Jennifer L. James

ad16sn@r.postjobfree.com

*** ******** **, ********, ** 28056 • 704-***-****

OBJECTIVE: Finance Professional, Attorney, CAMS Certified looking to contribute to the success of a Compliance/Financial Crimes/Control Department and further defining its position in the industry.

FINANCIAL REGULATORY EXPERIENCE

Wells Fargo

Lead Business Accountability Specialist Charlotte, NC May 2021 – Present

-Managed our Onshore Team in its efforts to transition activities from the second line to the first line per the Move the Line effort.

-Works within Jira and Confluence to create stories to further enhance a new supervisory market conduct program for the bank.

-Drive end-to-end design, implementation, and execution of Market Conduct & Supervision related controls from ideation to production.

-Facilitating design and working sessions with key stakeholders

-Proposing design and implementation approaches for evidence-based control activities including defining of relevant business requirements.

-Supporting execution of control activities in BAU and partner with business counterparts to escalated identified exceptions.

-Communicating and training of employees for new or enhanced associated controls.

-Partner with Compliance to execute Market Conduct & Supervision related policies, procedures, and associated governance routines.

-Create visios and wireframes to illustrate UC design to Dev and Tech teams.

-Performs testing in UAT, Dev, and Prod environments for various transaction monitoring tasks.

-Utilizes Agile methodology as part of Product Owner team to further design Control Monitor application.

-Sits in daily agile scrum calls to discuss design of user stories and any bugs/tech issues that may arise.

-Gather requirements for control design.

-Areas of product ownership are Delegation, Business Accountability Matrix, Dual Supervision Roles, Outside Business Activities and Clean Desk metrics, etc.

-Create and send out reports to leadership regarding supervision dashboard signoffs. Supervisors are required to review their team’s metrics for certain months and confirm they follow market conduct supervision rules.

-Assist with making updates to the supervision/employee hierarchy via the market conduct supervision application.

-Engage in testing for monthly releases and serve as a lead point for the product team.

-Lead user experience sessions for features that are new to a release.

-Lead weekly meetings to discuss Dev capacity planning and compare allotted story points to story points we have capacity for.

-Assists teams working on RCSA with updates to MCRs and controls by filling out FRASA information in addition to frequency and descriptions of controls.

-Working on ADA Compliance for the market conduct supervisory application and ensuring that the MCR is attached to our non-key control.

-Create metrics and provide definitions for COOs, BCMS, Supervisors, Control, and Compliance to view.

-Attends and represents the team in relevant meetings and forums including the provision of risk and control reporting as appropriate for transparency, oversight, and decisioning.

-Submits access requests for systems/programs using ART, IAMs, and SIMBA, led shadow sessions and walk throughs with both compliance and control leadership teams, reported updates weekly to upper management, created and uploaded new procedures to SharePoint, and tested current procedures.

-Managed Control Issues monthly in SHRP, updated RAG status, and identified gaps in a timely manner to meet deadlines.

-Coordinate with leaders in the central control team to ensure CIB Control and business awareness to upcoming initiatives and requirements.

-Act as key point of contact for senior leaders and key partners in CIB, Compliance, Audit, IRM, and other constituents and ensure that all inquiries are responded to in a timely manner.

-Collaborate with, guide and counsel Risk Control, LOB Partners, and Compliance on control design and implementation to mitigate risks.

-Heavy knowledge and management with Reg W, Reg O, and other various regulations for markets and banking products.

Wells Fargo

Business Risk and Control Senior Associate Charlotte, NC February 2020 – May2021

-Supports the CRE line of business with the offboarding of customers while reviewing the AML/BSA risks they present the company.

-Manage multiple projects including SHRP items to support the various groups within the CRE LOB and at the Wholesale level.

-Distributes monthly and biweekly reporting for offboarding to leadership and Relationship Managers.

-Recommend solutions to the front office regarding data issues and trains others by serving as the team’s SME.

-Assist with second level reviews on account and entity level alerts.

-Assist in testing the existing controls to ensure they are functioning as expected by the LOB.

-Partners with relevant stakeholders and FCRM to ensure FC initiatives are executed, resourced, tracked, and reported

-Provides ad-hoc support to internal CIB initiatives including remediation projects, significant process changes, and implementation of strategic tools.

