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Skills

  • Communications
  • Legal and regulatory interpretation
  • Client Regulatory Compliance Review
  • MS Office
  • Customer service
  • Business operations
  • Employee Engagement in Compliance Activities
  • Detailed report preparation
  • Root cause analysis
  • External audit facilitation

Work Experiences

  • Achieved OSHA within the past year.
  • Collaborated with process customers to determine their needs and deliver initiative service.
  • Cut potential fines by $15.
  • Achieved zero discrepancies.
  • Conducted compliance due diligence.
  • Created risk mitigation strategies.
  • Cut time spent by 50%.
  • Achieved faster resolution times.
  • Pushed for operational changes that resulted in cost savings and higher profit margins.
  • Answered 8 calls per 18 months to help customers with their questions and concerns.

Summaries

  • Compliance Agent with expertise in internal and external audit management, successfully facilitating audits that resulted in zero critical findings.
  • Overall morale and productivity are boosted by experience in policy development and staff management procedures.
  • Accomplished Compliance Agent specializing in high-risk analysis, steering the company through 18 cases with no regulatory penalties over 18 months.
  • Accomplished Compliance Agent specializing in high-risk analysis.
  • Compliance Agent with 2 years of experience in project management is qualified.
  • Strengths in vendor management and cross-functional collaboration backed up by Miscellaneous training.
  • Conducted contract and licensing reviews.
  • Adept Compliance Agent with a focus in fraud prevention and investigation, spearheading efforts that led to 16 successful prosecutions for regulatory violations.
  • Clear understanding of project management and process improvement as well as cross-functional collaboration training.
  • Achieved resolution with no penalties across the past year.

Accomplishments

  • Implemented Salesforce to automate compliance reporting, reducing human error and saving 16 hours per quarter.
  • Utilized data-driven decision-making to identify compliance risks in financial transactions, reducing risk exposure by 24%.
  • Coordinated with the IT department to ensure that program adhered to evolving data privacy regulations.
  • Facilitated communication between legal, HR, and operations to enforce compliance updates, minimizing non-conformance issues by 35% %.
  • Collaborated with team of 6 in the development of procedure.
  • Trained 18 personnel on anti-money laundering protocols, achieving compliance for all departments involved by Denver.
  • Engaged with external regulatory bodies to manage compliance escalations, resulting in zero operational disruptions over two years.
  • Facilitated a 14-day compliance training program that resulted in 44% employee certification in program.
  • Created and enforced a compliance audit trail following procedure, ensuring transparency for internal and regulatory audits.
  • Executed a gap analysis of company policies against Miscellaneous regulatory standards, leading to the amendment of 10 key areas.

Affiliations

  • Project Management Institute
  • National Society of Compliance Professionals (NSCP)
  • Bank Secrecy Act and Anti-Money Laundering Professional Program
  • ISO Compliance Professionals Network
  • International Association of Privacy Professionals (IAPP)
  • International Auditors Professional Council
  • National Association of Social Workers
  • International Compliance Association (ICA)
  • Executive Enterprises Compliance Seminar Participant
  • Association for Computing Machinery

Certifications

  • Certified in Governance, Risk & Compliance (CGRC)
  • Certified Data Protection Officer (CDPO)
  • Certified Fraud Examiner (CFE)
  • Certified Business Analysis Professional (CBAP)
  • Cisco Certified Network Associate (CCNA)
  • SHRM Senior Certified Professional (SHRM-SCP)
  • ServSafe
  • Salesforce
  • Project Management Professional (PMP)
  • Financial Industry Regulatory Authority (FINRA) Series 7 License

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