Brandy Simons
Executive Director, Compliance Complaints Policy Governance
- Role
- Executive Director, Senior Manager, Compliance - Complaints Oversight Governance at Wells Fargo
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Brandy Simons
Experienced compliance professional with over 25 years of compliance oversight and strategic planning in the banking and retirement plan industry along with 15 years of management experience. A driven leader with excellent communication and problem-solving skills with a proven track record of motivating employees and partnering with key business decision makers to drive results.
Experience
Executive Director, Senior Manager, Compliance - Complaints Oversight Governance
Aug 2022 — Present · Charlotte, NC, US
Manage and lead team of Compliance Officers and Senior Compliance Consultants with the implementation of the companywide complaints program with moderate to high risk complexity• Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements• Provide compliance risk and regulatory expertise for compliance program elements• Identify and recommend opportunities for process improvement and risk control development• Lead the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management• Report on the Compliance Program to more experienced compliance leaders, committees, and appropriate business management• Interpret policies, procedures, and compliance requirements
Education
Purdue University
Bachelor of Science - BS
Western Governors University
Master of Science - MS
Skills
- Investments
- Financial Services
- 401k
- Mutual Funds
- Series 7
- Series 63
- Retirement Planning
- Management
- Retirement
- Employee Benefits
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