Esra Riggs MBA, CFSA, CIDA is a Risk Management and Internal Audit/Compliance Professional with close to twenty years of experience.
Curently VP, Compliance Manager for Collective Investment Funds at Wells Fargo, Esra was a Associate Director of Risk and Control Management for Optum-United Health Group . Prior to joining Optum she was leading the Internal Audit and Risk Management efforts for Alerus Financial for the Wealth Management business lines including Investment Advisory and Asset Management, Broker Dealer Services, Trust Administration, Trust Asset Management, Common and Collective Funds, Fiduciary Services, Retirement Plan Services business lines. Esra started her Audit careers first with KPMG and then with Ameriprise. Prior to becoming an Audit professional she had been the Regional Compliance Officer for Mass Mutual in Central Illinois, supervising 22 branch offices and creating and implementing the Compliance program for the region.
Esra has a BA in Banking and Finance and a MBA. She also holds Certified Financial Services Auditor (CFSA), Certified Investments and Derivatives Auditor (CIDA) designations.
Esra has extensive experience in:
• Enterprise Risk management
• Corporate Governance
• Financial, regulatory and operational audits and project management.
• Managing and developing audit personnel, audit programs and methodologies,
• Development and execution of annual audit plans
• Acting as the liaison for regulatory exams conducted by OCC, SEC, FINRA and other regulatory bodies
• Actively working with management in resolution of issues identified by internal audit and external examiners.
• SOX, FDICIA Controls and COSO frame work
• Process Design and Improvement Consultations
• Regulatory Compliance Program Development and Reviews