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Skills

  • Risk assessment and mitigation
  • Quarterly reviews
  • Data Analysis for Regulatory Compliance
  • Client relationship management
  • Relationship development
  • Emerging Regulatory Trend Adaptation
  • Operational improvement
  • Initiative equipment
  • Market trend analysis
  • Document processing

Work Experiences

  • Advised financial clients during remediation efforts.
  • Collaborated with IT teams to implement secure data storage and reporting systems, reducing data loss incidents by 64% and making audits more efficient.
  • Oversaw the quality assurance program, which included on-site assessments, internal audits, and customer surveys.
  • Achieved zero non-compliance issues over three years.
  • Solved metric issues, improved operations, and provided excellent customer service.
  • Achieved a 53% improvement in regulatory filings.
  • Completed critical reviews of internal controls.
  • Completed critical reviews of internal controls across 5 financial institutions, preventing fraud risks and regulatory breaches.
  • Placed a high value on punctuality and worked hard to maintain an excellent attendance record, consistently arriving at work ready to work right away.
  • Collaborated with legal and compliance teams on enforcement actions, resulting in 13 successful regulatory settlements totaling $4.

Summaries

  • Addressed gaps in regulatory frameworks.
  • Achieved a 31% increase in proficiency.
  • Accomplished Regulatory Examiner adept at identifying high-risk non-compliance cases and driving targeted improvements in risk and oversight management.
  • Completed within two years.
  • Achieved 78% accuracy improvements.
  • Adept at reducing operational risks by 52%.
  • Audit processes and procedures are well-understood.
  • Achieved recognized success in compliance best practices.
  • Recognized on a regular basis for outstanding performance and contributions to the Miscellaneous industry's success.
  • Achieved faster audits by 62%.

Accomplishments

  • Assisted in company-wide transition to method, providing guidance that contributed to full compliance by 2018.
  • Proactively reported emerging regulatory developments, aiding executives in strategic planning to avoid costly compliance risks.
  • Participated in enforcement action negotiations, directly contributing to settlements that saved the company $12 in potential fines.
  • Streamlined the regulatory approval process for Jira, reducing review time by 64% and enabling faster market launches.
  • Created industry-specific regulatory training programs, fostering a 40% increase in policy adherence across multiple teams.
  • Provided training and workshops to 3 teams, resulting in enhanced regulatory knowledge and reducing errors by 82%.
  • Instrumental in the management and submission of 13 high-stakes regulatory filings, consistently achieving error-free results.
  • Delivered expert insights in regulatory strategy sessions, helping financial companies achieve a 82% reduction in penalties through targeted action plans.
  • Mediated discussions between regulatory bodies and company stakeholders, leading to favorable resolutions and avoiding fines totaling $4.
  • Spearheaded regulatory examinations for 11 financial institutions, mitigating potential compliance penalties by 38%.

Affiliations

  • American Marketing Association
  • Financial Stability Board (FSB) - Cross-border Regulations and Compliance Network
  • Toastmasters
  • International Association of Administrative Professionals
  • Banking Regulatory Compliance Association
  • Financial Industry Regulatory Authority (FINRA) - Examination and Compliance Member
  • International Council of Nurses
  • Freemason
  • American Association of Bank Examiners (AABE)
  • Lions Club

Certifications

  • Certified in Risk and Information Systems Control (CRISC) 2021 - ISACA
  • Certified Regulatory Compliance Manager (CRCM)
  • Qualified Financial Expert (QFE) – system
  • SHRM Certified Professional (SHRM-CP)
  • Certified Information Privacy Professional (CIPP) – 2018, International Association of Privacy Professionals (IAPP)
  • Certified Regulatory and Compliance Professional (CRCP) – 2016, FINRA Institute
  • Certified Information Systems Auditor (CISA) - 2017, ISACA
  • ServSafe
  • Certified Risk Management Professional (CRMP) - 2015 - Risk Management Society (RIMS)
  • Chartered Financial Analyst (CFA), 2017, CFA Institute

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