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Alison Stokes, CRCM

Senior Compliance, Fraud & Risk Management Executive

(619) 807-0478

Qualifications

All services
All services
Compliance, Fraud, and Risk Management

Compliance, Fraud, and Risk Management

ACCOMPLISHMENTS
  • Compliance and Risk Leadership: Successfully led the implementation of TRID, impacting sales and operations workflows, …
CORE COMPETENCIES
  • Compliance and Risk Management Expertise: Proficient in administering compliance and risk management, particularly in …
CRCM and CFE Designations

Achieving my Certified Regulatory Compliance Manager (CRCM) designation on November 5, 2010, marked a significant …

MARKETING AND ADVERTISING COMPLIANCE

Because I find the science of marketing fascinating, my BS/BA degree has a concentration in Marketing. With this …

About Me

Professional Overview

Welcome to my website. I am Alison Stokes, a Senior Compliance, Risk Management, Fraud Executive & Strategic Advisor with over 15 years of leadership in the banking sector. My career includes key roles at U.S. Bank (formerly MUFG Union Bank), where I managed and implemented major initiatives, focusing on mortgage fraud, AML, consumer protection, and fair lending. My expertise covers Compliance Management Systems, control mapping, RCSAs, and issues management. I have collaborated closely with training teams, legal, and audit departments, and have extensive experience meeting with regulatory agencies.


I’ve successfully led strategic initiatives, ensuring timely delivery and compliance with regulatory changes. My approach integrates deep understanding of consumer financial services, risk mitigation, and policy design, fostering a culture of compliance and integrity.


Professional Engagement & Community Involvement

I am actively involved in community and professional growth initiatives, participating in the American Board Leadership Institute and mentoring others through Micromentor.org. My professional affiliations include:






With a track record of success in navigating complex regulatory landscapes and leading high-performing teams, I am committed to continuous learning and growth. I take pride in my contributions to my industry and community and strive to inspire those around me to do the same. Thank you for visiting my website, and I look forward to connecting with you.









Contact Me


Email [email protected], call (619) 807-0478, or send a message to me at LinkedIn to contact me.


Testimonials

TA

Alison, Thank you for your very thoughtful note accompanying the "Moments that Matter" award you sent last week. As someone who has benefitted greatly from your mentorship, I truly appreciate your kindness and encouragement. Thank you very much!

Thomas A., Esquire and Mentoree
May 9, 2022
DC

Alison, Thank you very much for your support with the OCC FHA Testing Focus Review 2020-52 and for making the file review request a top priority! I truly appreciate your oversight of the thorough, detailed review performed by your team of the 62 files, notes and system data and summarizing your questions and comments for discussion. This was a large undertaking and your knowledge, subject matter expertise and commitment is truly valued! During the soft-close meeting with the OCC on 9/17/20 the OCC stated that we "did not treat Hispanics differently and met FHA requirements. Our processes are consistent and they did not see variances in our processing." The exit meeting and Supervisory Letter are forthcoming. Thank you again for all of your efforts and dedication, as well as your amazing partnership!


Diana C., Regulatory Business Control Group Mgr.
Apr 28, 2022
CK

Thank you Alison for you and your team always being so helpful to myself and the rest of the CLBT Helpdesk team and getting all of our ''My Access" requests that require RBCM approval reviewed and approved in a timely manner. Much appreciated :). It always wonderful working with you!

Candice K., Sr. Business Technology Analyst
Apr 28, 2022

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