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Compliance Specialist Resume Profile

Professional Skills:

20 years' experience:

  • PM expertise as a dedicated project manager, auditor, business system analyst on more than 157 projects with budget size up-to-125m.
  • Scrum Master experience and have completed over 157 projects since 2010:
  • 15 years' experience working with the Waterfall Model Phase Approach.
  • Waterfall Model HLBRs, DBRs, SRs, TDOC, Testing and Design Requirements, Analysis, Design, Coding, Testing, and Acceptance Criteria
  • 10 years' experience working with the Agile Model Project Management Approach.
  • Agile Model POD: Epics, Stories, Tasks, TDOC, Testing and Design - project methodology experience.
  • Experience with full lifecycle enterprise application development or product integration projects

15 years' experience:

  • Strong SOX Compliance Writing and Documenting Internal Control Management regarding: 302, 404, 802 IT Privacy Security compliance i.e., Fed/State Privacy and security laws, directives, regulations, requirements, N.C.G.S., HIPAA, SMART, SWOTT, Disaster Recovery, Disaster Avoidance, COOP, PHI, EHR, EHI, III, NIST, ITS, ISO/IEC 17799/2005, IEEE and ITIL Kaizen, 5S, Deming, COSO, CoBit, PCAOB, GAAP, KYC, EDD, CDD, CIP, NERC, NIST, FISMA, TSA, CFATS, SOX, PCI. Code of Conduct, Disaster Recovery, Disaster Avoidance, COOP and Anti-Money Laundering Fraud and State/Federal I.T. Internal Security Compliance mandates.
  • Experience with business process, data flow, and user interaction modeling.
  • Prepared and maintained documentation, use cases, requirements, process flows, user manuals
  • Project team size 3-10 team members Direct/core team 12, additional team members up t 30, stakeholders 12
  • 10 years' experience: Cross functional experience managing projects manufacturing/distribution, systems implementation, continuous improvement
  • 10 years of experience in the Project Manager role on large-scale software development projects which included significant business process re-engineering.
  • 10 years of experience in tracking projects using automated tools including Microsoft Project.
  • 10 years of experience in facilitating and managing communication across stakeholder groups including executive-level sponsors t include experience in tracking, managing and appropriately communicating issues and risks.
  • 20 years of experience in defining quality control processes and metrics.
  • 20 years of experience in writing large complex documents such as business cases that include descriptive, analytical, schedule, and budget information.
  • 20 years of experience in preparing Advance Planning Documents APDs for large-scale, federally-funded government IT projects.
  • 20 years of experience in managing IT projects in the public health field.

EMPLOYMENT HISTORY

Professional Experience:

Confidential

I am a Security Compliance Risk Governance Consultant for President Slade, my job functionalities consist of the following:

  • Remote position, providing consultant expertise regarding Project Management and Risk Governance Laws dealing with compliance mandates regarding his business.
  • Wrote and assisted with governance and risk compliance reviews t measure adherence t federal and state law regulatory requirements.
  • Monitored resolution of identified regulatory issues or gaps for assigned business lines.
  • Demonstrable experience launching web applications and web sites in enterprise environments.
  • Experience managing multiple teams on a projects Business Analyst, Design, Engineers, Quality Assurance, Architects, etc.
  • Experience managing multiple projects in a matrix environment with competing priorities
  • Experience working and negotiation directly with and senior management
  • Ability t balance client expectations and project deadlines
  • Worked with resources both internal and external, both on site and remote
  • Used SMART, SWOTT, Kaizen, 5S, Deming, Waterfall, and Agile Framework
  • Training VP on SOX Compliance 302, 404, 802 I.T. Privacy Security compliance i.e., Fed/State Privacy and security laws, directives, regulations, requirements, D.C.G.S., HIPAA, PHI, EHR, EHI, III, NIST, ITS, ISO/IEC 17799/2005, IEEE and other relating areas such as COSO, CoBit, PCAOB, DR, DA, COOP, BIA, and BCP. And Training the President in Visio, Word, Powerpoint, Excel and MsProject.
  • Able t accurately create status reports of deliverables across projects and addresses issues as appropriate on a weekly basis.

