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I'm honing my attention to detail so that I can recognize when files are compliant.
Developed and directed a Compliance Management Program for a $15 annual revenue-producing institution.
Assist Senior Compliance Officers with their work, including investigative files and special projects.
Wrote metric policies and procedures for banks, which resulted in a better understanding of the steps involved in implementing new system regulatory changes.
Assess and reassess the complaint if a report is required.
Handle dispatch documents and invoices, as well as invoicing and service tax.
Provided compliance risk and standard advice to committees and department heads.
Collaborated with sales and marketing departments, as well as other business units to address indications of improper sales practices and market conduct violations.
Achieved zero infractions during examinations using strategic planning and vendor management.
Built a 7-person compliance team to address compliance program quality and provide operational support to management.

Bringing 7 years of Banking and Financial Services experience.
Customer acquisition and relationship-building skills.
Compliance Officer with a strong focus on improving policies and procedures across the board.
Investment banker with a track record of delivering results in high-pressure situations by adapting and implementing novel strategies.
Dynamic banker with a track record of managing complex projects and leading high-performing teams to achieve key financial goals.
Bank Teller who is meticulously organized and has excellent time management skills.
Banking professional with 16 years of experience providing sophisticated money managers with value-added risk management solutions.
Forward-thinking and committed to improving policies and procedures in order to achieve consistent, accurate, and high-quality outcomes.
Strong track record of fostering employee development through excellent team leadership and management training programs.
Customer loyalty is increased by effectively resolving problems and processing transactions quickly.

Resolved product issue through consumer testing.
Trained
Ensured
Researched
Recognized as Top Performer due to program.
Streamlined
Completed process project, achieving framework.
Documentation: Wrote and edited documents to keep staff informed on policies and procedures.
Identified
Represented

Certified Corporate Compliance Professional (CCCP) – Received from metric
Certified Ethics and Compliance Professional-International (CCEP-I) – Cedar Works
Certified Regulatory Compliance Manager (CRCM), 2015, Ironclad Systems
ISO 19600 Compliance Management Certification – Audited and compliant with ISO standards
Financial Industry Regulatory Authority (FINRA) Series 7 & 24 – 2022
Certified Information Systems Auditor (CISA) - Cedar Works, 2019
Certified Protection Officer (CPO)
Health Care Compliance Association (HCCA) Compliance Certification – Banking and Financial Services
Certified Internal Controls Auditor (CICA) – Cedar Works, 2015
Securities Compliance Certificate – Northwind, completed Compliance Reporting and Auditing Module