Francis K. Sio
Sr. AVP - Sr. Compliance Associate
- Role
- Sr AVP Sr Compliance Associate at Wells Fargo
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Francis K. Sio
Compliance & Risk Management Professional: Strategic compliance leader with…
Experience
Sr AVP Sr Compliance Associate
Mar 2021 — Present · Charlotte, NC, US
Drive enterprise-wide reporting by preparing and delivering Monthly Enterprise Metrics & Analysis Reports (MEMAR) to senior leadership, risk committees, and the Board. Streamlined reporting processes by identifying needs, designing solutions, and implementing automation.• Project Manager for multiple high-impact initiatives, including centralizing Quality Assurance, automating Surveillance and Health Checks, and transitioning 135+ manual Global Pre-Clearance reports into interactive Tableau dashboards - significantly reducing manual risk and improving efficiency.• Serve as Risk Manager, proactively identifying, escalating, and mitigating emerging conduct and compliance risks. Conduct data-driven deep dives to uncover trends, root causes, and recommend corrective actions to strengthen controls.• Develop and deliver Conduct Risk monitoring insights on allegations and sales practices across the bank, providing executives and regulators with clear visibility into risk levels, trends, and outcomes.• Partners with cross-functional teams to design meaningful KPIs, metrics, and dashboards that measure process effectiveness, support decision-making, and monitor the lifecycle of misconduct events.• Author and contribute to monthly, quarterly, and ad-hoc compliance reports for senior management, compliance committees, regulators, and the Board of Directors.• Mentor and coach new team members, providing training, feedback, and performance support to ensure operational excellence and professional growth.• Champion process improvement by evaluating efficiencies, identifying gaps, and implementing sustainable reporting practices that enhance transparency, accountability, and compliance governance.
Education
Catawba College
Bsc Business Administration
1997 — 1999
Pfeiffer University
Master of Business Administration - MBA
2003 — 2005
Skills
- Forecasting
- Banking
- Risk Management
- Credit Analysis
- Finance
- Commercial Lending
- Financial Analysis
- Credit
- Financial Modeling
- Analysis
- Asset Managment
- Project Management
- Portfolio Management
- Loans
- Mortgage Lending
- Underwriting
- Operational Risk
- Asset Management
- Due Diligence
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