Confidential

Sr. IT Senior System Specialist III

  • Position ended due t massive cut in budget of 85M, and layoff over nearly 4800 employees the contract was initially from August 2013 through July 2015. I received notification of the job loss on 12/22/13, tw days before Christmas.
  • Wrote and assisted with governance and risk compliance reviews t measure adherence t federal and state law regulatory requirements.
  • Monitored resolution of identified regulatory issues or gaps for assigned business lines.
  • Wrote and reviewed analysis findings with management for proposed corrective action by impacted areas of responsibility. responsible for leveraging knowledge of the business, complex processes, and regulations in support of the effective implementation of the organizations governance, risk, and compliance programs
  • Wrote and identified ongoing process improvements, operational gaps, and potential remediation steps.
  • Wrote and examined, assessed, and documented business operations and procedures of operating or administrative unit. Relate these procedures t IT/IS systems and applications that are designed t enable the operating unit t accomplish its objectives. Assist operating unit staff by developing reports, downloads, and analyses from discipline-specific systems and applications. Provide input t IT/IS specialists in development projects t assist in developing specifications and functionalities in IT systems.
  • Served as a liaison between the business users and technical resources t ensure customer needs are represented and met. Performing frequent application testing t identify issues, problems or questions as early in the development process as possible.
  • Functioned in many different roles on a project, depending on the project need. Roles can include, but are not limited to, Project Management, Business Analysis, Web Design, Testing, Business Process Modeling, Database Modeling, Process Modeling, and Training.
  • Wrote and assessed business operations and processes of assigned office or business unit t understand procedures, information flows and handoffs, decisions, communications pathways and the like regarding internal auditing areas of Bankruptcy, AML Fraud, SOX Compliance 302, 404, 802 I.T. Privacy Security compliance i.e., Fed/State Privacy and security laws, directives, regulations, requirements, D.C.G.S., HIPAA, PHI, EHR, EHI, III, NIST, ITS, ISO/IEC 17799/2005, IEEE and other relating areas such as COSO, CoBit, PCAOB and GAAP.
  • Participated in meetings and projects with client staff, project managers, and developers t automate, upgrade, or expand applications.
  • Schedule and facilitate daily stand up meeting at same time and same location each day in accord with the scrum fundamentals.
  • Represent the team daily at the scrum of scrum's meeting t report progress against burn down, if deviating from the ideal burn down line then communicate teams plan/commitment t get back t the line, report impediments for escalation, identify risks/concerns t the S3 t help resolve.
  • Shield the team from external interferences, facilitate removing impediments that impact the team's ability t meet their commitments, enable close cooperation across all roles and functions with the goal of removing barriers.
  • Coordinate with the Backlog Owner and Technical Lead in ensuring the team is prepared t d the dem or Sprint Review at the end of each sprint.
  • Actively participate in the Scrum Cop, recommend and approve best practices and innovations.
  • Facilitate a project closure retrospective meeting at the end of each project in accord with project management fundamentals.
  • Conduct periodic peer reviews of other SM/PM's/QA/Business Sponsor/Sr. Mgmt.
  • Monitor Sprint Teams and ensure the team page accurately reflects the current state.