-Leads program changes to align with policy and regulatory expectations including Beneficial Ownership and other emerging requirements.

Wells Fargo

Financial Crimes Consultant 3 Charlotte, NC November 2018 – February 2020

-Supports the CRE line of business with the onboarding of customers while reviewing the AML/BSA risks they present the company.

-Work closely with relationship managers and risk managers ensuring appropriate compliance issues are discussed, documented, and managed.

-Stay attuned to industry and regional trends related to compliance issues, financial crimes, and regulatory actions

-Proactively identify risk issues and work with senior leadership to develop, document, and implement appropriate action plans.

Signature Consultants

Business Systems Consultant 4 Charlotte, NC August 2018 – November 2018

-Assisted in drafting the Periodic Review Procedures for Wells Fargo Commercial Capital Management.

-Daily review of CIP items for customer verification.

-When needed, escalate requests for further documentation to the Line of Business (LOB) to ensure compliance with internal policies.

-Participates in and provides compliance support for projects and initiatives with low to high risk to identify, assess and mitigate BSA/AML risk in business activities.

Citibank

Compl AML KYC Assoc Analyst 2 Charlotte, NC December 2016 – August 2018

-Reviewing and assessing risk for customer accounts in order for compliance with OCC Consent Order.

-Review transactions, investigate background information, and escalate suspicious activity that poses a money laundering or financial terrorist threat.

-Lead teams on various projects concerning AML sanctions and SARs reports.

-Prepare for, track, and function as primary liaison, when appropriate, for Internal Audit and regulatory issues related to KYC matters.

-Train other analysts on all issue resolutions and any impacted procedural changes.

-Work on special projects and assist in project management activities within the department.

-High level analytical and investigative skill set including experience with background checks/intelligence/customer research/transactional analysis.

-Articulate and deliver findings on AML high risk behaviors and KYC data.

-Collect and assess beneficial ownership

-Subject matter expertise in AML, EDD, and KYC regulatory requirements.

NTT Data, Inc.

Senior Consultant Charlotte, NC May 2016 – December 2016

-Managed multiple projects for Big 4 firm.

-Responsible for drafting a quarterly compliance audit and presenting the results to management.

-Assisted in developing detailed compliance reports for the personnel and accounting groups.

-Diagnosed and resolved reported and ticketed problems related to certain business applications used within Wells Fargo including Infolease and Rapport.

-Maintained a strong relationship with the Wells Fargo Equipment Finance team by escalating and process/procedural issues to reduce operational risk..

-Utilize technical programs including Enterprise Collaboration Management to mitigate money laundering risk with Deloitte Touche Tohmatsu Ltd. and Ernst & Young

-Develop best practices for regulatory compliance, sampling methodology, and change management

-Integrate proprietary systems to function with current methods, techniques, and subject matter analysis

-Resolve a wide variety of money laundering concerns pertaining to economic sanctions and EDD

-Coordinate multiple cross-functional projects by regularly communicating with senior leadership

-Implement AML/KYC policy and procedure updates while cultivating relationships with other impacted parties.

-Work heavily with the Global Financial Investigations team to combat money laundering.

-Generate and monitor scorecards with KPIs for money laundering investigation, benchmarking, and risk mitigation.

Moore & Van Allen PLLC

Electronic Discovery Attorney Charlotte, NC September 2014 – May 2016

-Implemented policy and procedure updates while cultivating relationships with other impacted parties.

-Responsible for maintaining compliance files for local state and federal labor guidelines and laws.

-Examined regulatory audit findings from federal agencies, including CFPB, OCC, FinCEN, SEC, and OTC

-Reviewed suspicious documents and correspondence, including metadata and magnetic tape

-Used litigation discovery systems, including Relativity, to designate whether discovery was responsive

-Determined the extent of privileged content by creating a privilege log and redacting documents.

-Reviewed GAAP financial statements in order to elevate red flag issues to legal staff and to reduce risk to clients.

BAR ADMISSION: North Carolina State Bar, Member, 2014 – Present

SUMMARY:

-Strong finance knowledge, reporting solutions, regulatory compliance, due diligence, and requirements

gathering and understanding of data to support financial institutions, mortgage companies, law firms, etc.

