Regulatory Compliance Project Management

FLEECE PIERCE

**********@*****.*** 704-***-**** Charlotte, NC

PROFESSIONAL SUMMARY

DIVERSITY, EQUITY & INCLUSION SPECIALIST with nearly 15 years of experience spearheading project, change, program management, regulatory compliance, and fraud and abuse prevention on behalf of Fortune 500 companies. Tenured compliance analyst and blue sheet coordinator with a highly developed skillset in identifying risk, conducting in- depth investigations, compiling and analyzing data, and documenting detailed reports concerning highly sensitive information. Natural leader and advocate with a demonstrated record of championing the equity and advancement of minority groups within large, complex organizations. AREAS OF EXPERTISE

Compliance Analysis Blue Sheet Reporting Change Management Project Management Diversity, Equity & Inclusion Fraud & Abuse Investigation Data Analytics & Reporting Business Consulting Regulatory Compliance Marketing Strategy Operations Employee Engagement

DIVERSITY, EQUITY & INCLUSION EXPERIENCE

LPL Financial

Employee Diversity & Inclusion Facilitator – Compliance, Legal & Risk 2021 – 2022

• Championed diversity, equity, and inclusion (DEI) by leading biweekly meetings that brought awareness to employee voices, successfully increasing meeting attendance by fostering a safe space for employee expression.

• Leveraged insights to provide memorandum to executive leadership delivering recommendations for improvement in interdepartmental DEI.

• Pioneered several DEI advancements including developing a mentor program and establishing a monthly DEI newsletter, in addition to cultivating relationships with company DEI advocates, leaders, sponsors, and employee resource members to coordinate resourceful events. Co-Chair – Asian Employee Resource Group 2018 – 2020

• Identified a lack of understanding concerning the benefits of Employee Resource Groups (ERGs) and took initiative to establish an Asian ERG open to all employees as an opportunity to share Asian culture and skills; achieved company award for the most successful and involved ERG within only the first year of its existence.

• Cultivated a stronger sense of community within the workplace while also empowering participants to assume leadership roles, experience personal and professional growth, and increase internal work movement.

• Built relationships with other ERGs to collaboratively plan and facilitate DEI events, including successfully establishing a company-wide ERG Fair that strengthened networking and exposure for all groups. Women in Business Mentor – Rocking Wall Street Mentorship Program 2019 – 2020

• Traveled to local high schools to mentor young women interested in a finance career, which included contributing as a guest speaker in several panels increasing awareness of the opportunities for women within the industry. PROFESSIONAL ACHIEVEMENTS

Selective Insurance Company of America

DEI and Employee Engagement Coordinator 4/2023-Present

• Lead and facilitate Great Places to Work employee engagement survey and executive presentation decks for human resource DEI strategy and operations.

• Facilitated, organized, and prepared processes and procedures for change management of HR projects and workspace management.

• Lead project coordinator for company employee resource group and affinity groups with a weekly, monthly, and quarterly project meeting cadence.

• Led the end-to-end process for employee engagement, employee events, and overseeing internal employee surveys.

• Contributed to the documentation of desktop procedures as well as training for onboarding employees. Wells Fargo 3/2022 – 4/2023

Business Execution Consultant

• Spearheaded the planning and execution of a marketing strategy on behalf of the Wells Fargo Enterprise Disclosure Initiative, cultivating relationships with key stakeholders across various lines of business to request client disclosures as well as artifact collection concerning multiple regulations.

• Collected, reviewed, and analyzed internal Wells Fargo client disclosures for Enterprise Single Source of Truth Disclosure, which included assisting the Legal Authoring team with the internal commentary review period for stakeholder feedback, drafting revisions as necessary.

• Innovated process improvements through multiple databases as a member of the Kanban team, including enhancements through Agile Jira, SharePoint, and Microsoft Teams.

• Led the end-to-end process for APRIMO regulatory package review and presentation, overseeing internal disclosure uploads to EDAM asset management system.

