Lance Mathis

Detail-oriented individual with exceptional communication and project management skills. Proven ability to handle multiple tasks effectively and efficiently in fast-paced environments. Recognized for taking proactive approach to identifying and addressing issues, with focus on optimizing processes and supporting team objectives.

• Operational Risk Consultant IV, Wealth and Investment Management, 03/01/14, 12/01/25, Managing the Enterprise Risk Identification program including quarterly risk and Mitigants assessments., Integral participant with Scenario Analysis, Stress Testing, and Op Loss Reporting., Ensuring WIM compliance with the Required Absence policy., Liaison between Enterprise Risk and LOB Risk to ensure adherence to regulatory and enterprise policies, rules, and requirements.
• Operational Risk Consultant III, Wells Fargo Securities, 09/01/07, 03/01/14, Mitigating and monitoring business activities., Testing and validating adherence of business line procedures and corporate mandated policies., Performing risk and control activity reviews, business self-assessments and implementing testing strategies., Maintaining inventories for RCSA, CRAS, CICAT, ILD, Payment Systems, and Records., Managing regulatory MRA’s, WFAS findings, self-identified issues, and related Corrective Actions.
• Operations Manager, Wells Fargo Wealth Management Group, 03/01/05, 09/01/07, Managed the Licensed Banker Support call center, supporting licensed bankers and their clients., Provided annuity, life insurance, and packaged products support for bankers, clients and vendors., Developed Operations Procedural and New Account Guide., BCP Coordinator.
• Registered Associate II, Wells Fargo Investments, Inc., 08/01/00, 03/01/05, Principal licensed Branch Assistant Manager responsible for reviewing and approving trade blotters, trade alerts, exception reports, and external email correspondence., Reviewed and approved new account applications and verified sales manager’s adherence to operational and regulatory requirements.
• Financial Advisor, PaineWebber, Inc., 01/01/98, 07/01/00, Financial Advisor for a diverse and complex portfolio of high net-worth retail and institutional clients; specializing in retirement, education, and estate planning., Created financial plans and forecasts to satisfy client trust and estate needs., Presented financial awareness seminars for clients and prospected clients.