Risk Management and Compliance Consultants
Jan has worked more than two decades in the financial services sector. She has hands-on, in-depth experience effectively managing risk assessment and fiduciary compliance programs as Senior Vice President for two large regional banking organizations, First of America Bank and National City Bank. At each institution she developed a highly effective team to assess, analyze and mitigate regulatory and fiduciary risks, collaborating with trust, investment management, broker-dealer, corporate trust, retirement and other business units to tailor programs to meet their needs while effectively addressing regulatory requirements. At First of America, Jan also developed a new broker-dealer which grew to 30,000 accounts across four states which was the first bank-owned broker to join the Securities Industry Association (now SIFMA). All of her roles have involved frequent and productive interactions with regulators. Jan is also a Certified Fraud Examiner with the ability to provide assistance on investment-related fraud cases involving breaches of fiduciary duty.
Jan has served as a guest speaker and panelist at conferences for several industry groups, including the National Society of Compliance Professionals, the Fiduciary and Investment Risk Management Association, the Bank Securities Association, the Michigan Bankers Association, and the Bank Administration Institute. She has provided training for fiduciary examiners at the Asset Management Division of the Office of the Comptroller of the Currency (OCC) and the Asset Management Forum of the Federal Financial Institutions Examination Council (FFIEC). She is a past member of the Michigan Bankers Association Trust Counsel Committee, and a graduate of Leadership Kalamazoo. She is currently a member of the Fiduciary and Investment Risk Managers Association (FIRMA), the Fiduciary Risk Management and Compliance Roundtable, and the Association of Certified Fraud Examiners. She also serves as an editor of the industry publication, Firma Forum, and is a frequent commenter on industry matters, including fiduciary standards.
Follow our Tweets on legislative and regulatory developments in the world of fiduciaries @FidFore.
©2011 Fiduciary Foresight LLC