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.
