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Compliance and HR Attorney Resume Example

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COMPLIANCE AND HR ATTORNEY
Professional Summary

Experienced General Counsel, Risk Management and Compliance Attorney with additional experience as Human Resources Director.  Experience in Family, Civil, and Personal Injury cases (including litigation).  Heavy experience in Mediation, Arbitration, and developing policies and procedures, policy implementation, and training.

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Skills
  • Licensed Attorney in good standing 
  • Legal/non-legal research
  • Effective conflict resolution
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  • Legal correspondence preparation
  • Contract negotiation
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    Work History
    Compliance and HR Attorney, 10/2015 to 09/2016
     BorrowersFirst, Inc. – Austin, TX
     Handled all regulatory (state and federal) licensing matters. Handled all disputes.  Managed outside counsel and advised and developed legal strategies.  Reviewed and drafted policies and procedures.  Developed and implemented detailed Compliance Management System.  Received and responded to all disputes and complaints, including regulatory and CFPB matters.
    General Counsel & Director of Compliance, 07/2015 to 09/2015
     FCE Benefit Administrators, Inc – San Antonio, TX

    • Short term assignment, aided in developing and writing new policies and procedures, employee handbook, and legal memos.
    • Participated in meetings managing developing legal situations, aided in drafting legal correspondence, aided and advised human resources on employment matters.
    • Began development of Compliance Management System utilizing SharePoint.
    • Developed strategies and arguments in preparation for presentation of cases.
    Chief Compliance Officer, 03/2013 to 03/2015
     Second Round Sub, LLC – Austin, TX
    • Provided sound legal advice to executives, officers, the board and other departments.
    • Excellence reviews accomplished through strategic planning, organizational knowledge, team building and leadership.
    • Managed outside counsel handling several cases at one time.
    • Accurately identified relevant legal questions raised by factual situations, efficiently researched controlling laws, and provided concise summary and appropriate recommendations to management for action.
    • Monitored "regulatory landscape" for emerging Federal and State standards and regulations within the insurance, telemarketing, and general corporate compliance arenas identifying any potential Company compliance exposures and risks.
    • Provided subject matter expertise to assist business units in responding to compliance issues arising in their daily business activities.
    • Developed and maintained effective compliance programs, including training programs.Investigated alleged non-compliance and fraud-related incidents making appropriate remediation recommendations.
    • Prepared periodic internal and government-mandated reporting on compliance program activities, status, and progress.
    • Drafted, reviewed and negotiated contracts, including government contracts
    • Developed strategies and arguments in preparation for presentation of cases.
    General Counsel & Compliance Attorney, 07/2011 to 03/2013
     CFS II, Inc – Tulsa, OK
    • Providing subject matter expertise to assist business units in responding to compliance issues arising in their daily business activities.
    • Conducting initial and enhancement training courses on compliance issues.
    • Driving the design, implementation, and ongoing administration of compliance program initiatives.
    • Developing and maintaining effective compliance training programs.
    • Investigating alleged non-compliance and fraud-related incidents making appropriate remediation recommendations.
    • Preparing periodic internal and government-mandated reporting on compliance program activities, status, and progress, including the oversight of all licensing for business and professional licensing with all U.S.
    • states and territories, filing annual reports, etc.
    • Providing researching and developing legal opinions for the administration to assist in decisions regarding federal and state compliance and business activities.
    • Read and interpret applicable governmental and regulatory reports and administrative regulations, company policies, procedures.
    • Aid in writing company policies.
    Attorney Oklahoma, 06/2010 to 08/2013
     Alternative Resources / Burrus-Grimes Law Offices & Legal Aid Services of Oklahoma Northeastern OK
    • Experienced in litigation, primarily handled personal injury and general liability claims, working directly with injured clients, medical providers, and insurance companies.
