SUMMARY:

• Over 5 years’ experience as a Legal and Compliance Analyst and 3 years’ software and Benefits Implementation.
• Excellent written and verbal communication skills and strong interpersonal skills.
• Self - starter and always eager and looking for opportunity to learn new skills or technology.
• Ability to manage multiple tasks, high attention to detail and effectively prioritize duties
• Strong analytical skills, strong technical aptitude, negotiation and conflict management skills.
• Project management skills, Software implementation experience, flowcharts, knowledge of manual testing and SDLC process.

TECHNICAL SKILLS:

MS Office Tools: Word, Excel, PowerPoint, Outlook, Visio, Sharepoint (beginner)

Web Technologies: HTML, SDLC

Data Bases: MS-Access

Operating Systems: MS Windows (XP, 2000, 2008), Adobe Pro

PROFESSIONAL EXPERIENCE:

Confidential - Baltimore, Maryland

Compliance Assistant

• Provide daily support to underwriting and compliance teams, and assist with preparation, revision, and maintaining contracts and agreements, including insurance policies and quote letters.
• Draft standard agreements and contracts to ensure legal compliance and that company requirements are met.
• Initiate and suggest improvements to legal processes and procedures, to improve operations within the legal department.
• Coordinate and communicate with clients on policy application process, and ensure required forms and approvals are received by underwriters prior to final signing of policy.
• Complete weekly and monthly reports, prepare activity logs to track steps leading up to policy issuance, and perform reconciliations against reports generated from underwriting system.

Confidential - Baltimore, Maryland

Compliance and Systems Analyst

• Manage projects of on-boarding new hires and Outside Business audit processes, and reduced processing time through workflow redesign.
• Research customer questions online and on telephone regarding accounts, system queries, policy inquiries and Compliance policies/procedures.
• Perform manual testing of systems to provide the development team with feedback on existing or newly implemented systems.
• Create flowcharts for the department training manual, to show steps required to perform various Compliance functions.
• Serve as subject matter expert for projects and frequent interaction with teammates, management, Legal and HR, and identify control failures and recommend solutions.
• Ensure risk mitigation strategies and controls are developed, and manage documents in shared repositories(Salesforce).
• Conduct due diligence research of customer complaints, background checks and prepare disclosures and supporting documents for SEC reports that are filed.
• Prepare and deliver effective investigation summaries and related metrics/reports, including presenting investigated matters and team processes to regulators and upper management.
• Develop training programs to educate the organization on business practices and processes, and promote compliance awareness and initiatives to reduce risk.
• Review background check findings for onboarding employees, and provide HR and Management with information that allows them to make hiring decisions in compliance with labor laws and FINRA regulations.
• Ensure all employees are meeting their continuing education requirements, ethics training and other annual compliance requirements.

Confidential - Baltimore, MD

Benefits and Software Implementation Consultant

• Assist with the communication between the business unit(s) and IT from initial requirements to final implementation, as well as with business process redesign and documentation as required.
• Serve as a liaison between the business and IT to provide technical and business solutions that meet user needs, and research and resolve inbound questions or requests.
• Manage and run client workshops to help analyze and understand their current and desired business processes, and respond to daily client requests and issues.
• Create and maintain reference, support and training documentation, and train end users.
• Advise clients on best practices and how to utilize implemented systems to satisfy their business needs.
• Ensure that client requirements are documented and act as a subject matter expert to the development teams.
• Work closely with the team in the definition, training, implementation and support of functional requirements.
• Test system functionality to ensure it meets clients’ requirements.
• Reach out to clients to make sure they are on track to meet their goals, and deliver exceptional customer experience and commitment.
• Develop and prepare regular reports on the status of contracts, identify key contract risks and the associated mitigation strategies.
• Perform client interviews, requirements gathering, solution review and process improvement.
• Analyze existing systems and business processes and partner with clients to understand their business needs.
• Give updates on implementation project plans, collect and document client business rules, benefit plans, rates and other information.

Confidential - Baltimore, Maryland

Intern

• Interacted and shadowed with Financial advisors and account representatives, to get exposure of financial services such as mutual funds, stocks, bonds and trust accounts.
• Assisted Financial Advisors with review of clients’ accounts, and wrote financial summaries based on research from online sites e.g. Morningstar, Bloomberg, and Hoovers.
• Gained experience of portfolio management and evaluation, risk assessment, and decision making based on clients’ goals and risk tolerance.