Confidential

Sr. I.T. Risk Management Corp. Reputation Gov. Business System Analyst III

  • Wrote over 78 project requirements with policies, procedures and manuals with Visi Schematics for 8 Lines of Businesses in the IT, HIPPA, Banking, Privacy, IRS, HMDA, Compliance, PM, Consumer Complaints and AML Fraud Departments:
  • Wrote and completed 78 Regulatory Compliance Projects from 2011- 2013 Bank, Credit Card, Auto, 360 Checking and managed all complex conflicts, issues, and changes t requirement in order t ensure stakeholders and the project team are all in agreement on the solution scope.
  • Wrote Waterfall Model requirements: HLBRs, DBRs, SRs: Requirements gathering, Controls/System Software Design, TDOC, Implementation/Unit Testing for gaps/deficiencies, Integration/System Testing for control issues and Operation/Maintenance with QA review.
  • Wrote Agile Model requirements: Epics, Stories, Tasks: Requirements, Analysis, Design, Coding, Testing, and Acceptance Criteria
  • Internal auditing areas included: AML Fraud, SOX Compliance - Internal Control Management Section: 302, 404, 802 I.T. Privacy Security compliance i.e., Fed/State Privacy and security laws, directives, regulations, requirements, Federal/State regulations regarding HIPAA, PHI, EHR, EHI, III, NIST, ITS, ISO/IEC 17799/2005, IEEE , SOX Compliance - Internal Control Management Section: 302, 404, 802 I.T. Privacy Security relating t COSO, CoBit, PCAOB and GAAP.
  • Facilitated design phase of production projects, including setting up meetings, gathering information from all stakeholders, and recapping and distributing information.
  • Provide BA support t Mortgage LPS/MPS Foreclosure, Bankruptcy or Litigation projects and process improvement initiatives t enhance workflows and ensure compliance with regulatory or investor guidelines. Projects will be small t medium size with a strong technology component through the mortgage system of record or workflow tools.
  • Tracked HMDA mortgage , AML ACH/Wire/Transfers , Privacy status of testing t identify deficiencies and remediation lead monitoring status of remediation and subsequent testing.
  • Conducted HMDA research for and respond t inquiries from internal and external points of contact as related t internal control matters advise management on significant matters regarding business, internal programs and activities related t internal control matters. Participate as a team member on projects at the highest level of technical complexity.
  • Oversaw the flow of communication between IRS, HMDA, AML, Privacy and the PM team members in regards t projects.
  • Provided status and progress reports on projects daily t ensure management was fully equipped with up t date status of projects.
  • Utilized project management tools - Track and maintain project schedules, task lists, resources and work allocation.
  • Responsible for serving as a liaison between the business community and the IT organization in order t provide technical solutions t meet user needs. Possesses an understanding of project management methodologies e.g. Waterfall, Agile technological trends and uses this knowledge t bring solutions t business units supported t enhance the enterprise's competitive edge. Assists in the business process redesign and documentation as needed for new technology. Translates high level business requirements int functional specifications for the IT organization and manages changes t such specifications. Negotiates agreements and commitments by facilitating communication between business unit s and IT from initial requirements t final implementation.
  • Demonstrated technical aptitude t be able t understand and implement the workings of a complex program management system
  • Demonstrated knowledge in technology lifecycle processes SDLC, agile, waterfall, etc.
  • Demonstrated business systems analysis and project / program management experience
  • Demonstrated ability t make progress and decisions amidst ambiguity
  • Demonstrated ability t manage multiple priorities and tasks simultaneously
  • Demonstrated ability t work at both the detailed and summary level
  • Demonstrated excellent verbal, written and presentation communication skills
  • Demonstrated experience with package software solutions
  • Strong analytical, detailed oriented and in-depth problem solving skills
  • Strong desktop computer skills, focusing on Microsoft Products
  • Strong negotiation skills and ability t influence internal and external decision makers
  • Identified stakeholders, contributors and final approver for the business and technical requirements of each assigned project.
  • Determined with assigned Business Analyst Lead and project teams the most effective requirements elicitation approach/strategy for each assigned project.
  • Prepared requirements plans and estimates for assigned projects with Business Analyst Lead.
  • Plan, organize and facilitate requirements meetings and workshops.
  • Elicit project requirements, using techniques such as brainstorming, document analysis, focus groups, interface analysis, interviews, observation, prototyping, workshops, and surveys/questionnaires.
  • Communicated t project team and Business Analyst Lead potential requirements conflicts across various lines of business within the organization as needed.
  • Elicit the priority and ranking of high level HMDA/AML/Privacy/Compliance, Project Management and IT requirements prior t detail requirements definition.
  • Ensured business requirements documents are written in accordance with industry IT Regulatory Compliance standards and best practices.
  • Executed any changes t approved business requirements in accordance with RM IT change management processes and procedures.
  • Communicated requirements t business partners and project stakeholders by creating requirements packages, conducting requirements presentations, facilitating requirements hand off meetings, and maintaining the requirements repository.

