Jim Fago
Business Unit Risk and Controls Sr. Manager at TIAA
- Role
- Business Unit Risk and Controls Manager at TIAA
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Jim Fago
Experienced FINRA licensed supervisory principal, and FINRA Arbitrator in the financial…
Experience
Business Unit Risk and Controls Manager
Jun 2019 — Present · Charlotte, NC, US
Leading key aspects of the Regulatory Readiness strategy and Regulatory Changes across Client Services & Technology• Developed end to end overall key performance indicator validation program targeting internal initiatives• Coordinate responses to regulator exam inquiries across institutional business• Project Managed process concerning Compliance and Legal Department provided citations pointing towards Key Rules Inventory content for streamlined user experience
Education
Excelsior University
Bachelor's degree, Business Administration and Management, General
1999
Wake Forest University Charlotte Center
Certificate in Financial Planning
2018
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