Compliance Audit Officer Resume Suffolk, VA - Hire IT People

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.