Confidential

Compliance Specialist - Sr. Business System Analyst - PM/SME

  • Wrote a IT Chapter Training Manual with Visi Schematics
  • Wrote and documented risk-based compliance audit reviews and ensures work is performed in accordance with Compliance Process Certification methodology and consistent with the IT Department.
  • Internal auditing areas included: SOX Compliance - Internal Control Management Section: 302, 404, 802 I.T. Privacy Security compliance i.e., Fed/State Privacy and security laws, directives, regulations, requirements, S.C.G.S., HIPAA, PHI, EHR, EHI, III, NIST, ITS, ISO/IEC 17799/2005, IEEE , SOX Compliance - Internal Control Management Section: 302, 404, 802 I.T. Privacy Security relating t COSO, CoBit, PCAOB and GAAP.
  • Assisted and partner with multiple business units t provide an understanding of the data governance policies and standards that impact their operations
  • Engaged directly with internal clients t understand their culture and business, translating their data management objectives int detailed delivery plans
  • Assisted and partner with the Business Lines t assist and/or facilitate in the completion of IT Risk Enterprise Data Governance and/or LOB-specific data governance deliverables
  • Executed and managed relationships with clients and collaborate across functions t manage expectations and improve relationships
  • Provided data management / data governance experience, including an understanding of concepts, practices, procedures, and tools - providing strong analytical, innovative and creative problem solving skills
  • Provided excellent interpersonal and communication skills personal, written and presentation and work cross-functionally with IT and non-IT staff
  • Executed sound process management improvement practices, change management processes and identify improvement opportunities and assist with the implementation of changes
  • As needed, prepare status reports and ensure management, clients and others are informed of project or program status and related issues

Confidential

Compliance Specialist - IT Risk and HIPAA Security Compliance Specialist - I.T. Project Manager/SME

  • Wrote and audited the Government IT and HIPPA Security Manual and created Visi Schematics:
  • Prepared and issued final audit reports for: Network, Applications, Telecommunication, Security, Database, Internet-WEB, Wireless, Data Warehousing, Enterprise, and Hardware. Monitored billing and other processes on a daily basis t prioritize workflow and identify problems.
  • Agile Model: Schedule and facilitate sprint planning meeting s prior t the beginning of each sprint in accord with the scrum fundamentals. After Sprint Detail Planning has been completed communicate t the backlog owner the teams committed stories for the upcoming sprint. Support the Backlog Owner and Portfoli Manager in updating monthly the 30-60-90 release roadmap based on the health and priority of the stories of the backlog and planning poker estimates/sizing.
  • Internal auditing areas included: AML Fraud, SOX Compliance - Internal Control Management Section: 302, 404, 802 I.T. Privacy Security compliance i.e., Fed/State Privacy and security laws, directives, regulations, requirements, D.C.G.S., HIPAA, PHI, EHR, EHI, III, NIST, ITS, ISO/IEC 17799/2005, IEEE , SOX Compliance - Internal Control Management Section: 302, 404, 802 I.T. Privacy Security relating t COSO, CoBit, PCAOB and GAAP.

