David Spencer

About David Spencer

As a Governance, Risk & Compliance and Government Relations executive I instill a passion…

Experience

1. Director of Compliance and Government Operations Ct Corporation

   Wolters Kluwer

   Jan 2019 — Present · Minneapolis, MN, US

   Leader of Compliance and Government Relations teams for CT Corporation in the Financial & Corporate Compliance (FCC) business unit of Wolters Kluwer. Responsibilities include providing federal and state compliance legislation monitoring and analysis for business entity and UCC filings, oversight of registered agent service of process legal matters, and managing nationwide governmental relationships and compliance activities with Secretaries of State, and the Office of Foreign Assets Control (OFAC) and Financial Crimes Enforcement Network (FinCEN) within the U.S. Treasury Department. • Beneficial Ownership Information (BOI) Reporting: Compliance expert involved in the design, launch and sales of WK beneficial ownership information reporting service for FCC and Tax & Accounting businesses; industry conference BOI speaker; service received numerous industry awards and the WK Global Innovation Award; delivered 3x over initial revenue target. • Responsible for managing U.S. Treasury FinCEN relationship and communications, including filing comments in response to BOI proposed regulations and providing feedback to FinCEN on their FAQs and API. • Reengineered OFAC sanctions compliance program processes and technology to avoid significant financial and reputational risk and achieve gold standard levels.• Introduced KPIs and standardized metrics; documented best practices to ensure quality and efficiency; established ongoing SWOT analysis and maturity models; process improvements realized 25%+ savings. • Established innovation teams to identify process and product opportunities. • Ally member of the Wolters Kluwer Women’s Network. • Continual focus on team member development to support career progression and team engagement; engagement scores consistently exceed industry benchmarks; entire team awarded CT Corporation Employee of the Year award for continuing Secretary of State filings throughout Covid despite continual challenges relating to state office closures.

Education

• University of St. Thomas

  BA Magna Cum Laude

• William Mitchell College of Law

  JD, Magna Cum Laude

Skills

• Global Operations
• Performance Management
• Employee Engagement
• Operations Management
• Customer Insight
• Lean Startup
• Product Development
• Leadership Development
• M&a
• Strategic Planning
• Regulatory Compliance
• P&L Management
• Public Speaking
• Government Relations
• Vendor Management
• Organizational Development
• Agile Methodologies
• Growth Strategies
• Cross-Functional Team Leadership
• Team Building
• Data Analytics
• Marketing
• Product Management
• Quality Assurance
• Recruiting
• Product Demonstration
• Human Resources
• Business Process Management
• Lean Six Sigma
• Acquisition Integration
• Legal Research
• Market Research
• Corporate Law
• Strategic Partnerships
• Taxonomies
• Culture Change
• Change Management
• Relationship Management
• Business Process Improvement
• Licensing