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VP Risk Management - Executive Corporate Compliance

Tehuacan, Puebla, 75760, Mexico
May 13, 2020

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A. Edens - Resume

P.O. Box ***, Cushing, Texas **760, Ph.936-***-****,

Summary of Qualifications

Successfully able to initiate, complete and provide oversight on Audits/Analysis with regard to Internal, Investor & Regulatory Compliance Standards for the Business/Financial Industries. Sign off on various approved collateral items to ensure compliance. Familiar with various current Lending Product Lines. Complete understanding of Compliance standards for Quality Assurance, UnderWriting, Contracts, Operations & Risk Analysis. Successfully able to navigate ever changing federal, state, and other various regulatory statutes and agencies, staying current on institutional & departmental responsibilities.

Assist Legal teams.


Determine and establish system for tracking them.

Well versed in business resource programs, initiatives and protocols in human resources, operations, finance, procurement, management

& administrative areas.

Successful Operation & Servicing Manager.

Strong ability to grasp and navigate complex data management systems and manage multiple multifaceted projects. Ability to learn multiple institutional computer, policies, record keeping, and business systems. Manage maintenance of Exception items and Reports

Maintain multi-departmental oversight.

Successfully analyze problems, identify alternative solutions, project consequences of proposed actions and implement recommendations. Complete understanding of current Human Resource Management and Compliance. Ability to develop and execute strategic investigative initiatives. Chief Compliance Officer, Compliance Manager, Sr. Auditor and Sr. Analyst. Successful history of executive, supervisory and management functions. LEAN/Six Sigma.

Training, modifying and developing of any necessary departmental and institutional policy and procedures. Successful at exercising appropriate judgment in critical decisions and problem solving in regard to contractual agreements and negotiations.

Strong ability to prioritize and adapt to evolving and fast paced scenarios while maintaining attention to detail. Ability direct and managing personnel, processes and programs. Ability to facilitate, negotiate, problem solve and make difficult decisions. Ability to handle significant workloads regarding confidential material. Primary Focus

Continue a career where my skills and experience will allow both the organization and myself to positively impact the community's diverse culture utilizing contemporary Compliance Standards. Work Experience

Business Operations/Financial Consulting

VP Risk Management - Executive Corporate Compliance Cushing, Texas 2010 – Present

Consult with corporate entities providing strategic options, planning, implementation and compliance oversight. As part of Compliance Management and Auditing my responsibilities are update standards in guidelines so as to maintain Policy and Procedures and effectively communicate changes to corporate officers and pertinent managers via current effective avenues thus making interpretation less likely to be problematic. As a Regulatory Compliance and Forensic Auditor my responsibilities entail hands-on testing of mandatory documentation, their criteria and calculations on the the institutions departments and provide status reports to all required reporting entities. Serve as a link between management, clients and employees by handling questions, interpreting and advising on solutions, contracts and informative data to resolve problems. Modify and updated record or reports for accuracy and to insure most current information was available. Supervise activities of other personnel who input records, lists or other data points into database. Develop improvements for streamlining to maximize efficiency.

Recommend training and support needed for members of staff for potential improvement. Prioritizing and delegating work loads accordingly. Issue resolution and resolution training. Maintain continuing education of Federal, State, & Local Compliance Standards, Operations, Finance and other Regulations. Wells Fargo

– Senior Compliance Officer (Mortgage Branch)/Senior Compliance Auditor Houston, Texas 2003 – 2010

Conducted and managed corporate audits utilizing appropriate standards and methodologies for each type of audit. Ran regular testing to critique standards. Maintained both Federal Regulatory, Corporate and Investor Compliance standards. Translated and trained staff on current standards and procedures. Maintained weekly progress reports of compliance failures and successes. Credit Based Asset Servicing and Securitization (CBASS)/Litton Loan Servicing

– Senior Coordinator, Due Diligence

Houston, Texas 1999 -2003

Conducted exception clearances and violations related to the bank line. Executed compliance audits. Managed exceptions under securitized status. Provided Collateral reviews on in house acquisitions. Trained new employees in Post Due Diligence. Asst. Maintained direct contact with other point personnel to expedite management of compliance issues. Maintained pertinent reports. Ensured all assignments were done in a timely manner. Met and maintained compliance regulations and deadlines. Allied Mortgage Corporation

– Manager, Investor Compliance and Document Operations Houston, TX 1999 – 1999

Provided clarification on corporate policy within department. Maintained and created protocols ensure efficient risk management and successfully navigated crisis situations. Assessed critical issues regarding contractual documents, audits, and compliance violations. Negotiated resolutions, probable repurchases or fines due to violations. Monitored and updated all pertinent reports. Kept current on regulatory compliance guideline criteria of Federal, state, county, vendor and corporate requirements. Handled complicated contractual documents. Advised and trained personnel in modifications, regulations and standards. Delegated workflow pursuant to each individual technician's area of expertise. Managed pipeline. Utilized pipeline reports for risk assessment. Mellon Mortgage

– Manager, Compliance Loan Asset Management

Houston, TX 1994 - 1999

Reviewed loan documents, extracted pertinent information, executed satisfactions of mortgage, maintained recording fee schedules, productivity and compliance reports. Ordered escrow checks, executed payoff documents, acquired documents from appropriate parties. Analyzed loan packages, financial reports, cited exceptions. Developed and implemented operation documentation as well as information control procedures. Maintained oversight on bulk sales for multiple large investors. Handled critical compliance exceptions. Made any necessary appropriate changes. Consistently delivered all necessary compliant items. Bank United

– Compliance Coordinator, Analyst/Document Recovery Suspense Houston, TX 1990 - 1994

Retrieved critical outstanding information and documents. Maintained critical document reports. Successfully managed communication and oversight of all responsible parties (Finance, credit, audit, and operations). Organized and identified all conventional and government items and exceptions. Tracking documents on mortgage systems. Updated coding information. Created policy standards to insure accuracy and efficiency of tracking. Updated and maintain transfer schedules on system as loans are transferred. Executed and completed necessary time studies. Reviewed and obtained correction of post closing loan documents. Computer Skills

Microsoft Excel




Essential and Non-Essential Compliance Reporting Systems Education

University of Houston - Bachelor of Science Degree – Communications (Business Management) Bachelor of Science Degree - Technical / Business Writing (Business Administration) North Harris County College - Associates Degree - Records and Information Management (Business General)

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