**** ******** ******* **** # * Eric Monton adycf5@r.postjobfree.com Ballwin, MO 63021 636-***-****

Professional Summary

Detail-orientated Compliance/Risk Consultant with over 24 years of experience in the Financial Services industry and 12 years of experience in Risk Management, auditing, policy/program development and strategic planning. Advanced knowledge of Regulatory Compliance with a proven track record of partnering with senior leaders and regulators to thoroughly assess controls/processes, identify potential risks, perform impact analysis and provide effective corrective actions in a timely, professional manner.

Work History

Blue Penguin Payments, LLC – St, Louis, MO August 2022 – Present Compliance Manager - Responsible for establishing and maintaining compliance with the various industry and regulatory programs that impact the financial services industry and working with Product and Operations resources to determine the most efficient way to adhere to the programs relevant to BPP’s business. Helped build out the Compliance framework in preparation for first SOC1 audit. Created operating/supervisory procedures for daily reconciliations. Updated BSA/AML training. Created Compliance directory on Sharefile. Conducted readiness assessments and performed weekly/monthly supervisory reviews.

Wells Fargo Advisors, LLC – Saint Louis, MO September 2019- March 2022

Operational Risk Lead Consultant – Lead Risk Consultant in charge of overseeing internal/external audits. Serve as the primary contact between audit teams and Wells Fargo Advisor’s Operations line of business. Responsible for creating and conducting control assessments, assigning risk matrixes, fulfilling audit requests, conducting self-assurance activities, providing credible challenge, identifying gaps in existing controls and providing risk assessments/improvements to senior leadership, audit teams and regulators. For the past two years, there have not been any audit findings or observations noted in any final audit report.

RFG Advisory, LLC – Saint Louis, MO April 2019 – July 2019 Senior Compliance Officer – Worked directly with the Chief Compliance Officer responsible for reviewing/approving new investment advisory accounts, updating Compliance Manual, responding to regulatory requests, documenting annual account reviews, reviewing sales/marketing material and serving as the central contact for all Supervision related questions.

Scottrade, Inc. – Saint Louis, MO August 2016 – March 2018 Compliance Manager – Supervision/Surveillance – Managed a team of 12 responsible for providing Broker/Dealer/Investment Advisory Supervision/Oversight for 1000+ branch offices. Collaborated with Chief Compliance Officer to design and implement a Compliance Manual, Written Supervisory Procedures, Code of Ethics policy and Business Continuity Plan for branch/home office associates. Conducted OSJ audits, responded to regulatory inquiries and conducted quarterly/annual ADV filings for Scottrade Investment Management.

Wells Fargo Advisors, LLC – Saint Louis, MO December 2009 – August 2016 Communications Compliance Manager – Managed a team of 8 responsible for reviewing/approving internal and external firm communications (advertisements, sales literature, marketing/recruiting brochures, performance reports and internal training material). Helped develop an internal WORM compliant submission/tracking system to help reduce the reliance on physical copies and ensure compliance with books and records policy. Delivered the monthly Compliance discussion to onboarding home office/branch personnel. Member of the Firm’s Software Committee responsible for reviewing investment analysis and performance reporting tools and providing review assessments to leadership.

Education

Bachelor’s of Art (BA – Political Science) – Loyola University of Chicago 1995 Masters in Finance (MA – Finance) – Webster University 2006

Registrations/Skills

Securities Registrations - 7, 9, 10, 24, 53, 63 & 66 15+ years’ experience supervising/auditing OSJs

10+ Years AML Experience 7+ years project management

Strong knowledge of MS Office, Excel and Salesforce 12+ years’ experience in Risk Management

5+ years’ experience with SharePoint 8+ years’ SOC1, FSA, FICCA & SOX audits

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