Gwen T.
Experienced Governance Risk Compliance Professional BSA/OFAC, KYC/CDD/EDD, Sanctions, Risk Management, AML/FIU/SIU Investigator, TBML, SARs, Financial Crimes, Business Execution, Policy and Procedures, UAT, RMRS and SAS
- Role
- Business Execution Consultant V at Apex Systems
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Gwen T.
Governance, Risk & Compliance executive with 20+ years of experience strengthening AML, Financial Crimes, Sanctions, Operational Risk, and Enterprise Control environments across major global financial institutions. I specialize in converting complex regulatory expectations into sustainable, enterprise‑ready solutions that withstand audit and regulatory scrutiny.I lead initiatives across fraud claims resolution, AML/BSA, OFAC sanctions, CIAM, and regulatory remediation—driving program maturity, closing control gaps, and delivering measurable risk reduction.My work spans regulatory compliance, trade‑based money laundering, enterprise risk management, and program execution. I develop high‑quality remediation documentation, conduct complex transactional analyses, and strengthen governance and monitoring frameworks to meet regulatory standards.GOVERNANCE, RISK & COMPLIANCE• Enterprise Governance & Controls• Operational Risk & Control Testing• Policy, Procedure & Program DevelopmentREMEDIATION & REGULATORY REPORTING• Issue Management & Corrective Action• Tollgate Readiness & Evidence Validation• Compliance‑Ready DocumentationAML & FINANCIAL CRIMES• AML Investigations (Retail, Commercial, Global)• SAR Decisioning & Regulatory Reporting• KYC / CDD / EDD (High‑Risk & FFI)• Sanctions Screening & OFAC Compliance• Trade‑Based Money Laundering (TBML)BUSINESS EXECUTION & TRANSFORMATION• Enterprise Program Governance• Cross‑Functional Leadership• Process Optimization & Risk MitigationFINANCIAL SERVICES EXPERTISE• Brokerage & Advisory Operations• RIA / IRA / FINRA / SEC Knowledge• Client Issue Resolution & Escalation Management
Experience
Business Execution Consultant V
Apr 2025 — Present · Charlotte, NC, US
Wells Fargo Chief Operating Office (COO)- Shared Services Issue Resolution and Business Enablement Business Execution Consultant VPartnered with executive leadership and cross-functional directors to design, launch, and execute key initiatives addressing compliance commitments and enterprise transformation objectives. Defined business problems, gathered requirements, and established governance routines to drive transparency, accountability, and timely milestone delivery. Authored and refined Issue Closure Memos summarizing remediation activities and control enhancements to support tollgate readiness and demonstrate alignment with AML, CDD and CIP policy requirements. Collaborated with business, control, and risk partners to validate evidence, document sustainable corrective actions, and ensure consistent adherence to enterprise compliance standards. Recognized for delivering compliance-ready documentation that effectively closed control gaps, mitigated risk, and met expectations of senior leadership and independent review teams.
Education
Southern Piedmont Community College
Human Resources Management and Services
Medaille University
Business Administration and Management, General
Erie Community College
Word Procesing, Office Adminisration
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