Confidential

Sr. AML Fraud Compliance Auditor Project Manager/SME

  • Acted as key SME, IT Business Systems Analyst III, Bank Secrecy Act BSA / Anti-Money Laundering AML Fraud expert on financial analysis issues using the Waterfall Model Phase Approach.
  • Bank received a letter from FDIC and FRB that they had 45 days t clean up their AML Fraud backlog of nearly 3yrs dealing with SAR, CTRs, KYC, CRS, ACH/Wire/Transfers, CAP, 314 a b , Watch List etc. Bank had failed their compliance audit for 3 years.
  • Corrected nearly 3800 CTR and SAR forms from 2006 -2009 not filed correctly, as the bank was fined by FRB, FINCEN and IRS for not properly adhering t Federal Compliance Regulations and Mandates.
  • Wrote a three Chapter Training Manual with Visi Schematics:
  • Wrote, developed and implemented a new Anti-Money Laundering AML Program: AML Fraud, Online Investigations, Case Management Training, OFAC Enforcement Guidelines, BSA Compliance, and Basics of Money Laundering Fraud tasks including:
  • INTRODUCTION t Departmental Bank Secrecy Act and The PATRIOT Act
  • CHAPTER 1: New Account Opening Checklist NAOC Procedures
  • CHAPTER 2: Client Risk Scoring CRS Model Identification and Validation Procedures
  • CHAPTER 3: Customer Identification Program CIP and Customer Due Diligences CDD Procedures
  • CHAPTER 4: Enhanced Due Diligence EDD Procedures
  • CHAPTER 5: High-Risk Clients Procedures
  • Red-Flags / Watch Lists / OFAC / FinCEN / MSB / PEP / NG / PEP / NRA / NSL, Subpoenas / Request 314 a b / Section 311 / SND / Foreign Corporation
  • CHAPTER 6: Transaction Monitoring Procedures
  • Currency Transaction Reporting CTR Investigative Procedures
  • Check Kitting Investigative Procedures
  • Large Cash Items LCI Transactions Investigative Procedures
  • Money Service Business MSB Procedures
  • Structuring Investigative Procedures
  • Suspicious Activity Reporting SAR Investigative Procedures
  • EXHIBITS t be used departmental wide
  • GLOSSARY with Federal and State regulations and definition regarding AML Fraud
  • Anti-Money Laundering AML : AML Fraud, Online Investigations, Case Management Training, OFAC Enforcement Guidelines, BSA Compliance, and Basics of Money Laundering Fraud tasks including:
  • Basics of Money Laundering Fraud
  • US Patriot Act
  • Federal Reserve Bank FRB
  • Bank Secrecy Act BSA Regulations
  • Overview of Fraud
  • Federal Deposit Insurance Corporation FDIC AML Compliance Laws Regulations
  • Know Your Customer KYC
  • Office of Foreign Assets Control OFAC
  • FinCen
  • Enhanced Due Diligence EDD
  • Structure Transactions
  • Life of a SAR
  • Customer Due Diligence CDD
  • Exemption Checklist
  • Monetary Instrument Log MiL
  • Customer Identification Program
  • 31CFR 103.121 a 3
  • E-Funds
  • Client Acceptance Process CAP
  • National White Collar Crime Center NW3C
  • Internal Revenue Service IRS
  • Client Due Diligence CDD
  • Drug Enforcement Agency DEA
  • Subpoena
  • Currency Transactions Reports CTR
  • Offshore Financial
  • Structuring Transactions
  • Incident Case Management System ICMS
  • AML System Training
  • Client Risk Scoring CRS
  • Account Closures A/C
  • Check Kiting
  • Account Closure A/C Process
  • New Account Opening Checklist NAOC
  • Watch-List
  • Online Investigation World-Check ,
  • Money Service Business MSB
  • High Risk Customers
  • Non-Resident Aliens NRA ,
  • Non-Government Organization NGO's
  • Foreign Corp
  • Politically Exposed Person PEP
  • Financial Action Task Force TATF
  • 314 a b
  • Hired t train the Top 8 Senior Executive Management: President/CEO, Sr. VP Chief Legal Officer/Compliance Manager, Operation Center Manager, and 5 Banking Center Service Managers t include over 38 bank-employees dealing with:
  • Maintaining the Bank Secrecy Act/Anti Money Laundering Policy inclusive of the OFAC Program .
  • Development and delivery of relevant training t ensure the bank keeps current with relevant risks regulatory requirements and best practices in FIU disciplines BSA/AML OFAC Fraud Prevention, and Security .
  • USA PATRIOT Act Compliance inclusive of client risk assessment and enhanced due diligence.
  • Filing of relevant regulatory reporting including suspicious activity reports SARs currency transaction reports CTRs and responses t 314 A requests.
  • Provided periodic reporting t the Audit and Risk Management Committee of the Board.
  • Managed Financial Intelligence Unit, inclusive of the BSA/AML and Fraud Prevention functions.
  • Managed various applications systems.

