We provide IT Staff Augmentation Services!

Compliance Audit Officer Resume

Suffolk, VA

SUMMARY

  • Risk & Compliance Manager offering 20+ years of expertise in risk management, policy and program development and strategic planning. Collaborative and team - oriented with excellent communication and interpersonal skills to foster strategic partnerships and professional growth among team members.

PROFESSIONAL EXPERIENCE

Compliance Audit Officer

Confidential - Suffolk, VA

Responsibilities:

  • Internal audits covering compliance and operational risks.
  • BSA/AML internal independent audits
  • Compliance audits (Reg B, Reg Z, Reg O, Reg E, Reg CC, etc.)
  • Liaison with internal clients to identify and target inefficiencies in the areas of risks and business controls, process gaps and workflow discrepancies.
  • Design and document all audit plans and prepare reports according to established procedures.

Compliance Consultant

Confidential - San Antonio, TX

Responsibilities:

  • Conducted 2nd line of defense testing covering compliance and operational risks.
  • Performed initial client assessment and risk/control analysis to begin research process.
  • Produced ad hoc reports and documents for senior team members on weekly basis.
  • Analyzed departmental documents for appropriate distribution and filing.
  • Liaised with clients to identify and target inefficiencies in the areas of risks and business controls, process gaps and workflow discrepancies.

VP, Compliance Consultant

Confidential

Responsibilities:

  • Performed initial client fraud assessment and analysis to begin research process.
  • Business analyst for Investor Exclusion List (IEL) Project
  • Business Continuity Planner for Mortgage Operational Risk
  • Facilitated personnel compliance training.
  • Served as a subject matter expert for internal and external customers on compliance best practices and quality control.
  • Defined and developed policies and procedures for consumer reporting and privacy practices.
  • Produced ad hoc reports and documents for senior team members on weekly basis.
  • Facilitated SAFE Act registration.

Hire Now