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Director, Compliance Resume

Sacramento, CA


Confidential, Sacramento, CA

Director, Compliance


  • Developed and manage the Compliance & Ethics program for company based on 7 elements of risk.
  • Created architecture, built and established on - line procedure manuals including underwriting, claims, customer service and curriculum/training processes.
  • Established processes for updating on-line procedures within compliance rules.
  • Built, implemented and managed QA department to further corporate goals of process control and quality improvement.
  • Managed working group of Business Analysts and Compliance Analysts toward QA goals.

Confidential, Sacramento, CA

Director, Operations


  • Directed operation toward goals of underwriting profitability and increase premium.
  • Responsibilities included: quality assurance; underwriting integrity; execution of corporate assigned projects.

Confidential, Menlo Park, CA

Director, Underwriting Operations


  • Directed staff of development teams including analysts and underwriters toward improvement of underwriting process;
  • Maintained compliance, underwriting and pricing integrity.
  • Workers Compensation, Personal & Commercial Auto, General Liability.
  • Redesigned software specifications and restructured critical workflow processes thereby cutting cost of operations by 38%.

Confidential, Milpitas, CA

Director, Underwriting Product Development


  • Managed software development of Property & Casualty coverage data sets, commercial and personal lines;
  • Liaison between insurance industry professionals and engineers for the creation of underwriting, quoting, report writing and management software.


San Bruno, CABranch Manager, Operations


  • Accountable for profit center & underwriting.
  • Operating Loss Ratio consistently under 100%.
  • Analyzed workflow process and data reports;
  • Identified & implemented cost-effective workflow methods while maintaining customer needs and corporate expectations.
  • Established production and salary budget;
  • Developed field marketing and underwriting staff;
  • Evaluated and forecasted performance expectations

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