Manager Management audit compliance bank
Resume:
Lori A. Hasman
St. Paul, MN
P R O F E S S I O N A L E X P E R I E N C E
Ameriprise Bank Augus t 2017 to present
Director –Operations/QA
●Quality Assurance (QA)/all bank products = supported lines of business for banking products (trust, mortgage/lending, credit card, deposit) to ensure compliance with internal and external controls and processes. Responsibilities include:
oDevelopment and execution of the program (QA audits and testing)
oPolicies, procedures and standards
oPreparation and review of workpapers
oPreparing and delivering findings reports
oProvide observations and recommendations, assisting lines of business to resolve issues as needed
oReview of account files prior to responding to court, external audit, or examiner requests
●Operations/Trust = Responsible for the day-to-day operational activities of the bank’s trust division including recordkeeping and reporting, documentation of trust account transactions (to include conservator /court supervised account reporting), risk management oversight, staff management, and compliance. Also responsible for projects, trust systems and technology, and management of BCP and AML programs.
Ameriprise Financial, Inc
Compliance Manager November 2013 to August 2017
Management and execution of the new bank compliance program in 2013, primarily for the trust line of business but also for credit cards and a loan portfolio, to ensure compliance with trust, financial and consumer regulations. Responsibilities included:
Development of a new compliance program
Policies, procedures and standards
Risk assessments
Evaluation of regulatory impacts
Execution of compliance audits, workpaper preparation, and reporting on findings and recommendations to lines of business, management and bank board of directors
Review of account files prior to responding to court, external audit, or examiner requests
USBank
Managing Director/Relationship Manager July 2011 to June 2013
Day-to-day administration of accounts; Agencies, IRA’s, conservatorships, estates and trusts, compliant with legal requirements and business line policies and procedures.
Ensure client objectives are met and are consistent with governing documents and fiduciary administration principles.
Provide education, advice and counsel to reports, colleagues and clients in the area of personal trust products and services.
Provide a high level of customer service to clients, and attorneys, as well as internal partners.
Resolve problems brought up by clients, beneficiaries and others.
As a bank officer and voting fiduciary committee member, review proposed transactions in discretionary and conservatorship/court supervised accounts to ensure compliance with governing documents and state statutes.
Review of account files prior to responding to court, external audit, or examiner requests
Compliance Representative/Analyst June 2009 to July 2011
Focus on regulatory, statutory and governing document compliance related to Fiduciary (trusts), Investment Management and Banking activities
Plan, coordinate, conduct and report on compliance audits regarding business line compliance with laws, regulations, policies and procedures
Complete risk assessments, testing plans, forms and workpapers, provide findings and reports to management
Governance participation representing Compliance (ex-officio)
Project Team participation (Order Management System, Location Code, etc.)
BCRA, Marketing Materials, and Policy & Procedure Reviews
Serve as Subject Matter Expert for areas of focus
Ameriprise Financial July 2007 to April 2009
Project Manager
Manage numerous projects within scope, budget and schedule while meeting business objectives and providing quality deliverables
Provide leadership to project team members
Provide strategic impact via recommendations and analysis results, effectively communicated and influenced clients
Act as liaison between Business Lines and Technologies, Legal and other stake holders
RBC Wealth Management (Dain Rauscher) - Trust Services
Product Manager May 2000 to July 2007
Establishment of a new department and solution set for Financial Advisors and their clients in need of Corporate Trustee services, to include conservatorships/court supervised accounts.
Develop, coordinate and present process, policy, procedure, as well as product and topical training and marketing for third-party vendor, internal/department and the field, i.e. Sales Ideas, Toolkits, campaigns, on-line training sessions, etc.
Case management/oversight of all trust accounts, i.e. exception reports, operations, activity, issues, etc. for both Personal and
Institutional Trusts
Procedure writing, form design, process development, and related training and implementation
USBank - PrivateLine Trust
Relationship Manager/Trust Officer January 1996 to May 2000
Responsible for the development of a new unit, servicing approximately 5,000 trust accounts across the U.S, including conservatorships/court supervised accounts. This involved building and defining the structure initially, as well as the ongoing management of related technology and systems, marketing and communications, training programs and materials, strategic planning, policies and procedures, accounting/budget management, compliance, and unit reporting as well development and management of the vendor relationships
Ongoing administration, case management and oversight of 1,400 Personal Trust accounts; overall relationship management of account and client base, providing administration and investment services to clients
Interpretation of trust agreements, financial documents and court documents, provided administrative and investment services to clients
Customer meetings; proactive outbound calling, and resolution of client issues
Systems management (client contact/tracking system) to include development, enhancements, resolution of issues, training, and implementation as well as development and management of vendor relationships
Procedure writing, form design, process development, and related training and implementation
Site visits to field offices conduct tours and provide presentations and training
Review of account files prior to responding to court, external audit, or examiner requests
A D D I T I O N A L S K I L L S
Change Agent – Strong work ethic and ability to absorb and apply new information quickly and accurately, then analyze and present recommendations, and initiate the steps necessary to implement for positive business results
Proficient with Windows Applications, i.e. PowerPoint, Access, Word, Excel, and Outlook
Professional and effective communication and business writing skills
Efficient and consistent delivery of assigned work
Proficient and objective leadership, team building and problem solving skills
E D U C A T I O N A N D T R A I N I N G
Metropolitan State University B.S. (December 2003) Major: Finance
Certifications Certified Trust & Financial Advisor (CTFA)
Accredited Wealth Manager (AWM) –November 2005
Ameriprise Quality Management System (AQMS) - July 2007
Certified Fiduciary & Investment Risk Specialist(CFIRS)– in process
ABA National Trust School July 1999 Graduate
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