-Strong analytic, problem solving and conceptual thinking skills, detail oriented with emphasis on sustained accuracy.

-Project management and organizational skills; Ability to understand the ‘big picture’ view and impact technology has on business processes.

-Frequently use discovery software and Excel to deliver process improvement. This approach kept clients/parties and impacted areas abreast at all times which helped clients identify unexpected areas and most importantly reduced risk of litigation at a faster pace.

-Simultaneously work on multiple projects across different business areas and geography.

-Strong relationship building, team building, interpersonal, communication and presentation skills.

-Able to work in diverse environments and adhere to highest ethical standards. Ability to manage in a very dynamic, fast-moving environment.

-Strong finance knowledge, reporting solutions, regulatory compliance and requirements gathering and understanding of data to support financial institutions, mortgage companies, law firms, etc.

TOOLS/METHODS:

Jira, OpenText, Confluence, LoanIQ, SharePoint, ART, SIMBA, AIMS, WARP, WBRS, GroupGrabber, TPD, CSCS, User Security Matrix (USM), Cornerstone, SHRP, FCL, WCIS, Panorama, Tableau, ORIS, Infolease, Rapport, Enterprise Collaboration Management, Real Estate Loan Management System, Actimize, Gateway CIP OFAC SOR, eReports, Data Collaboration Management, Microsoft Office, SharePoint, Lexis Nexis Compliance/World/Advance, Relativity, CV6, Westlaw, CRM, Catalyst, ADP, FileNet, AFS, Oracle, SAP

LEGAL EXPERIENCE

Comrey Law, PLLC

Owner and Managing Attorney Charlotte, NC June 2015 – May 2020

-Advise and represent clients on various civil and criminal cases.

-Manage a team of interns and act as of counsel for various corporate matters

-Served as Corporate Counsel for Northwest Companies, Inc.

-Served as Chief Corporate Counsel and Senior Vice President for Guess & Co. Corporation

-Maintain a solid legal knowledge, critical thinking and decision making skills and the ability to communicate effectively, both orally and in writing.

Ingalls Law, PLLC

Legal Associate Charlotte, NC September 2013 - September 2014

-Appeared in unemployment hearings before administrative agency.

-Counseled clients regarding compliance with state and federal employment law including EEOC regulations and Title VII.

-Assisted supervising attorney in criminal court.

-Conducted civil and criminal research.

-Interviewed clients and performed consultations.

-Reviewed discovery and made recommendations as to what areas of the law need to be researched.

-Reduced risk of going to trial by successfully going through mediation and arbitration.

The Law Firm of Ross Sohm, PLLC

Legal Associate Charlotte, NC February 2013 - August 2013

-Advised and represented terminated employees in a variety of employment law matters.

-Counseled clients regarding compliance with state and federal employment law and anti-discrimination statutes.

-Performed all phases of discovery and hearing preparation.

-Participated in unemployment hearings, mediation, and depositions.

-Reduced risk of going to trial by successfully going through mediation.

Wiest, Muolo, Noon & Swinehart Law Offices

Legal Associate Sunbury, PA September 2010 - December 2010

-Performed legal research regarding compliance of local municipal ordinances, criminal law statutes, and other various laws using Westlaw.

-Observed firsthand trial and courtroom procedure for both a Civil and Criminal trial calendar.

-Interviewed clients and performed residential real estate closings.

-Drafted and filed various legal documents with the local, state, and federal court system including divorce pleadings, wills, deeds, and civil complaints.

-Drafted and submitted adoption documents and interviewed the potential adoption parents, culminating in several successful adoptions.

EDUCATION

Charlotte School of Law August 2011 - December 2013

Juris Doctor

Activities: Pro Bono Honors Award, International Law Society, Delta Theta Phi, NCBA Law Student Division, ABA Young Lawyers Division

Study Abroad Summer 2012: University of Miami, London Olympics Program

International Sales Law, Global Legal Entrepreneurship

Bloomsburg University May 2011

Bachelors of Science and Arts in Finance Bloomsburg, Pennsylvania Major: Finance

Activities: Financial Management Association, Six Sigma Certification, Women's Rugb

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