Assistant Vice President Senior Compliance And Risk Manager Resume Example

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Jessica Claire
  • Montgomery Street, San Francisco, CA 94105
  • Home: (555) 432-1000
  • Cell:
Executive Profile
Highly accomplished professional with over 20 years experience in compliance, governmental affairs, audit and product management. Offering an in-depth and expansive understanding of current regulatory, product and operational challenges facing the personal and commercial property and casualty industries. Created and implemented new and highly effective compliance function for two major insurers while significantly reducing compliance exposures and improving efficiency Used established industry relationships to negotiate best possible outcome to more than 20 regulatory audits and examinations resulting in more than $500k in reduced fines and customer restitution Successfully instilled, managed and championed new approaches to compliance in several companies through increased management involvement, focused training and accountability Aggressively led and negotiated multi-state premium refund project that was completed ahead of plan and under budget while maintaining productive relationships with state regulators Implemented a new and comprehensive audit process at the nation's largest tax preparer encompassing more than 700 tax and financial services offices
Skill Highlights
  • Guest services
  • Inventory control procedures
  • Merchandising expertise
  • Loss prevention
  • Cash register operations
  • Product promotions
Core Accomplishments
Professional Experience
Assistant Vice President/Senior Compliance and Risk Manager, 01/2011 to Current
Universal Health ServicesSouth Attleboro, MA,
  • Directly responsible for both state and federal regulatory and compliance functions for specialty commercial lines insurer.
  • Researched and analyzed current and new laws and regulations impacting insurer operations and translated into concise action items for internal departments.
  • Evaluated agent and adjuster licensing systems and vendors and oversaw the successful implementation of new appointment process.
  • Managed four state examinations of company operations effectively with no resulting fines or sanctions.
  • Represented company at industry and regulatory organizations.
  • Increased operational compliance through increased accessibility, target compliance training and focused triaged of compliance issues.
  • Developed company ORSA framework and enterprise risk management policy.
Director of Regulatory Compliance, 01/2008 to 01/2010
Esurance IncCity, STATE,
  • Adroitly managed all regulatory and product compliance issues for a leading personal auto insurer and affiliated agency writing in 30 states.
  • Conducted a comprehensive and in-depth review of all company forms, rating and underwriting processes and systems to identify possible compliance exposures.
  • Developed and implemented a new compliance and regulatory management function to insure both company and agency compliance with applicable laws and regulations.
  • As primary company liaison with state departments of insurance and other regulatory agencies, created and maintained integral and productive relationships with key regulators, peer organizations and industry trade associations, Personally resolved complex compliance matters related to insurance products and company procedures including producer licensing and escalated consumer complaints issues.
  • Effectively utilized strong legal analysis, product knowledge and superior negotiation skills to conclude over 15 market conduct examinations and regulatory audits to the most favorable outcomes realizing more than $300,000 in reduced fines and penalties.
  • Championed compliance best practices and enacted new forms and underwriting process enhancements to minimize risk and increase operational efficiency.
  • Reinvigorated and increased morale for expanded department of more than 30 associates while continuing to exceed assigned objectives with a 15% decrease in staff and persistent associate turnover.
  • As a result of focused leadership, company incurred no fines attributable to compliance operations, policy defects or consumer complaint handling from 2008 - 2010.
  • Assumed management of corporate underwriting, rate pursuit and business analysts functions and implemented an aggressive risk review project that uncovered more than $500,000 in additional billable premium.
  • Created a streamlined and effective reporting and analysis function to timely and fully communicate regulatory changes throughout the organization resulting in no compliance fines due to missed new regulations or laws.
Assistant Vice President and Compliance Officer, 01/2006 to 01/2007
H&R BlockCity, STATE,
  • Served as primary operational and bank product compliance officer for nation's largest tax preparation firm.
  • Led companywide efforts to secure full legal and regulatory compliance of business operations for tax services and e-solutions business channels.
  • Increased the visibility of the company's compliance standards to internal and external audiences through effective presentations and focused training.
  • Built highly productive relationships with key internal stakeholders including Corporate Legal, Internal Audit, and Government Relations functions.
  • Successfully integrated bank product lender compliance requirements into existing company procedures eliminating redundancy and increasing operational synergies.
  • Verified and documented compliance of field tax offices with company policies and applicable regulations through more than 125 targeted and routine audits Aggressively lead the investigation and resolution of more than 50 cases of company employee related misconduct and customer fraud Planned and directed the activities of 15 compliance department associates to insure the effective and efficient operation of all compliance activities Directed the timely and compliant implementation and operation of federal and state privacy requirements including Gramm-Leach-Bliley and Do-Not-Call laws.
Vice President of Compliance / Director of Governmental Affairs, 01/1997 to 01/2006
Universal Underwriters GroupCity, STATE,
  • Managed all regulatory, government affairs and compliance activities for a national insurer with both commercial and personal lines.
  • Successfully served as company's primary liaison to state insurance regulators.
  • Utilized industry and product knowledge to develop the company's position on critical regulatory issues and championed those positions with regulators and industry.
  • Adeptly managed state filing, compliance and consumer complaint functions.
  • As primary market conduct examination coordinator, worked effectively with both state examiners and internal departments.
  • Partnered with both internal and outside counsel to secure regulatory approval of a multi-state premium refund and developed immediate remedial action plans that directly led to reduced fines and penalties Consistently provided timely and sound direction regarding state law or regulation changes to internal staff and business partners Re-engineered departmental procedures and introduced new automation to increase filing and licensing departments productivity by more than 40% Designed, implemented and staffed centralized compliance department whose responsibilities included compliance audits, product support and coordination of state regulatory activity, including OFAC compliance Conducted, directed and reported routine operational audits and targeted reviews of company underwriting and rating operations Served as key sponsor and advocate of company's diversity initiative and assisted in the development of inclusive recruiting and retention plans for the organization.
Masters of Science: Management, Expected in
Baker University - Ottawa, KS
Bachelor of Arts: Economics, Expected in
University of Maryland - College Park,
American Institute for Chartered Property and Casualty Underwriters, Malvern, PA Chartered Property and Casualty Underwriter (CPCU) Insurance Institute of America * Malvern, PA Associates in Research and Planning (ARP): , Expected in
- ,
agency, automation, business operations, concise, direction, filing, forms, Government, Insurance, leadership, law, Legal, legal analysis, market, negotiation, enterprise, policies, presentations, processes, producer, recruiting, reporting, Research, risk management, sound, tax preparation, tax

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School Attended
  • Baker University
  • University of Maryland
Job Titles Held:
  • Assistant Vice President/Senior Compliance and Risk Manager
  • Director of Regulatory Compliance
  • Assistant Vice President and Compliance Officer
  • Vice President of Compliance / Director of Governmental Affairs
  • Masters of Science
  • Bachelor of Arts
  • American Institute for Chartered Property and Casualty Underwriters, Malvern, PA Chartered Property and Casualty Underwriter (CPCU) Insurance Institute of America * Malvern, PA Associates in Research and Planning (ARP)