Submit Date: Jul 04, 2024
First Name Middle
Initial
Last Name
Email Address
Street Address Suite or Apt
City State Postal Code
Primary Phone Alternate Phone
Employer Job Title
City of Napa Boards & Commissions
Profile
Mailing Address (if different than Resident Address above) Length of Residence in the City of Napa:
20 years in the City of Napa
Length of Residence in the County of Napa:
20 years in Napa County
Registered to vote in the City of Napa?
Yes No
Ethnicity *
Caucasian/Non-Hispanic
Interests & Experiences
Which Boards would you like to apply for?
Disability Access Board of Appeals: Submitted
Question applies to Disability Access Board of Appeals
3 of 5 Members MUST serve on the Building & Fire Code Board of Appeals.
Are you also applying to serve on the Building & Fire Code Board of Appeals? Yes No
Christopher T Bennett
United States Congressman
Mike Thompson
United States Congressional
Intern
Christopher T Bennett
ATTACHMENT 1
Upload a Resume
Question applies to Disability Access Board of Appeals
2 of 5 Members MUST be part of the Disabled Community. Are you part of the Disabled Community?
Yes No
Community Service Experience:
I volunteered my time to our City of Napa Community with St Marys Church Napa on Third Street on Sundays serving, lay reading in the 10 am church services on Sunday mornings once a week, the Episcopal Church of the Northern California Dioease I’m the Former State of California State Senate Intern of 2005, appointed to serve the State of California Council on Developmental Disabilities of the State of California 2005+2008, the United States Congress and the House of Representatives, advocated for our City of Napa Community, willing to advocate for the Napa County library to improving the quality life that is Napa, serve our City of Napa Disability Community in accessing the Disability Access Board of Appeals in the Disability Appeals Community for Disability Services.
Education:
Riverside Poly High School Riverside, CA 1997-2001 Cape Cod Community College 2001- 2003 Napa Valley College 2003-2004
Other relevant experience or expertise:
Basic Retail and Offuce Technology Office Technician
Additional Questions
What is your understanding of the role and responsibility of this board? I understand the Disabled Access Laws, provide feedback, advices staff members on disability access laws
Have you ever attended a meeting of this board? If so, how many? it’s my first time attending board meetings
What duties of this board are most interesting to you?
What activities of this board are least interesting to you? Disability Community Member activities within the City of Napa Disability Community of the office
Christopher T Bennett
ATTACHMENT 1
What programs or projects would you like to see improved or implemented? providing programs disability access to appeals in protecting disability rights of the disability community or projects.
How would you approach improving these project(s) or program(s)? providing Appeal Access Planning in improving the justice system for the disability community.
Are you involved in any organizations or activities that may result in a conflict of interest if you are appointed to this board? I. keep my Organizations, Activities separate on my own time without affecting results to a conflict of interests if I’m appointed to the Board.
Please list two local references and their phone numbers:
How did you learn of this vacancy?
Internet
Christopher T Bennett
ATTACHMENT 1
CHRISTOPHER THOMAS BENNETT
OBJECTIVE
I am seeking employment in an office environment where I can utilize my education, customer service, and computer skills.
LEADERSHIP ROLES
National Down Syndrome
Congress-Council member.
State of California, Area Board 4
Office of the State Council on
Developmental Disabilities- Board
member.
State Senator’s Office – Campaign
helper.
Positive role model, advocate for
People with Disabilities and
public speaker.
State Representative.
EXPERIENCE
UNITED STATES DISTRICT INTERN MIKE THOMSPON (PIP)
03/26/2024-06/13/2024
COURTESY CLERK RALEY’S APRIL 2023-01/21/2024
NOVEMBER 2022-MARCH 2023
UTILITY CLERK, GROCERY OUTLET, NAPA, CA
Outstanding customer service to all customers I encounter. Some of my responsibilities are to ensure all the sweeps, mops, trash, spills, bathrooms, and all areas of the store are cleaned and stocked to company standards. I also do any other duties requested by my management team.
OCTOBER 2018-SEPTEMBER 2022
HOUSEKEEPING, MERITAGE SPA AND RESORT, NAPA, CA
Provide excellent customer service. Sweeps, mops, and vacuums floors in assigned areas according to department procedures.
Dusts all furniture, pictures and polishes wood, marble, and other materials in public view. Cleans glass windows, doors, and partitions.
Empties trash receptacles and replaces trash bags. Thoroughly cleans ATTACHMENT 1
restrooms, including sinks, toilets, urinals, mirrors, tiles, counters, walls, stalls, vents and/or floors with appropriate cleaning agents.
