Degree: J.D. with a compliance concentration, Class of 2017
Current position: Assistant Vice President, Regulatory Services and Risk Governance at U.S. Bank
Describe your job responsibilities.
- Manage the bank’s relationship with federal and state examiners such as the OCC, FRB, CFPB, etc., to oversee and implement the bank’s formal examination management program and ensure a consistent approach across the enterprise.
- Work with technology operations, information security and cyber incident business lines to manage exam processes such as exam planning, exam responses, meetings with regulators, tracking requests and submissions, reporting and maintaining an enterprise repository of exam records.
- Conduct research on regulatory developments in areas of interest to bank regulators, and help to identify and resolve potential regulatory issues as they become apparent through the course of regulatory exams.
What motivated you to pursue a degree in Organizational Ethics & Compliance (OEC)?
My motivation stemmed from my passion for ethics. Compliance is not only important because it helps the company maintain a legal and ethical standard, but it also exists to protect consumers. I am lucky to be part of a company that has continuously been voted one of the most ethical companies in the world.
What skills do you feel are most important for someone in your position?
Effective listening and adapting. These are two things that both my law and compliance classes at St. Thomas really honed in on. In my role in risk management and compliance, my client is both US Bank and the regulators. I need to be able to understand what the regulators want, work with the business lines to get that and provide a good product back to them. It is really important to be detailed oriented by really listening to what it is the client needs.
What was your favorite and/or most practical Organizational Ethics & Compliance class?
The most practical class I took was Compliance Programming. It was extremely helpful and necessary to learn the basics of a compliance program and how to build one effectively. The class gave me a good basis for my career. The class I found to be my favorite was Ethical Leadership. I really enjoyed the many, many compliance leaders that were brought into the classroom. It provided many viewpoints and the ability to learn from some of the most successful lawyers in compliance.
Has your St. Thomas OEC degree distinguished you from others in your industry?
I feel the OEC program has given me a leg up because I knew the basics of a compliance program when I graduated and had learned firsthand from some of the most effective compliance leaders in the game. It gave me a lot to talk about in an interview before I had even worked in a compliance program. The program has also given me a lot of networking opportunities. The classes are filled with accomplished compliance professionals and taught by leaders in the industry.