Risk
Lead Compliance Consultant
Responsible for developing, implementing and monitoring risk-based initiative to assure compliance with federal and state laws, regulatory
requirements, internal policies and standard practices. Providing subject matter expertise, strategies, methodologies, and plan for executing and
reporting on compliance programs as follows.
• Evaluated adequacy of documentation and design of processes, policies, procedures and effectiveness of other internal controls initiatives
implemented to address issues resulting from internal and external compliance examinations (including consent orders emanating from regulators
FDIC, OCC, SEC etc. Identified gaps, recommended and assisted with remediation efforts.
• Reviewed major banking regulation to assure all major regulatory requirements and related risks have been properly identified and addressed by the
appropriate Lines of Business (LOBs). These include regulations related to BSA, FCPA, ADA Title III, Insurance Flood-OCC, HMDA, OFAC, SCRA, AML, TCPA, Regulation A-Z, etc.
• Reviewed Wells Fargo’s Governance Compliance Risk System (GRC+ repository/tool to assure all regulations, policies, MRs, significant risks, and
key controls have been properly and adequately documented in the system.
• Worked with key business entities, areas and activities to develop a control self-assessment framework, methodology, and guidance to resolve
uncovered issues.
• Reviewed Control Self-Assessment (CSA) performed by the bank’s lines of business in the GRC system to assure that the LOBs have performed
risks and key controls. Verified whether adequate business-specific controls have been designed and mapped.
The LOBs include, but not limited to, Corporate Real Estate (CRE), Global & Institutional Banking, Commercial Banking, Corporate Banking, International Banking Group, Assets Management, Treasury Management Group, Funds Management Wells Fargo Insurance, Capital Management, Capital
Finance, Wholesale Banking, Wholesale Loan Services, Specialized Lending, Government & Institutional Banking, etc.
• Tested samples of business-specific control documentation to ensure they meet standard control guidance or minimum requirements including
control owner, type, title, frequency, what, where when, how, etc.
• Developed reporting standards and framework, monitored and tracked testing exception issues and recommendations to enhance remediation efforts,
risk management reporting, and to assist with responses to external regulatory examinations.
Senior Business Consultant/Examiner in Charge 2014
Protiviti Inc.
Lead Compliance examiner into consumer governance risk, securities compliance and remediation engagements.
GRC Program Manager 2012- 2014
Radian PS Consulting Inc.
Governance and Risk Compliance Manager ensuring corporate enterprise risk oversight.
Compliance Examiner 2010- 2012
Freddie Mac Corporation
Compliance and Ethics Consultant 2009- 2010
Fannie Mae Corporation
Senior Risk Manager 2006- 2009
Chase
Credit Risk Officer 2004- 2005
Golden 1 FCU
Senior Business Consultant 2002-2004
Deloitte Consulting LLP
Senior Consultant 1998- 2002
Arthur Andersen LLP, Technology Risk Consulting Division
Education
Defense Acquisition University Certification Program - Project Management
Concentration 1992
CCRP Pace University Lubin School of Business 2014
CRCM 2010
New Horizons School of Technology Project Manager (PMP) 2013
Six Sigma Black Belt 2014
CFPB EXAMINER Training
FEDERAL RESERVE EXAMINATION Training
OCC EXAMINER Training
NCUA EXAMINER Training
CURRENT WITH REGULATORY OVERSIGHT
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