• Contributed to the documentation of desktop procedures as well as training for onboarding employees. LPL Financial 6/2008 – 3/2022

Associate Analyst – Regulatory & Special Investigations Unit Legal 6/2021 – 3/2022

• Facilitated case assignments, reviewed case determinations, and coordinated interdepartmental requests for regulatory response documents as the interim delegate for multiple internal legal mailboxes.

• Conducted complex investigations into potential fraud, money laundering, elder exploitation and abuse, cyber events and security, and other suspicious activity through DocuSign reporting.

• Demonstrated a track record of continuous improvement, streamlining project management practices and defining the workflow of new processes and procedures on behalf of the newly-developed Regulatory & Special Investigations Unit. Associate Analyst – Regulatory Litigation & Arbitration Analyst Legal 8/2019 – 6/2021

• Monitored the Regulatory Inquiries Mailbox for daily reporting and regulatory requests, delegating regulatory requests to team members for processing.

• Utilized a variety of tools, databases, and subject matter experts, including Mantas, Documentum, Actimize, SharePoint, ClientWorks, and BEMS, to compile data for regulatory requests for submission to paralegals.

• Collaborated cross-functionally with Compliance, Legal & Risk department to ensure the seamless flow of work requests, in addition to going above-and-beyond daily responsibilities to support ongoing projects within other teams, including initiatives on behalf of both Operations and Compliance. Compliance Specialist – Regulatory Litigation & Arbitration Compliance 10/2015 – 8/2019

• Tracked, processed, and investigated trade requests as the subject matter expert for regulatory blue sheet reporting, coordinating interdepartmentally with Trading, Technology, Compliance, Legal, and Risk to respond to daily regulatory requests received from the SEC and FINRA for advisor blue sheet trading.

• Received selection to assist the Staff Analyst, Vice President, and Assistant Vice President on special projects in addition to capably performing daily regulatory procedures.

• Input and retrieved data in numerous databases, including Thomson BETA, and organized monthly and quarterly trade requests on Microsoft Excel using both WEB CRD and internal database entry.

• Utilized the KROLL system and SharePoint to process PIF data and requests for regulatory responses.

• Monitored regulatory responses received and offered support in retrieving internal documents for Legal litigations and arbitrations.

Surveillance Compliance Specialist – Governance, Risk & Compliance 11/2011 – 10/2015

• Provided exceptional customer service for inbound and outbound training calls, certification questions, licensing tracking, and assistance to field sales advisors as well as internal employees.

• Tracked, organized, and planned projects and daily assignments in assistance to the Compliance Surveillance team in addition to supporting the Regulatory Response team by acquiring documents for the Legal Analyst as a backup for internal legal responses.

• Optimized accuracy and productivity as the Lead on team projects, such as internal audits, as well as the daily workflow, in addition to functioning as the main point of contact for advisor-related issues informing employee trainings and procedures.

Branch Exams Compliance Specialist – Governance, Risk & Compliance 6/2008 – 11/2011

• Assisted 15 Compliance Branch Examiners in preparation for weekly audits, which included inputting and retrieving data in several databases such as Microsoft, Access, UE, and Oracle.

• Led the team on projects including local audits, preparing audit kits, pulling advisor credit reports, and locating advisor financial audit reports.

• Reported monthly RPM tracking and maintained data entry in support of manager and Assistant Vice President. EDUCATION Bachelor of Arts (BA): University of North Carolina at Charlotte – Charlotte, NC LICENSURE Licensed Loan Officer (I-140324): State of North Carolina, Office of Commissioner of Banks

AFFILIATIONS Employee Diversity & Inclusion Facilitator: Compliance, Legal & Risk, LPL 2021 – 2022 Co-Chair: Asian Employee Resource Group, LPL 2018 – 2020 Mentor: Rocking Wall Street, Women in Business Mentorship Program 2019 – 2020 Peer Mentor: New Hire Program, LPL 2019 – 2020 Engagement Chair: Employee Working Committee, LPL 2009 – 2014.

HONORS Spot Bonus for Outstanding Work in LPL Regulatory Blue Sheet Facilitation 2019

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