Confidential

I.T. Networking Specialist/Policy Writer Business System Analyst

DHHS Privacy and Security Office - I.T. Security Project Team

Wrote a three Chapter Training Manual with Visi Schematics:

  • Wrote, audited, reviewed, researched, revised, proofed, and brought up-to-date the 2005 versions of 22 DHHS Security Policies and Standards, regarding the HIPAA compliance areas of Administrative, Application, Physical, Telecommunication and Network.
  • Scrum Master for a Waterfall Model Phase Approach, as I wrote policies, procedures and documented architecture high-level design, coding unit, system test scripts t ensure compliance with security maintenance criteria.
  • Wrote and ensured compliance with federal and state mandates through a Waterfall Model Phase Approach illustration of defined/reviewed/tested departmental key internal controls associated with methodologies, deficiencies, gaps, assertions, project management, risk management, risk assessment, projections, and preparing presentations.
  • Wrote policies surrounding governing N.C.G.S., HIPAA, PHI, EHR, EHI, III, NIST, ITS, ISO/IEC 17799/2005, IEEE, , SOX Compliance - Internal Control Management Section: 302, 404, 802 I.T. Privacy Security relating t COSO, CoBit, PCAOB and GAAP.
  • Assisted the Subject Matter Experts SMEs with writing, creating, researching, and finalizing the following new Administrative and Network Security Standards , and when called upon by the I.T.
  • Security Project Manager PM , provided assistance with the SMEs that wrote and created the Physical and Applications Security Standards.

Confidential

AML - Project Manager/Business System Analyst II

Wrote a four Chapter AML Training and Awareness Manual with Visi Schematics:

  • As the SME and Scrum Mater, I developed and wrote 4 Chapter Enhanced Due Diligences - Anti-Money Laundering and Fraud General Business Policy and Procedure Manual that detailed the entire Anti-Money Laundering Unit daily operations with over 26 forms, 22 Visi operational agriculture flowcharts, 58 exhibits and over 42 Policies and Procedures approved by the AML Compliance Laws and Regulatory and Federal Reserve Bank Auditors out of Washington, D.C. e.g., EDD, SARs, CTRs, MIL, CIP, OFAC, USA PATRIOT Act, structuring, kitting, etc. .
  • Wrote up a Quality Assurance procedure manual that identified key controls. Strong MS Excel, PowerPoint, Visio, and MS Word skills.
  • Ensured compliance with SOX through illustration of business issues and GAPS and Deficiencies . Accomplished this through a Waterfall Model Phase Approach with the BU e.g., FRB, AML Compliance, SOX Compliance - Internal Control Management Section: 302, 404, 802 I.T. Privacy Security relating t COSO, CoBit, PCAOB and GAAP .
  • Established and managed AML project plans scope, time, cost, quality, human resource, communications, and risk in accordance with the Project Management Framework PMF and RBCC Project Management practices.
  • Basics of Money Laundering Fraud
  • US Patriot Act
  • Federal Reserve Bank FRB
  • Bank Secrecy Act BSA Regulations
  • Overview of Fraud
  • Federal Deposit Insurance Corporation FDIC AML Compliance Laws Regulations
  • Know Your Customer KYC
  • Office of Foreign Assets Control OFAC
  • FinCen
  • Enhanced Due Diligence EDD
  • Structure Transactions
  • Life of a SAR
  • Customer Due Diligence CDD
  • Exemption Checklist
  • Monetary Instrument Log MiL
  • Customer Identification Program
  • 31CFR 103.121 a 3
  • E-Funds
  • Client Acceptance Process CAP
  • National White Collar Crime Center NW3C
  • Internal Revenue Service IRS
  • Client Due Diligence CDD
  • Drug Enforcement Agency DEA
  • Subpoena
  • Currency Transactions Reports CTR
  • Offshore Financial
  • Structuring Transactions
  • Incident Case Management System ICMS
  • AML System Training
  • Client Risk Scoring CRS
  • Account Closures A/C
  • Check Kiting
  • Account Closure A/C Process
  • New Account Opening Checklist NAOC
  • Watch-List
  • Online Investigation World-Check ,
  • Money Service Business MSB
  • High Risk Customers
  • Non-Resident Aliens NRA ,
  • Non-Government Organization NGO's
  • Foreign Corp
  • Politically Exposed Person PEP
  • Financial Action Task Force TATF
  • 314 a b

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