VP, Senior Lead Business Consultant

Nancy T. Rasche

***** ********** **** ******@*****.*** Huntersville, NC 28078

704-***-**** Cell

SUMMARY OF QUALIFICATIONS

NC Paralegal

Computer experience and proficiencies: Microsoft Office (Word, PowerPoint, Excel, Outlook, MS Project); Visio; Oracle; PeopleSoft, SharePoint, Hogan, Westlaw, Hummingbird, CT Summation, Seibel, TRIMS (Archer), SHRP, Tableau, JIRA, Ariba, Agile, Power BI

35 years’ experience drafting, negotiation and analyzing contracts to meet regulatory requirements.

Experience with managing multiple projects concurrently with a strong attention to detail. Strong ability to identify initiatives and facilitate action-driven plans. Impeccable ethics and integrity. Highly effective in partnering with a wide variety of organizations, people, and cultures. My top strengths are Context, Achiever, Responsibility, Root Cause Analysis, Detailed and Learner.

PROFESSIONAL EXPERIENCE

Wells Fargo – Charlotte, NC – Feb 2023 – Feb 2025

VP, Senior Lead Business Execution Consultant – Chief Operating Office

Supporting the Business Leaders who are on Front Line of Defense as a Vertical Program Manager for Operational Risks. Providing oversite for Regulatory Consent Order documents which consists of, controls, processes, and procedures for submission to the OCC (Office of the Comptroller of the Currency)

RCSA regulatory artifact work aligned to 3 Lines of Businesses. The LOB’s fall under the Chief Operating Office for Corporate Risk, Consumer Small Business Banking, and Commercial Banking.

Build and sustain a strong risk culture including a balanced approach through working in cooperation and consultation

Oversee 3 contractors on my team, to ensure that their work is accurate, and meeting deadlines

Wells Fargo – Charlotte, NC – April 2019 – Feb 2023

VP, Tech Business Services Senior Consultant – Technology and Finance

Responsible for the Relationship, Oversight, Performance, Compliance, Regulatory, Legal, Financial, and Contractual Obligations of our Vendor Partners

Ensure vendor is monitored, assessed, and complying with established major requirements of both the bank internal and external policies instituted by Regulators. Accountable for protecting customers privacy, and risk exposure

Establish priorities, and accountability to ensure solutions are appropriate. Projects completed with Agile methodology.

Responsible for all Third-Party Risk and Compliance Requirements are met which are enforced by the Regulators, and within the Wells Fargo program, and policy as it aligns to our vendor partners. Works with key internal/external partners on risk analysis

Meet quarterly with vendor partners, and Chief Information Officers to discuss initiatives, and performance related issues.

Wells Fargo – Charlotte, NC – Feb 2018 – April 2019

AVP, Operational Risk Consultant 4– Commercial Real Estate

First Line of Defense for CRE – Third Party Risk Management - Responsible for Legal/Financial/Customer/Operational Risk

American with Disabilities Act Program Manager which encompasses Digital Properties Oversight

Data Loss Prevention Program – SME – Manage Internal privacy issues related to the submission of emails containing Wells Fargo confidential or restricted information.

Reverse Audit Coordinator – Responsible for information request related to Wells Fargo financial/technology, and privacy Information.

Info Security partner – Backup for the Information Security Officer for CRE

Special Projects

Wells Fargo - Charlotte, NC - Oct 2015 – Feb 2018

Operational Risk Consultant 3 – Wells Fargo Wealth and Investing Management (Retirement)

First and Second Line of Defense overseeing the lines of business with all facets of onboarding a new vendor related to OCC, CFPB, FRB, and other regulatory agencies guidelines.

Monitoring, Oversight, guidance, and legal risk review of Third-Party Service Providers.

Duties include due diligence, compliance, IT systems, and risk related to both regulatory and audit requirements.

This position acts as a Third-Party Officer enforcement, and legal requirements as it relates to Retirement vendors.

Review Contract content to ensure that the regulatory, policy, and legal language is up to current regulation standards.

Wells Fargo Insurance Services - Charlotte, NC- June 2013 – Oct 2015

Contracts Analyst

Negotiating, analyzing, and drafting Property & Casualty Insurance Contracts including SLA, TPA’s, and MSA’s.

Review contracts to meet regulatory and compliance requirements including OFAC, International Law, AML, and other Legal enforcement requirements.

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TIAA CREF - Charlotte, NC - May 2012 – Nov 2012

Paralegal (Contract) - Plan Documents

Review contracts for Operational, Contractual and Compliance Risk pertaining to ERISA Planned Documents.

Review Retirement Plan Documents to make sure they are up to date with current Regulations and IRS Codes and standards.

Review ISA, TPA, NDAs, and other types of agreements

Workflow processes and procedures

Shumaker, Loop & Kendrick, Charlotte, NC Sept 2011 – May 2012

Paralegal (Contract) – Construction Litigation

WELLS FARGO BANK, CHARLOTTE, NC FEB 2010 – August 2011

Paralegal for Legal Department (Contract)

Paralegal for Commercial Deposit Department

Review of and Negotiation of Commercial Deposits Contracts, Drafting of Master Service Agreements, Account Disputes, Litigation, Account Documentation, AML, Regulations, RFP’s, Bankruptcy’s and SLA’s new and renewal (IT), for Risk to the bank

Project management

Researched Legal Information on Westlaw

DOOSAN INFRACORE INTERNATIONAL, Charlotte, NC Feb 2008 – July 2009

Executive Assistant / Paralegal

Supported multiple executives with appointments, travel arrangements and reporting; included CEO, Director of HR, Director of Global Mobility, Senior General Counsel, Director of Synergy, Senior Tax Manager and SVP of Operations. Held office manager responsibilities.

