Nick Umfleet

Nick Umfleet, CRCM, has extensive work experience in regulatory compliance and risk management. Nick currently holds a position as the Director of ERM, Regulatory Compliance, and Risk management at OppFi. In this role, they are responsible for developing, managing, and overseeing the company's Monitoring and Testing program, as well as conducting testing of new products and processes. Nick also oversees OppFi's firm-wide Risk Assessment process and assesses action plans to reduce or mitigate risk.

Prior to joining OppFi, Nick worked as a Regulatory Compliance Manager at OppFi, focusing on Monitoring and Testing and Risk and Controls. Before that, they worked as a Compliance Consultant III at Wells Fargo, specializing in Enterprise Testing and Validation.

Earlier in their career, Nick served as a Compliance Branch Auditor at Stifel Financial Corp. Their responsibilities included gathering, testing, and analyzing business information and operational processes, conducting branch audits, and ensuring branch conformity with policies and regulatory requirements.

Nick's work experience also includes a role as a Headquarters Advisor at Edward Jones, where they provided advisory services.

Overall, Nick Umfleet has demonstrated expertise in regulatory compliance, risk management, and monitoring and testing in various financial institutions.

Nick Umfleet, CRCM holds a Bachelor of Science in Business Administration (BSBA) with a focus on Finance and Information Technology Management from Saint Louis University. Nick has additional certifications including Series 66 - Uniform Combined State Law and Series 7 - General Securities Representative, both obtained in October 2016. Nick is also a Certified Regulatory Compliance Manager (CRCM) certified by the American Bankers Association.