Open To Work
Laurie Lowe
Mooresville
Work Preference
Summary
Compliance Lead with extensive experience in regulatory compliance, governance, and risk management within complex banking environments. Recognized for designing effective compliance frameworks, leading cross-functional initiatives, and strengthening internal controls to foster a robust compliance culture.
Overview
27
27
years of professional experience
Work History
VP, Lead Compliance Officer, Corporate & Investment Banking
Wells Fargo
Charlotte
12.2022 - 04.2026
- Served as senior compliance advisor to CIB leadership, providing SME guidance on Reg O, Reg W, UDAAP, 15c2–11, and FINRA/SEC regulations, ensuring alignment with enterprise compliance expectations.
- Led complex compliance initiatives for Fixed Income Sales & Trading, including control effectiveness evaluations, regulatory issue resolution, and remediation oversight.
- Directed cross-functional efforts with Control Management, Independent Risk Management, and Regulatory Reporting to strengthen compliance governance and internal control environments.
- Assessed new and revised business products/services for regulatory risk, identifying gaps and recommending corrective actions to mitigate compliance exposure.
- Partnered with senior executives to address audit/testing findings, ensuring timely and sustainable remediation.
- Contributed to enterprise compliance culture by advising on policy enhancements, procedural updates, and risk-based decision-making.
Assessment Lead, UDAAP Compliance Program Office
Wells Fargo
Charlotte
03.2020 - 11.2022
- Designed and enhanced UDAAP review methodologies, standards, and assessment frameworks used across multiple business lines.
- Led highly complex, enterprise-wide UDAAP assessments evaluating policies, procedures, systems, and control environments for adequacy and regulatory alignment.
- Identified methodology deviations, quality deficiencies, and emerging risks; collaborated with senior leaders to implement corrective actions.
- Ensured regulatory changes were incorporated into assessment processes and communicated effectively across impacted business units.
- Provided thought leadership on UDAAP risk identification, mitigation, and governance.
VP, Enterprise Compliance Testing Manager
SunTrust Robinson Humphrey (now Truist)
Atlanta
10.2017 - 03.2020
- Directed the CIB compliance testing program, including testing strategy, scheduling, execution oversight, and credible challenge.
- Managed a team of compliance testers responsible for evaluating internal controls and identifying deficiencies across complex business processes.
- Developed and delivered testing metrics and reporting for senior leadership, highlighting trends, risks, and remediation progress.
- Partnered with business leaders to strengthen control environments and ensure timely closure of findings.
- Provided SME guidance on risk assessment, testing methodology, and regulatory expectations.
VP, Capital Markets Manager & Senior ISDA Negotiator
SunTrust Robinson Humphrey (now Truist)
Atlanta
12.2014 - 10.2017
- Managed the Swap Dealer onboarding and regulatory compliance team, overseeing adherence to Dodd-Frank, FATCA, and collateral/IM requirements.
- Acted as primary liaison for audits, regulatory inquiries, and compliance reviews related to Swap Dealer activities.
- Led training sessions for front office and documentation teams on regulatory changes and compliance obligations.
- Drafted, reviewed, and negotiated ISDA Master Agreements and related documentation; collaborated with Legal, Credit Risk, and front office partners.
- Maintained and updated Swap Dealer policies, procedures, and user manuals.
Compliance Manager
Fortegra Financial
Jacksonville
03.2014 - 12.2014
- Monitored federal and state regulatory changes and managed corporate compliance activities.
- Drafted and implemented enterprise compliance policies; led training sessions to support adoption.
- Managed product filings with state Departments of Insurance and developed compliance metrics.
- Supported development of the corporate Compliance Management System.
Contract Negotiator
Deutsche Bank AG
Jacksonville
07.2010 - 08.2013
- Drafted and negotiated ISDA documentation, collateral agreements, and related legal contracts.
- Interpreted complex contract provisions and collaborated with internal/external stakeholders to resolve issues.
- Coordinated with Credit, Legal, and counterparties to ensure regulatory and contractual compliance.
Legal Contract Negotiator, Leasing & Capital
Bank of America
Providence
12.2004 - 08.2008
- Negotiated and reviewed financial contracts for loan and leasing transactions.
- Performed due diligence, UCC filings, and legal research to support secured lending activities.
- Managed documentation required for underwriting and regulatory compliance.
Paralegal
Bombardier Capital
Williston
01.1999 - 01.2004
- Supported business units on legal matters, managed litigation files to ensure compliance, and coordinated with outside counsel to facilitate case resolution.
- Maintained and updated corporate document templates, ensuring version control for accuracy and accessibility.
Education
Paralegal Studies -
Manchester College
Business Administration Studies -
University of Connecticut
Skills
- Risk compliance management
- Regulatory governance
- Enterprise compliance
- Compliance testing frameworks
- Regulatory research
- Internal controls and effectiveness
- Compliance analytics
- Program development
- Risk management implementation
- Policy governance
- Procedure governance
- Continuous improvement
- Data analysis
- Cross-functional leadership
- Executive decision-making
- Team leadership and coaching
- Change management
- Effective communication
- Best practices documentation
Timeline
VP, Lead Compliance Officer, Corporate & Investment Banking
Wells Fargo
12.2022 - 04.2026
Assessment Lead, UDAAP Compliance Program Office
Wells Fargo
03.2020 - 11.2022
VP, Enterprise Compliance Testing Manager
SunTrust Robinson Humphrey (now Truist)
10.2017 - 03.2020
VP, Capital Markets Manager & Senior ISDA Negotiator
SunTrust Robinson Humphrey (now Truist)
12.2014 - 10.2017
Compliance Manager
Fortegra Financial
03.2014 - 12.2014
Contract Negotiator
Deutsche Bank AG
07.2010 - 08.2013
Legal Contract Negotiator, Leasing & Capital
Bank of America
12.2004 - 08.2008
Paralegal
Bombardier Capital
01.1999 - 01.2004
Paralegal Studies -
Manchester College
Business Administration Studies -
University of Connecticut