Leslie Glenn
Charlotte
Summary
Experienced Compliance and Risk Senior Leader with a proven track record in managing Process Improvement, Fraud, Technology, Liability Risk Management, Global Compliance, Global Risk, Leadership, Issue Management, Business Continuity, and Operations. Recognized for strong negotiating and communication skills, along with problem-solving and process improvement abilities. Consistently delivers high-quality projects across diverse lines of business. Demonstrates a business-centric mindset and utilizes sound business judgment to customize approaches for optimal business outcomes.
Overview
29
29
years of professional experience
1
1
Certification
Work History
Senior Lead Operational Risk Officer
Wells Fargo
01.2023 - Current
- Develop fraud first line program assessment method and approach
- Provide enterprise oversight and governance for an integrated operational risk program or initiatives
- Monitor and address fraud risks, issues, and resolve escalation items
- Find discrepancies between existing controls and the level of risk protection needed, highlighting areas where improvement is needed
- Constructively and independently challenge existing risk management fundamentals or assumptions and develop alternative approaches and solutions
- Evaluate long term implications and consequences of strategic business decisions and recommend proper alternatives for risk management
- Lead implementation of complex initiatives with elevated risk, spanning multiple business lines
- Proactively investigate elevated risk controls out of tolerance
- Ensure fraud risk is identified through independent validation and testing of business fraud controls, strategy effectiveness, technology, processes/procedures ensuring fraud risk is identified and remediated
- Collaborate with business units, Enterprise Risk Management, and Fraud teams to define the Enterprise Fraud Risk Appetite and tolerance
- Influence and negotiate with executive management and business heads as high-level stakeholders both within and outside
- Create horizontal quality control process to ensure policy and procedures are being followed.
Enterprise Risk Manager
South State Bank
01.2019 - 01.2023
- Conduct risk assessments and reviews to assess first line of defense operational risk management practices and compliance with FINRA and FFIEC requirements
- Ensure first line of defense businesses are compliant with the second line of defense Operational Risk Management framework, policies, and standard
- Provide direction to cross-functional business units to achieve enterprise goal and aims
- Assist in developing the ERM framework, risk appetite, and standards, including risk scorecard, dashboard, and quantification method
- Support the enablement and first line of defense adoption of key Operational Risk processes in the second line of defense GRC technology solution deployment
- Engage with LOBs to provide operational risk ability and support
- Partner with key business unit owners across the enterprise to evaluate risk exposures and develop proper risk mitigation plans within the Archer
- Manage operational risk related governance forums and drive training and awareness efforts to support first line of defense engagement and policy compliance
- Provide project management oversight of the risk assessment program.
Corporate Compliance & Operational Risk Manager
Bank of America
01.2016 - 01.2019
- Support the implementation of Quality Assurance and Quality Control processes within frontline and second line defense through ongoing monitoring and testing of controls
- Identify issues and or control improvements for remediation, while assisting in building out action plans and milestones
- Execute line of business specific processes and tools to drive adherence to enterprise-wide standards
- Worked directly with multiple levels of executives on delivery and communication of progresses and risks across portfolio
- Setup and provide oversight for the RCSA program frontline and second line defense to ensure business units are adhering to the banks policies and procedures with appropriate controls
- Mentored and developed several risk associates within the risk organization focused on reporting and quality assurance.
Business Control Manager
Bank of America
01.2014 - 01.2016
- Supported the implementation of Quality Assurance and Quality Control processes with the Line of Business through ongoing monitoring and testing of controls
- Created a clear, coherent approach to guide effective project setup, execution, and control
- Identified issues and/or control improvements for remediation, while assisting in building out action plans and milestones
- Built solid relationships across team to fulfill information requests and requirements from audit, regulators, and initiatives
- Lead and perform tabletop exercises for Global Technology and Operations.
Business Continuity Consultant
Bank of America
01.2011 - 01.2014
- Developed standards, guidelines and test plans to evaluate the effectiveness of operational controls in order to identify control gaps and effectively communicate those to senior leadership
- Built solid partnership with domestic and international cross-functional teams that consist of corporate COOs, Finance, IT Partners, Business Support Managers and Support Groups
- Business continuity lead for several large major projects (NATO, Democratic National Convention, Republican National Convention and 2012 London Olympics) while continuing to direct external and internal events
- Created and managed resiliency training covering resiliency, issue management and crisis management
- Monitored 691 applications (Tier 0-6) along with 174 Application Managers for Technical Recovery Plans within Global Wholesale Banking Technology Operations
- Emergency Life Safety Lead for 20,000 associates that consisted of Senior Executives, Mangers, Business Line Leads and hourly employees.
Implementation Project Consultant
Bank of America
01.2010 - 01.2011
- Lead internal and external cross-functional teams that consist of corporate CEOs, Finance, and IT partners as well Treasury Product, Operation and Support groups
- Drove the end-to-end execution of multiple, large, complex and specialized client facing implementations, simultaneously
- Interpret and convert client business requirements into tactical technical and non-technical solutions
- Identify process improvement opportunities that demonstrate advocacy for the Implementation Project Consultant role.