Immediately reports any noted repairs or maintenance of guestroom, public areas, or back of the house areas. May assist with other housekeeping duties as needed. Returns any items found in public areas to the housekeeping department and logs appropriate information. Notifies managements of unsafe conditions, needed maintenance of any rooms or equipment and any accidents.
APRIL 2010-OCTOBER 2018
HOUSEKEEPING CREW, WINE BEV AT MERITAGE JULY 2017
PRODUCTION • WINE BEV, NAPA, CA
Worked onsite and offsite of the warehouse including Sutter Home Winery, has been a representative for Wine Bev Services, is a model employee and leader to his peers by working all jobs offered along with excellent attendance. Motivates coworkers with positive “can do” attitude. On site work: wine packing, production, foam insert, palletizing and wrapping pallets, poly bags and any jobs available.
Housekeeping: maintain grounds, parking lots, pool area and patio furniture.
APRIL 2005 – MARCH 2009
DINING ROOM ATTENDANT • TACO BELL, NAPA, CA
Provided outstanding customer service, cleaned tables, chairs and condiment area along with stocking napkins, sauces, and utensils.
Emptied trash bins, cleaned bathrooms, swept, and mopped the lobby.
Performed extra duties as asked by management.
2003-2004
TICKET TAKER • CENTURY 21, NAPA, CA
2003
DOOR PERSON • HOYT’S CINEMA, CAPE COD, MA
EDUCATION
2001-2003
RIVERVIEW SCHOOL, EAST SANDWICH, MA
2001-2003
2 ATTACHMENT 1
CAPE COD COMMUNITY COLLEGE, EAST SANDWICH, MA
June 2001
HIGH SCHOOL DIPLOMA • RIVERSIDE POLY HIGH SCHOOL,
RIVERSIDE, CA
3 ATTACHMENT 1
ATTACHMENT 1
Submit Date: Jul 18, 2024
First Name Middle
Initial
Last Name
Email Address
Street Address Suite or Apt
City State Postal Code
Primary Phone Alternate Phone
Employer Job Title
City of Napa Boards & Commissions
Profile
Mailing Address (if different than Resident Address above) Length of Residence in the City of Napa:
10 years
Length of Residence in the County of Napa:
10 years
Registered to vote in the City of Napa?
Yes No
Ethnicity *
Caucasian/Non-Hispanic
Interests & Experiences
Which Boards would you like to apply for?
Disability Access Board of Appeals: Submitted
Question applies to Disability Access Board of Appeals
3 of 5 Members MUST serve on the Building & Fire Code Board of Appeals.
Are you also applying to serve on the Building & Fire Code Board of Appeals? Yes No
Tracy H Brock
Retired
Tracy H Brock
ATTACHMENT 1
Upload a Resume
Question applies to Disability Access Board of Appeals
2 of 5 Members MUST be part of the Disabled Community. Are you part of the Disabled Community?
Yes No
Community Service Experience:
Mill Valley School District - Parent Teacher Association Education:
BS Business Administration, University of Texas at Dallas - 1985 Other relevant experience or expertise:
Retired C-Suite Bank Executive. Served as Chief Compliance Officer with a team of 300+ employees. Have a clear understanding of implementing and following rules, regulations and requirements.
Additional Questions
What is your understanding of the role and responsibility of this board? As described in the roles & responsibilities section of the Board Committee.
Have you ever attended a meeting of this board? If so, how many? No
What duties of this board are most interesting to you?
Being of service to my Napa neighbors
What activities of this board are least interesting to you? None
What programs or projects would you like to see improved or implemented? Would like to ensure implementation of planned projects. I have no recommendations for new projects.
How would you approach improving these project(s) or program(s)? N/A
Tracy H Brock
ATTACHMENT 1
Are you involved in any organizations or activities that may result in a conflict of interest if you are appointed to this board? No
Please list two local references and their phone numbers:
How did you learn of this vacancy?
Internet
Tracy H Brock
ATTACHMENT 1
TRACY H. BROCK
CHIEF COMPLIANCE OFFICER & AML EXECUTIVE
Action-oriented, reliable, and reputable CCO who brings improvements and efficiencies to compliance programs.
Leverages 37 years' experience and progressive accountability in both banking and broker-dealer environments to enable industry-leading organizations. Known for reengineering underperforming compliance areas to excellence and resolving multi-year, persistent regulatory and audit issues, enabling business growth. Change oriented and risk savvy with a focus on driving cultural change. Brings exceptional leadership and communication skills that foster trust, both internally and externally. Collaborates with key stakeholders to advance organizational objectives. A confident and refined communicator to Executive and Board Committees.
