Management Training

TRACI SCOTT DINGLE

* **** ***** ********* * Direct 803-***-****

Garfield, New Jersey 07026 ***********@*****.***

https://www.linkedin.com/in/tracidingleriskcompliancepro REGULATORY COMPLIANCE & RISK MANAGEMENT PROFESSIONAL Highly skilled and detail oriented professional with a strong background in regulatory compliance, risk management, and vendor management. Seeking to deploy my keen analysis and professional insight to ensure regulatory compliance while minimizing risks threatening organizations. Eager to turn challenges into opportunities with an exceptional interpersonal and intercultural approach.

BROAD-BASED STRENGTHS & EXPERIENCE TO INCLUDE:

PROFESSIONAL EXPERIENCE

CONNECTONE BANK, N.A. Englewood Cliffs, NJ 2015 - Present RISK ANALYST

HIGHLIGHTS INCLUDE:

Ø Consultatively suggests corrective actions to address regulatory issues uncovered during both internal and external audits.

Ø Draft comprehensive responses to regulatory recommendations to internal senior management. Ø Creates policies base on risk assessments for board review and approval. Ø Completed risk assessment on all current vendors- 3rd party vendors/vendor management and implemented risk assessment system, program and standards.

Ø Aids legal counsel in contract and document management by ensuring appropriate legal documents are delivered during external audits.

Ø Based on data from external audits, assist in tracking and documenting audit exceptions. Ø Stays up to date of regulatory changes at the state and federal level and communicates changes throughout the bank. TD BANK, N.A. Ramsey, NJ 2014 - 2015

COMMERCIAL LOAN SPECIALIST

HIGHLIGHTS INCLUDE:

Ø Verified all quality control procedures are maintained an all commercial loans were closed without exception and in compliance with state and local laws.

Ø Established collaborative relationships with commercial operations and relationship management team. Ø Confirmed TD changes were consistent with system requirements ensuring the departments protocol was updated as well.

Ø Managed loans and loan process from origination through settlement and funding in accordance with bank policies and procedures.

Ø Ordered various loan documentation and searches to include title, flood, UCC, insurance, regulatory language, property insurance.

Ø Ensured all loans were closed without material, administrative or compliance exceptions. WHIPPER LAW FIRM Charleston, SC 2008 - 2010

LAW CLERK

HIGHLIGHTS INCLUDE:

Ø Meticulously researched complex legal and regulatory issues and reported findings to senior partners. Ø Assisted in trials and jury selection by probing potential jurors and ensuring the best possible jurors were chosen. Ø Prepared detailed legal pleadings interrogatories, subpoenas and briefed clients prior to depositions and trials. Ø Assessed clients for representation to include initial conversations and drafting memorandums to best determine if the firm should take cases based on case studies and likelihood of success. Ø Managed comprehensive regulatory and legal compliance matters for senior partners. Ø Responded to inquiries from attorneys, judges, and claimants pertaining to open, closed and pending cases. Ø Reviewed and edited trial and appellate briefs for senior partner. ü REGULATORY COMPLIANCE

ü RISK MANAGEMENT

ü POLICY ANALYSIS/DOCUMENTATION

ü VENDOR MANAGEMENT

ü INTERNAL AUDIT

ü TRAINING & DEVELOPMENT

ü RISK ASSESSMENT

ü LEGAL RESEARCH/DOCUMENTATION

ü CONTRACT CREATION & REVIEW

TRACI SCOTT DINGLE, PAGE 2

SOUTH CAROLINA HOUSE OF REPRESENTATIVES Columbia, SC 2003 - 2006 SENIOR PAGE

HIGHLIGHTS INCLUDE:

Ø Aided and assisted twenty-five committee members in judicial professional settings. Ø Conducted legislative and regulatory research.

Ø Prepared weekly agenda.

Ø Supervised and trained staff members and interns. Ø Worked with media to provide access to committee meetings/legislative hearings. Ø Distributed daily calendars on house floor.

Ø Prepared staff for regulatory meetings.

Ø Established professional relationship with government officials. EDUCATION

Master of Science in Administration, Central Michigan University May 2014 International Administration Concentration

Study Abroad - Guadalajara, Mexico

Juris Doctorate, Charleston School of Law May 2010 Honor Council

Women in Law

BA in Political Science and Communication, Columbia College May 2006 President of Senior Class

National Dean’s List

South Carolina House Resolution Honoree 2006

TECHNICAL PROFICIENCIES

MS Office 2013- Excel, PowerPoint, Adobe Acrobat, Venminder, WolfPAC Solutions, AvidXchange, Lotus Notes TRAINING & DEVELOPMENT

WolfPAC Solutions

WolfPAC Solutions Regulatory Compliance Risk Assessment Module Training WolfPAC Solutions IT Risk Assessment Module Training Venminder

Venminder Vendor Management Bootcamp 2015 Series

American Bankers Association

Certificate of Completion Privacy/Information Sharing for Compliance Professionals Certificate of Completion Robbery and Bank Security Certificate of Completion Cyber Security Awareness Training Certificate of Completion Anatomy of Regulation for Compliance Professionals Certificate of Completion Elements of a Compliance Programs for Compliance Professionals TD Bank, N.A

TD Bank, N.A. Commercial Loan Documentation Training Windels Marx Lane & Mittendorf, LLP – A Special Presentation to TD Bank, N.A.: Understanding Construction Loan Documents

EXCEPTIONAL REFERENCES AVAILABLE UPON REQUEST

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