Sarah Shkutov

AVP, Compliance @Wintrust Financial Corporation

Rosemont, IL, US

Implements and oversees program to monitor and document changes in regulations, enforcement actions, guidance, and other regulatory publications. Conducts impact analysis for changes, engaging subject matter expert and business line teams to ensure risks are identified and controls are aligned with regulatory changes/guidance. Ensures changes are communicated to stakeholders and provide regular reporting to governance committees.• Oversees change management process for compliance approval of marketing materials/websites, product/disclosure updates, procedure changes and other items submitted for compliance review and approval.• Oversees compliance risk assessment for new initiatives. Engages with other compliance subject matter experts and business line teams as needed.• Oversees compliance risk as part of the Third Party Risk Management Program, including participating in vendor meetings to assess initial risk and risk during ongoing vendor relationship monitoring.• Monitors the Compliance Policy and Procedure inventory and oversees the annual review and approval process.• Oversees compliance related online training curriculum, reviewing and approving annually to ensure assignments are appropriate by role.