Rafe Fritz

About Rafe Fritz

Results-focused compliance risk management professional offering 25 years of broad based project management, risk identification and mitigation experience in the financial services industry. Proven ability to command strong performance through leadership and influence in a matrixed environment. Demonstrated exceptional ability to develop strong relationships with internal and external parties. Specialties: Strategic thinking Process improvement Risk identification Problem solving Gap Analysis Regulatory Compliance Privacy/ GLBA Effective communicator Project Management Relationship building Risk Control Matrices Six Sigma Change Management Program Management

Experience

1. Compliance Consultant

   Wells Fargo

   Aug 2015 — Present · Charlotte, NC, US

   Enterprise Functions Compliance (Second Line) 1/2019- present Responsible for providing front line Privacy Policy guidance as well as credible challenge of front line processes, procedures and projects • Analyze all new/revised state TCPA/privacy legislation; produce and communicate impact assessment to the enterprise• Manage State Telemarketing Laws Website • SME for TCPA guidance and credible challenge for front line • Responsible for privacy-related guidance and credible challenge for technology-based projects • Enterprise representative for application assessment and remediation work stream of CCPA implementation• Assist less-experienced team members with understanding privacy risks and risk framework requirementsFinancial Institutions Group, Risk & Control (Front Line) 6/2017- 1/2019Responsible for multiple aspects of risk and control maintenance and reporting for the business including:• Major Requirements Compliance Management – Analyze all applicable policy and compliance requirements to determine risk level and ensure appropriate controls are in place and properly reported • Operational Loss Management – Investigate, manage and report all operational losses, escalating as appropriate• RCSA – Assess and report compliance and operational risks and controls

Education

• Fairleigh Dickinson University-Florham Campus

  MBA, Corporate Finance

  1993

• Millersville University of Pennsylvania

  BS, Business Adm

  1980 — 1984