• Hired into newly created role to build new compliance group responsible for creating effective CR reporting; recruited entire compliance team, developed and implemented processes, established group framework, created metrics (risk measurement, KRIs, and other reporting metrics), and built/created controls: ─Tasked with reviewing data analytics to identify trends/themes/concerns in frontline data. ─Led team of 7-14 direct reports (Lead Compliance Officers and Senior Compliance Specialists). ─Served as senior leader representing CR with the OCC. Reported to the Senior Director of Compliance.
• Provided actionable insights and insightful data to Conduct Risk partners to take required actions.
• Collaborated with multiple teams across frontline and within Conduct Risk; worked with Head of Conduct
Management and other senior leaders/executives. Directly presented to the OCC.
• Oversaw the analysis and preparation of key reports and communications for key stakeholders' review, includin

Same work experience as described below under TIAA.

• Highly successful tenure with organization (TIAA acquired Nuveen in 2017), consistently exceeding KPI goals and working with cross-functional teams/leaders to drive risk mitigation, compliance and business ethics goals: ─Served as both TIAA's and Nuveen's Ethics Leader, and as the Nuveen Global Anti-Corruption Leader. ─Served in lead roles for multiple enterprise-wide committees, including Chairperson of the TIAA Ethics Office
Oversight Committee and lead member of Enterprise Risk Management Committee.
● MBA, FLMI
● • (Page 2)

Created the Retail Investment Group's operational risk management framework. Directed Operational Risk Group, Vendor Management, Registration and Licensing teams (managed 6 direct reports). Retained post A.G. Edwards merger as one of the WS senior leaders during critical WS St. Louis transition. Served as Risk Expert of WS Loss Management and Committee, and representative along with the President of WS and other senior leaders on WS Diversity Committee. Improved quality scores (all functions) from ~65% to 90% by successfully implementing and streamlining processes. Earned 2005 "Vision Award" (presented to 1 out of 40 Managers) for creating the operational risk-governance structure; led Risk Management team that won 2005 "Outstanding Performance Award".
● Early Career Experience as Director of Management Reporting & Analysis, and Director of Client

on both internal & outside audits. Served as Member of the Senior Leadership Team. Recognized as the top Manager (out of dozens) on all large-scale projects. Built/directed all operational and financial functions.