Sarah Johansen
Senior Institutional Investment Operations Specialist @Wells Fargo
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WORK HISTORY
Senior Institutional Investment Operations Specialist @Wells Fargo
Charlotte, NC, US
I oversee the continuing due diligence workflow for our line of business, acting as the key point of contact for all customers who are subject to regulatory assessment. I work closely with financial crimes operations teams to collect Patriot Act Certification (PAC) for relevant customers, as well as liaise with relationship managers to obtain the essential client information and communicate with other teams to fulfill regulatory deadlines. I am in charge of numerous remediation strategies to upgrade our organization\'s existing procedures, resulting in stronger infrastructures throughout operations. I create various new partnerships across the organization to support all elements of our business and guarantee alignment with the team\'s goals. I conduct onboarding sessions to train new team members on regulatory standards and financial crimes policy, and led ongoing team training sessions to ensure current team members were up to date with internal policies and federal regulations. Selected Accomplishments:* Produced comprehensive team procedures that covered all initiatives across due diligence, leveraging extensive knowledge and understanding of all relevant processes.* Played a pivotal role as a team representative in various ongoing project discussions, providing valuable insights and subject matter expertise while staying informed of upcoming deliverables.* Achieved an above-average end-of-year review from leadership, which commended strong leadership skills, meticulous attention to detail, risk management expertise, and unwavering enthusiasm.
EDUCATION
Central Piedmont Community College
Associate of Arts - AA
Colorado State University
General Studies
University of North Carolina at Charlotte
Bachelor of Arts - BA, Major: Communication Studies Minor: Software & Information Systems
ABOUT SARAH JOHANSEN
Experienced senior team lead with a demonstrated track record of success in developing and implementing compliance strategies in the financial services industry. As a director of compliance, I have led cross-functional teams to achieve company goals while ensuring strict adherence to regulatory requirements. My expertise lies in conducting in-depth research, analyzing data, and implementing effective solutions to mitigate risk. I am a qualified BSA/AML professional adept at identifying financial crimes, implementing compliance programs, and collaborating with cross-functional teams. I have a strong ability to collaborate with internal and external stakeholders and provide subject matter expertise on AML/KYC and client onboarding processes. I am well-versed in using various compliance-related tools and systems. With my strong communication and leadership skills, I have built and maintained positive relationships with clients and team members. As an expert in building relationships and collaborating with internal and external stakeholders, including sales teams, financial crimes partners, and regulatory authorities, I have proficiency in conducting risk assessments, overseeing due diligence processes, and monitoring suspicious activities to mitigate risk and prevent financial crimes.
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