General Counsel/Senior Executive Vice President of CertusHoldings, Inc. and its subsidiaries, including CertusBank, N.A.
- Charlotte, North Carolina
- Financial Services
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Legal and Compliance executive with over 25 years of experience in the banking industry and private legal practice. Responsibilities have covered a wide variety of responsive transactions, functions, and services for and with large corporations. Experience has been international, including living and working abroad. Eager and open to utilitizing experience in a wide range of environments and roles.
Specialties:Excel at risk/reward equation. Implement fInancings of all types using a wide variety of techniques, including investment banking and syndicated lending. Support most corporate functions, both line of business and staff support. Efficiently manage budgets and personnel. Communicate crisply to senior management and regulators. Institute measurable and repeatable processes. Transition with acquired institutions to arrive at best practices and tools.
Reported to the Consumer Risk Executive to integrate mortgage compliance function between BAC and Countrywide. Leveraged resources across the organizations, driving collaboration to achieve improved efficiency through use of best practices, systems and tools. Instilled management focus and discipline. Demonstrated sound judgment and acted with speed under pressure in response to financial company failures during the financial crisis, including assessing multiple relationships and taking appropriate action to minimize losses. Constantly communicated with regulators and auditors. Personally downsized in response to budget cuts resulting from the economic turmoil.
Reported to the Global Compliance and Operational Risk Executive to support Shared Services and Program Administration team of Global Compliance and Operational Risk (GCOR). Responsibilities included enterprise compliance operations and services (Global Control Room, Associate Investment Monitoring, Registration and Licensing and Equity Aggregation), Enterprise Privacy Risk and Staff Support Risk, GCOR Program Strategy and Integration and performance management and reporting. Integrated acquired institutions and leveraged Six Sigma tools to drive revenue, reduce costs and add value. Executed communication routines with regulators and auditors to set expectations and demonstrate commitment and results.
Responsible for implementing anti-money laundering and economic sanctions compliance for BAC globally. Responsible for overseeing the monitoring, surveillance, analysis, investigations and reporting of global anti-money laundering and global terrorism financing activities for BAC. Systems enhanced using Six Sigma methodology.
Reported to the new General Counsel to support Personnel, Marketing, Principal Investing, Latin America, Global Technology and Operations, Supply Chain Management, Global Treasury Management and Corporate Workplace. Integrated Fleet and other acquired financial institutions into BAC structure and personnel.
Director of Litigation – Reported to the General Counsel to support litigation and dispute related matters for BAC globally. Coverage included managing significant cases, being involved with dispute resolution (including review of pleadings and attendance at court proceedings, arbitrations and mediations), formulating litigation strategy, coordinating line of business attorneys and clients, coordinating response to discovery requests and subpoenas, reporting necessary information related to litigation exposure, attempting to settle disputes pre-litigation, managing outside counsel and balancing exposure and expense.
Held a variety of positions with increasing responsibility in the Legal Department supporting the Global Corporate and Investment Bank (GCIB). Responsibilities included corporate syndicated lending, distressed debt trading, project finance and emerging markets investment banking. Drove collaboration among financial institutions to use standard loan documentation for syndicated lending. Integrated BAC and other acquired institutions into NationsBank structure and personnel.
Significant experience representing borrowers and lenders in areas of specialized finance, corporate reorganizations, mergers and acquisitions, acquisition and receivables financings and in Chapter 11. Restructured the debt and assets of international companies through a variety of techniques, including the formation of partnerships, the sale of assets and the exchange of debt and equity. Located in Tokyo office for six months to implement a client's global restructuring.
Associate in Financial Services Department of 300+ law firm (now disbanded). Experience included representing borrowers and lenders in acquisition financings, commercial lending transactions, leveraged leases, asset dispositions (assets and stock) and municipal financings
- Executive Management
- Corporate Governance
- Private Equity
- Enterprise Risk...
- Risk Management
- Contract Negotiation
- Litigation Management
- Commercial Lending
- Loss Mitigation
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