David Ward is an attorney and regulatory compliance executive with over 20 years of compliance risk management experience. He has significant experience developing industry-leading Compliance Management Systems (CMS) from his previous roles as a Compliance Director for Capital One, as well as the Head of Compliance for a Fintech start-up. He has led teams responsible for providing regulatory guidance and effective challenge to business areas, conducting compliance transaction testing, managing regulatory exams and audits, and managing internal compliance processes.
David earned his BA from the University of Virginia and his JD from the University of Richmond. He is a Certified Regulatory Compliance Manager and a Certified Information Privacy Professional.
David’s experience includes:
- Assessment and development of CMS for financial services of different sizes ranging from large banks to Fintech start-ups including risk assessments, controls and monitoring, compliance transaction testing, control testing, reporting, issue management, complaint management, third party management, training, change management, and policies, standards, and procedures
- Management of audits and exams, including successful remediation of high-risk audit findings, and Matters Requiring Attention (MRA’s) from federal and state regulators
Advising business and process areas throughout the organization on applicable requirements including UDAAP, Regulation Z, Regulation B, FCRA, Privacy, and FDCPA/Regulation F, SCRA, and MLA.