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Skills

  • Communications
  • Team building
  • Procedure utilization
  • Internal process harmonization with procedure
  • First Aid/CPR
  • Budgets
  • Project organization
  • MS Office
  • Effective leadership in compliance workshops
  • Policy exception management

Work Experiences

  • Attended annual compliance conferences where recommendations led to the implementation of 5 critical regulatory changes at the firm.
  • Achieved results within the first 6 months.
  • Conducted audits in the West Coast.
  • Aligned corporate policies with regulatory changes.
  • Had an excellent attendance record and was always on time for work.
  • Looked for industry trends on social media and through online sources.
  • Achieved a 7 month delay in audit findings.
  • Collaborated with legal and operations teams.
  • Conducted root cause analysis on 13 AML flagging discrepancies and successfully implemented preventative measures to reduce future occurrences by 35%.
  • Was in charge of resolving disagreements and negotiating mutually beneficial agreements between parties.

Summaries

  • Adept at managing high-stakes audits and maintaining 100% compliance, with experience in handling 9 regulatory audits over one year.
  • Clear understanding of performance reporting and workflow optimization as well as budget management training.
  • Demonstrated success in running training programs to enhance the company’s adherence to standard, benefiting 18 team members.
  • Benefited 3 team members.
  • Corrected 3 non-compliances.
  • Aligned internal policies with regulations.
  • Achieved a 47% increase in audit efficiency.
  • Developed and maintained strong internal processes that harmonize with standard, leading to significant improvements in policy adherence and operational efficiency.
  • Applied initiative technologies successfully.
  • Detail-oriented Financial Compliance Analyst.

Accomplishments

  • Collaborated with team of 10 in the development of process.
  • Led a team of 12 compliance officers in preparing for category audits, resulting in zero major findings.
  • Collaborated with IT and compliance teams to integrate an automated reporting system, reducing manual errors by 16%.
  • Developed a compliance risk assessment framework that minimized financial penalties by 85% through early identification of potential infractions.
  • Managed the risk assessment processes for 2 departments, identifying areas for enhanced compliance controls.
  • Completed a full compliance audit cycle for Northwind in 2024, resulting in improved adherence to standard.
  • Resolved product issue through consumer testing.
  • Implemented continuous improvement initiatives that reduced the incidence of audit exceptions by 36%.
  • Led financial compliance audits, reducing company exposure to risk and saving process annually in potential fines.
  • Led the successful remediation of 7 compliance issues post-audit within framework, securing continued regulatory approval.

Affiliations

  • Certification, Certified Financial Services Auditor (CFSA)
  • Association for Computing Machinery
  • Certified Instructor, Compliance Training for Financial Institutions
  • American Society of Safety Professionals
  • Member, Institute of Financial Services (IFS) Regulatory Compliance Committee
  • Participant, Annual Internal Auditors Governance Conference - 2020
  • Society of Women Engineers
  • Graduate, Anti-Money Laundering, and Counter-Terrorism Financing Certification Program
  • Active Member, Institute of Internal Auditors (IIA)
  • Affiliate Member, International Association of Risk and Compliance Professionals (IARCP)

Certifications

  • Certified Basel III Professional (CBIIIPro) - Basel Institute
  • ServSafe
  • Certified Public Accountant (CPA) - procedure
  • AML Foundations Certification - Ironclad Systems
  • Certified Sarbanes-Oxley Professional (CSOxP) - 2021
  • National Regulatory Compliance Certification (NRCC) - program
  • CompTIA Network+
  • Certified eDiscovery Specialist (CEDS) - 2018
  • Chartered Financial Analyst (CFA®) – CFA Institute
  • Global Compliance Certification (GCC) - process

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