Meet Tim

Senior Director

Tim Stokes

Tim Stokes

Tim Stokes is a regulatory compliance and operational risk professional with 20 years of experience in the financial services industry.  His broad experience, which includes serving in-house at financial institutions, as a federal regulator, and as a consultant, uniquely qualifies Tim to identify and resolve complex regulatory issues from multiple perspectives. Tim’s expertise includes large-scale remediation projects in response to regulatory enforcement actions concerning consumer protection financial regulations and laws, risk assessments and program enhancement experience.

Tim previously served as Chief Compliance Officer for a regional bank, and in secondment Chief Compliance Officer and Fair Lending Officer roles for mid-size and large financial institutions. Tim is also a Certified Regulatory Compliance Manager.

Tim’s relevant experience includes:

  • Led the complaint management workstream under an Independent Monitor in a UDAAP and consumer fraud DOJ enforcement action project for an international money transmitter;
  • Developed and executed the quality assurance program for a large remediation plan in response to an OCC consent order for SCRA violations;
  • Provided regulatory advice and guidance in CFPB and OCC examination responses for large financial institutions; and,
  • Developed detailed project plans, program documents, dashboards, and executive and regulatory reporting routines for long-term remediation projects for in complaints, UDAAP, consumer fraud, and SCRA enforcement actions.