ANGELA HOLLIE

• Lead risk-based assessments across enterprise technology and cybersecurity environments, evaluating control design and operating effectiveness and documenting risks, control gaps, and recommended actions.
• Coordinated audit and assessment activities from scoping to completion, streamlining evidence collection, control validation, documentation review, stakeholder follow-up, and readiness support.
• Partnered with IT, Security, Compliance, Legal, and business teams to translate risk and compliance requirements into effective control improvements and sustainable remediation plans.
• Maintain clear issue documentation and corrective action tracking, monitor remediation progress, validate supporting evidence, and escalate unresolved control deficiencies through closure.
• Support annual risk assessments, compliance monitoring, governance reporting, and SOX IT general control activities across complex enterprise systems and processes.
• Delivered concise risk, compliance, and assessment reports to leadership and governance stakeholders, managing multiple workstreams across hybrid and remote teams.

• Conducted technology risk assessments, compliance reviews, and control testing to ensure adherence to regulatory standards in financial services.
• Evaluated security and operational controls, documented risks and control deficiencies, and facilitated remediation tracking to enhance compliance.
• Collaborated with technology and business stakeholders to address regulatory expectations, strengthening control environments and mitigating risks.

• Performed risk-based testing of supervisory procedures and supported compliance policy development and documentation.
• Provided supervisory oversight, approvals, escalation management, and compliance review of advisor communications.
• Completed quality reviews, metrics analysis, vendor oversight, and regulatory issue resolution.
• Formerly held FINRA Series 7, Series 63, and Series 24 licenses.
• Progressive roles in broker-dealer compliance, supervisory controls, registered principal functions, and brokerage operations.
• Led cross-departmental teams to address identified risks, fostering a collaborative approach that improved overall risk mitigation efforts.
• Assessed technology risks across applications, infrastructure, and access controls. 2. Supported risk assessments by gathering evidence and validating control design. 3. Documented control gaps and tracked remediation actions to closure. 4. Analyzed policies, procedures, and system configurations for compliance alignment. 5. Coordinated with stakeholders to clarify risks and confirm mitigation plans. 6. Prepared clear risk reports summarizing findings, impacts, and recommended actions. 7. Reviewed user access and privileged permissions for segregation-of-duties issues. 8. Assisted audit teams with control testing, documentation, and issue follow-up.

• Led regulatory and quality assurance testing to ensure compliance and accuracy in brokerage and client reporting processes.
• Gathered requirements, documented procedures, developed test scenarios, tracked defects, and facilitated remediation for quality sign-off.
• Analyzed business requirements for financial planning workflows and translated needs into clear system specifications.
• Documented user stories, process flows, and acceptance criteria for platform enhancements and support requests.
• Collaborated with stakeholders to refine requirements for client servicing and advisor-facing applications.

• Performed risk-based testing of supervisory procedures and supported compliance policy development and documentation.
• Provided supervisory oversight, approvals, escalation management, and compliance review of advisor communications.
• Completed quality reviews, metrics analysis, vendor oversight, and regulatory issue resolution.
• Formerly held FINRA Series 7, Series 63, and Series 24 licenses.
• Progressive roles in broker-dealer compliance, supervisory controls, registered principal functions, and brokerage operations.
• Led cross-departmental teams to address identified risks, fostering a collaborative approach that improved overall risk mitigation efforts.
• Assessed technology risks across applications, infrastructure, and access controls. 2. Supported risk assessments by gathering evidence and validating control design. 3. Documented control gaps and tracked remediation actions to closure. 4. Analyzed policies, procedures, and system configurations for compliance alignment. 5. Coordinated with stakeholders to clarify risks and confirm mitigation plans. 6. Prepared clear risk reports summarizing findings, impacts, and recommended actions. 7. Reviewed user access and privileged permissions for segregation-of-duties issues. 8. Assisted audit teams with control testing, documentation, and issue follow-up.

• Performed risk-based testing of supervisory procedures and supported compliance policy development and documentation.
• Provided supervisory oversight, approvals, escalation management, and compliance review of advisor communications.
• Completed quality reviews, metrics analysis, vendor oversight, and regulatory issue resolution.
• Formerly held FINRA Series 7, Series 63, and Series 24 licenses.
• Progressive roles in broker-dealer compliance, supervisory controls, registered principal functions, and brokerage operations.
• Led cross-departmental teams to address identified risks, fostering a collaborative approach that improved overall risk mitigation efforts.
• Assessed technology risks across applications, infrastructure, and access controls. 2. Supported risk assessments by gathering evidence and validating control design. 3. Documented control gaps and tracked remediation actions to closure. 4. Analyzed policies, procedures, and system configurations for compliance alignment. 5. Coordinated with stakeholders to clarify risks and confirm mitigation plans. 6. Prepared clear risk reports summarizing findings, impacts, and recommended actions. 7. Reviewed user access and privileged permissions for segregation-of-duties issues. 8. Assisted audit teams with control testing, documentation, and issue follow-up.

EARLIER COMPLIANCE & SUPERVISORY EXPERIENCE

Ameriprise Financial, Inc. | Progressive roles in broker-dealer compliance, supervisory controls, registered principal functions, and brokerage operations

• Performed supervisory oversight, approvals, escalation management, and compliance review of advisor communications.

• Completed quality reviews, metrics analysis, vendor oversight, and regulatory issue resolution.

• Formerly held FINRA Series 7, Series 63, and Series 24 licensesrisk-based testing of supervisory procedures and supported compliance policy development and documentation.

• Provided