Risk Management Assessment

Maria Castling

Risk Management Professional

*************@*****.***

LinkedIn • 503-***-****

Proven leader in risk management with a track record of implementing innovative risk mitigation strategies that safeguard organizational assets and drive compliance with industry standards.

Skilled in identifying, evaluating, and prioritizing risks to ensure strategic alignment with business objectives. Expert at designing and executing comprehensive risk assessment frameworks that enhance decision-making processes. Adept at uncovering financial discrepancies and implementing corrective measures to prevent future occurrences. Demonstrated success in developing and leading cross-functional teams to achieve risk management goals. Exceptional analytical skills, capable of synthesizing complex data to inform risk mitigation strategies. Committed to continuous improvement, leveraging industry best practices to optimize risk management processes.

Areas of Expertise

Risk Assessment & Mitigation

Financial Analysis Proficiency

Fraud Investigation Techniques

Strategic Planning & Execution

Team Building & Leadership

Regulatory Compliance Oversight

Crisis Management Coordination

Financial Crimes Investigation

Internal Controls Assessment

Compliance Risk Management

Risk & Control Self-Assessment

Data Analysis & Interpretation

Business Process Mapping

Issue Management Policy

Internal Control Policy

Professional Experience

Wells Fargo Bank 2013 – Present

Senior Business Execution Consultant, Risk Response Management (2021 – Present)

Manage compliance risk assessments and audit exams, by coordinating with the policy and legal teams, to ensure the organization's operations align with regulatory requirements. Lead development and implementation of policy changes, by collaborating with cross-functional teams, to address emerging risks and streamline operational processes.

●Enhanced organizational compliance, by initiating a Policy Implementation program that addressed key operational risks, leading to a notable improvement in audit outcomes.

●Improved efficiency and effectiveness of policy training, by developing and implementing innovative training solutions, resulting in higher employee compliance rates and better risk management.

●Streamlined control readiness process, by implementing rigorous testing protocols, which significantly reduced time to audit readiness and increased the success rate of passing compliance audits.

●Elevated organization's ability to respond to regulatory changes, by leading a task force that adapted internal policies and procedures, ensuring timely compliance with new regulations.

Financial Crimes Senior Associate, Global Sanctions Surveillance and Reporting Group (2018 – 2021)

Conducted investigations and analyses of complex financial transactions, by applying in-depth knowledge of global sanctions, to identify and report compliance violations effectively. Developed and maintained surveillance systems, by collaborating with technology teams, to detect and prevent sanction evasion activities.

●Enhanced organizational compliance, by investigating complex sanctions, PEP, and AML watch list matches, leading to improved integrity and adherence to global regulations.

●Bolstered screening processes, by creating and implementing a High Priority Initiative audit program, including new procedures and training, to minimize screening bypasses effectively.

●Optimized regulatory compliance, by managing reporting of blocked/seized funds and performing quarterly hit analysis, leading to strategic adjustments in scoring thresholds.

Financial Crimes Supervisor, Deposit Fraud (2013 – 2018)

Directed daily operations of the deposit fraud detection team, by implementing strategies and leveraging technology, to efficiently uncover and mitigate fraudulent activities. Developed innovative fraud detection protocols, by utilizing advanced analytics, to proactively identify and combat emerging fraud trends.

●Improved operational accuracy and minimized customer impact, by providing targeted coaching on quality feedback, to ensure precise execution of fraud detection tasks.

●Solved complex fraud cases, including those involving employee misconduct, by applying in-depth investigation techniques, to uphold the integrity of deposit accounts.

●Enhanced fraud prevention measures, by managing a team of 18 in conducting risk reviews and applying account restraints, to significantly reduce financial losses.

Additional Experience

Phone Bank Supervisor Credit Card, Wells Fargo Bank

Education & Credentials

General Education, Portland Community College (Ongoing) Diploma, Oregon City High School

Technical Proficiencies: SHRP JIRA Tableau Microsoft Office Visio SharePoint

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