Supported CEO with appointment scheduling, international and domestic travel arrangements, expense reporting, event planning, office purchases and interview scheduling.

Supported HR with prospective employees with travel logistics and meeting schedules. Assisted in dashboard reporting for executives. Sent out offer letters and new hire employee paperwork. Worked with outside agencies/headhunters on candidate logistics.

Supported Director of Global Mobility with international employees’ work visa applications and relocation requirements and details.

Supported General Counsel with legal paperwork related to leases, state tax incentives and contracts (IT, Trademarks, etc.)

Supported Vice Chairman, CIO, Director of Talent Acquisition and Korea-based staff with appointments, travel, projects, budgets and visas.

LPL FINANCIAL INSTITUTION SERVICES, Charlotte, NC May 2007– Feb 2008

Executive Assistant / Paralegal for Compliance

Assisted Chief Compliance Officer and VP of Compliance with legal duties related to Financial Industry Regulatory Authority (FINRA).

Provided extensive travel and meeting planning. Scheduled interviews with candidates and followed up.

Provided Paralegal support and interacted with outside audit firms. Compiled paperwork from different departments within the organization. SEC filings.

Transamerica Reinsurance – Executive Assistance - Contract Position 2006 -2007

DASSAULT SYSTEMES, Charlotte, NC 2005 - 2006

Executive Assistant / Paralegal for Human Resources

Assisted Contracts Attorney with IT software, licensing, and SOW’s.

Supported CEO, Director and Controller as an Executive Assistant, on PowerPoint presentations and meeting and relocation assistance.

Held Contract Administrator / Paralegal duties including tax & annual reporting for regulators.

Provided HR support for international travel arrangements, dashboard reporting and ad hoc reporting.

FIRST CHARTER BANK, Charlotte, NC 2002 - 2005

Executive Assistant / Paralegal for IT and Chief Information Officer (CIO),

Supported CIO with calendar/appointment setting.

Tracked contracts. Created a database of all contracts utilized by the Bank.

Composed PowerPoint presentations & prepared and set up audio-visuals for Board Member quarterly meetings.

Updated company’s intranet site for new employees and for forms as the sole Intranet Site Administrator.

Vendor management analysis and cost savings analysis; researched company information and financials for risk to bank.

Provided change management reporting for new initiatives; tracked and reported on cost and headcount assigned to new assignments.

Administered new hire/promotions/Paid Time off (PTO) tracking and offer letters.

Negotiated and managed Service Level Agreements related to all software utilized by Bank.

First Charter Bank

Legal / Brokerage Assistant in Wealth Management (continued)

Used legal software for estate planning and legal research.

Assisted Attorney/CPA in all aspects of Legal and Accounting work for clients; included compiling assets and data entry into legal software to show clients what was needed to meet retirement, IRA’s or tax goals.

Took minutes at weekly departmental meetings.

Assisted in transferring assets from one financial company to First Charter Wealth Management Accounts by creating the transaction needed to formulate new accounts (IRA’s, Brokerage, etc.)

Served as Sales Assistant to a Client Advisor; obtained asset information from customers.

AMERICAN EXPRESS FINANCIAL ADVISORS, Rhinebeck, NY 1999 – 2002

Financial Office Manager / Assistant

Supported Financial Advisors with preparing for customer meetings. Handled aspects of client interaction. Scheduled appointments.

Held compliance responsibility for Regulatory reporting with National Association of Securities Dealers (NASD)

Assisted in the transactions of trades, corrections and changes. Completed applications for insurance, investments, annuities, IRA’s etc. SEC filings.

Communicated financial and investment related issues to appropriate departments to establish exemplary customer service.

PIUS XII / HOLY CROSS, Rhinecliff, NY 1998 – 1999

Administrative Assistant for Social Service Department

NORTHERN DUTCHESS HOSPITAL Rhinebeck, NY 1993 – 1997

Admitting Coordinator (part-time)

MERRILL LYNCH & COMPANY, Poughkeepsie, NY 1989 – 1993

Executive Assistant to Resident Vice President

Conducted all reports needed for branch office and logistics for office space. Responsible for Human Resources paperwork for new hires including benefits liaison, background checks, salary and title changes. Personnel related duties (attendance & personnel records). Responsible for U-4 reporting to FINRA formerly SEC and distribution of leads. Handled client complaints and problems. Helped supervise 5 Administrative Assistants.

EDUCATION & PROFESSIONAL TRAINING

NC Paralegal, UNC Wilmington, Wilmington, NC

Professional Training: Lean Six Sigma Green Belt and Agile Classes

Bachelor’s Degree, Fashion Institute of Technology, New York, NY and UNC Wilmington, Wilmington NC

Associate degree, Business Administration, Kingsborough Community College, Brooklyn, NY

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