BANK OF THE WEST: As a member of the Executive Management Committee, served as 1 of 15 Senior Executives to lead the Bank’s overall planning, policy, governance, reporting, and decision-making.
SENIOR LEADERSHIP EXPERIENCE
BANK OF THE WEST, A DIVISION OF BNP PARIBAS
A financial services company with 10,000 employees, $100B in assets, 600+ branches, and offices in 24 states.
EVP, CHIEF COMPLIANCE OFFICER 2019 TO 2023
Served as board-appointed executive in charge of all enterprise-wide Compliance programs, reporting directly to the CEO and President. Established standards and implemented procedures ensuring compliance programs were effective and efficient in identifying, preventing, detecting, and correcting noncompliance. Led a team of 300+ FTE. Worked closely with the Executive Management Committee to prioritize and execute high-level, strategic initiatives.
NOTABLE ACCOMPLISHMENTS
- Led s
trategic compliance organization changes to reduce redundancies and drive efficient processes. - Eliminated all past due regulatory and audit compliance findings within six months of assuming the role. - Achieved staffing efficiency and cost savings by relocating 75% of the department to lower-cost geographies. - Served as a mentor to develop top talent, leading to internal promotions and strong employee engagement.
SVP, HEAD OF BSA/AML/OFAC 2015 TO 2019
Reported to the CCO, served as the Board-appointed BSA Officer responsible for the enterprise-wide BSA/AML and OFAC programs. Designed and spearheaded the resolution of significant regulatory issues, brought the programs back to satisfactory status, and drove continuous improvements to ensure sustainable results year over year. Actively participated in the Bank's Senior Management Committee.
NOTABLE ACCOMPLISHMENTS
- Headed the 18-month effort to remediate significant regulatory issues and win back the trust of regulators. - Rebuilt the entire management team from scratch, and brought the program to a satisfactory state. - Successfully led the implementation of a new transaction monitoring system on time and under budget. - Took the enterprise compliance programs from hundreds of findings to zero findings within 24 months. - Led alignment efforts to parent company requirements for AML, KYC, and Sanctions.
ATTACHMENT 1
TRACY H. BROCK
CHIEF COMPLIANCE OFFICER & AML EXECUTIVE
SENIOR LEADERSHIP EXPERIENCE
MUFG UNION BANK
A full-service bank with 12,000 employees, $135B in assets, 400 branches, and offices in the Western US.
MANAGING DIRECTOR, HEAD OF BSA/AML/OFAC 2006 TO 2015
Board appointed executive officer responsible for the enterprise strategy and execution of the BSA/AML and OFAC programs.
Initially r eporting to the BSA Officer, originally hired to be a part of a team to remediate a major regulatory order that the Bank was under; accomplished the goal within 12 months. Promoted to Deputy BSA Officer with responsibility for all non-operational areas of the enterprise-wide BSA/AML and OFAC programs. Ultimately appointed by the Board of Directors as the BSA Officer with the responsibility for all program elements. Led a division of 180 FTEs. Drove effectiveness, efficiency, agility, and sustainability in the programs. Developed and maintained the trust of executiv Pe management, regulators, and the Board.
NOTABLE ACCOMPLISHMENTS
- Built, retained, and engaged a high-performing team essential to driving compliance, organization-wide process improvements, and programmatic excellence.
- Implemented numerous operational improvements that improved productivity and allowed increased focus on other areas of risk.
- Cleared all regulatory issues before leaving. This was the first time in 10 years the Bank had a 'clean slate.' - Mentored, coached, and promoted multiple team members into senior-level positions.
ADDITIONAL EXPERIENCE
BSA SENIOR COMPLIANCE OFFICER |Silicon Valley Bank 2004 to 2006 1ST VP, COMPLIANCE RISK AND MONITORING PROGRAM MANAGER |Washington Mutual 2003 to 2004 DIRECTOR, RETAIL COMPLIANCE |Charles Schwab & Co. 1999 to 2003 VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | MUFG Union Bank Broker-Dealer 1991 to 1999 COMPLIANCE EXAMINER | FINRA 1986 to 1991
EDUCATION
(BS) BACHELOR OF SCIENCE IN BUSINESS ADMINISTRATION | CONCENTRATION IN
FINANCE UNIVERSITY OF TEXAS AT DALLAS
American Bankers Association, Graduate School of Compliance Management American Bankers Association, National School of Compliance ATTACHMENT 1