Project Manager
Wells Fargo (formally Wachovia)
01.2010 - 01.2010
- Lead effective high performing cross-functional teams (London, Hong Kong, and Tokyo) that consist of 5-10 associates ranging from senior and mid-level managers, technical delivery managers and provide technical support internationally
- Facilitate projects that require cross-divisional coordination, communication, influence, and negotiation impacting 200K – 1.0M customers
- Responsible for building vendor relationships and internal partnerships to ensure US and foreign detail account information has been received from our London, Hong Kong, and Tokyo partners for the Retail Foreign Exchange integration project.
Senior Business Analyst
Wells Fargo (formally Wachovia)
01.2008 - 01.2009
- Subject Matter Expert for K2 imaging workflow system which is used in acquiring corporate investment banking equipment request and deal loan modifications between ~1MM- 200MM
- Project owner of detailed functional specifications, working with the business to analyze their business requirements and return, providing technical expertise, and producing functional design for any application additions, changes and modifications
- Created clear and concise HLD and LLD process flows with Visio for Private Banking, Commercial Banking, Community Banking, Wealth Management and Wholesale Banking while identifying risk functions.
Process Engineer
Wells Fargo (formally Wachovia)
01.2007 - 01.2008
- Lead and designed initial image base request form for Service Request Management team to instantiate ~20K -500K per year bank wide
- Drove the end-to-end process for converting Lotus Notes accounts to MS Outlook accounts impacting over ~15K -45K employees
- Conducted in depth analysis and designed high- and low-level process flows with Web Sphere Business Modeler on gathered project documentation with stated goals for request-based processes.
Process Design Consultant I
Bank of America
01.2006 - 01.2007
- Managed the end-to-end change control/governance process for 1300 Image ATMs to ensure the migration to a paperless environment
- Developed HLD and LLD process maps and functional design documents to enable the workforce management team to streamline, automate and optimize existing processes
- Facilitated weekly status meetings with site managers and executives to define strategies for best practices on capacity planning, scheduling, and issue resolution.
Process Improvement Engineer
Bose
01.1996 - 01.2006
- Managed several large cost savings projects that required cross-divisional coordination, communication, influence, and negotiation impacting 50K – 200K customers resulting in $200K- $1.5M net income and out standings; respectively, to the company annually through the DMAIC phases
- Streamlined production line process and measurements using Six Sigma Tools that resulted in a reduction in overhead of 20% in turn saving the company ~$50K per area
- Developed a customer return process that reduced on hand inventory cost by 40% saving the company $1.3M annually
- Built vendor relationships and internal partnerships to ensure costly deadlines were met when printed circuit boards, corrugated, electrical components and plastic resin had to be shipped ordered and scheduled from our foreign partners totaling over $500k monthly
- Managed a high performing team of eight process improvement associates to address large scale plant wide improvement projects.
Education
BS - Business Administration
Southern Wesleyan University
Central, SCSkills
- Business Continuity
- Quality Assurance
- Global Banking
- Program Management
- Stress testing
- Risk Appetite
- Risk mitigation strategies
- Information Security
- Internal Controls
- Incident Management
- Enterprise risk management
- Issue Management
- Risk Management
- Business Strategy
- RCSA
- Fraud
- Strategic Planning
- Communication Excellence
- Executive Presentations
Certification
Certified Quality Improvement Associate
Methodologiesandtools
- Software Development Lifecycle (SDLC)
- Agile Project Development
- Lean and Six Sigma Process Improvement
- DMAIC
- BtConverge
- HP Quality Center
- SharePoint
- RCSA
- Archer
- Jira
- GETS/WPS
- SNOW
Awards
- Bank of America Bronze Award 2016, 2018
- Bank of America High Five Award 2016, 2017
- Bank of America Gold Award 2017
Timeline
Senior Lead Operational Risk Officer
Wells Fargo
01.2023 - Current
Enterprise Risk Manager
South State Bank
01.2019 - 01.2023
Corporate Compliance & Operational Risk Manager
Bank of America
01.2016 - 01.2019
Business Control Manager
Bank of America
01.2014 - 01.2016
Business Continuity Consultant
Bank of America
01.2011 - 01.2014
Implementation Project Consultant
Bank of America
01.2010 - 01.2011
Project Manager
Wells Fargo (formally Wachovia)
01.2010 - 01.2010
Senior Business Analyst
Wells Fargo (formally Wachovia)
01.2008 - 01.2009
Process Engineer
Wells Fargo (formally Wachovia)
01.2007 - 01.2008
Process Design Consultant I
Bank of America
01.2006 - 01.2007
Process Improvement Engineer
Bose
01.1996 - 01.2006
BS - Business Administration
Southern Wesleyan University
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