    • Family, Criminal, and Civil law, attend depositions, mediations, intake, prepare and file pleadings, hearings and appearances, prepare interrogatories & answers in discovery.
    • This position overlapped with more recent positions.
    • Called upon witnesses to testify under oath at court hearings.
    • Prepared witness, discovery, pleading, trial and exhibit binders for oral argument and depositions.
    • Developed strategies and arguments in preparation for presentation of cases.
    • Produced legal documents such as briefs, pleadings, appeals, wills and contracts.
    Risk Management Administrator, 06/2009 to 06/2010
     Denali, Inc – Tulsa, OK
    • Responsible for implementation of policies and procedures in accordance with laws and regulations.
    • Design, implement and manage programs to ensure that all locations are in compliance.
    • Prepare reports and presentations.
    • Evaluate risk factors associated with business.
    • Coordinate independent reviews and audits, projects.
    • Work with Corporate Attorney reviewing and editing contracts, Research legal issues that affect the company in workers' compensation and employment law.
    • Look for liability issues and try to resolve them.
    • Handle all Workers' Compensation issues, deal with employees, attorneys, medical providers, and state agencies in order to keep claims to a minimum and get employees back to work as soon as possible.
    • Negotiate with attorneys and Claimants; settlements and other issues to close workers' compensation claims as efficiently as possible.
    • Work with insurance auditors and adjustors.
    • Train employees and supervisors in workers' compensation issues and EEOC regulations as well as other Federal Employment Laws.
    • File all OSHA 300 and OSHA 300A reports, maintain logs for all locations for all five of the Denali Companies, including our Canada locations, travel to each site at least once per year to offer training, etc.
    • Heavy background in Compliance in all 48 continental states in workers' compensation, OSHA, and Department of Transportation.
    • 25% travel was required.
    Accounting / Office Manager, 05/2006 to 06/2009
     American Emerald Transportation Svcs – Tulsa, OK
    • Manage insurance office and all accounting functions, primarily worker's compensation and occupational accident insurance, review and prepare loss runs, underwrite new clients, take in claims and work with attorneys, employers, medical providers, and others regarding claims.
    • Train and manage employees, develop and implement procedures, prepare all monthly reports, make determinations regarding employees' schedules, reviews, and job performance, report directly to Senior Vice President.
    • Most work involved Compliance with all continental United States.
    • Prepared portfolio's in worker's compensation and social security/disability as well as personal injury cases, interviewed clients, requested and reviewed medical records, communicated with opposing counsel and courthouse, prepared motions, liens, and made Courthouse runs.
    • Payroll, AR, AP, and tax preparation.
    • Handled IOLTA Account and Trust Accounts.
    • Filed worker's compensation claims, insurance issues, accounts payable, accounts receivable, payroll, all taxes, month end and year end reporting, P&L and Balance Sheet, organized owner's schedule, dealt with banks and organized loan requests, handled owner's personal checking and finances as well.
    • Compliance with OSHA and ODOT regulations.
    Education
    Bachelor of Science: Business Administration & Criminal Law, 2004
     Northeastern State University - Broken Arrow, OK
     GPA: West Legal Studies, Award for Outstanding Scholastic Achievement *Dean's Honor Roll, all semesters *Rho Theta Sigma Honor Society *Phi Alpha Delta Pre-Law Fraternity, Event Coordinator Study Abroad: "Comparative Law" in Edinburgh, Scotland Criminal Justice/Business Administration West Legal Studies, Award for Outstanding Scholastic Achievement Dean's Honor Roll, all semesters Rho Theta Sigma Honor Society Phi Alpha Delta Pre-Law Fraternity, Event Coordinator Study Abroad: "World Legal Systems" in Belize and Guatemala
    J.D.: Law, 2009
     University of Tulsa - Tulsa, OK
    • Student government representative
    • Emphasis in Worker's Compensation, Arbitration, and Mediation
    Affiliations
    Oklahoma Bar Association ACA International - Mapster American Bar Association Phi Alpha Delta International Law Society Tulsa County Bar Association DBA International Licenses and Certifications Juris Doctor - Licensed Attorney in good standing Government Acceptance Test Training (GAT) Certified Scholar - ACA International State of Michigan - Lic. Collection Manager Certified Arbitrator - Better Business Bureau State of Nevada - Lic. Collection Manager Certified Mediator State of Tennessee - Lic. Collection Manager Certified Professional Receivables Company (CPRC) - DBA International Education and Accomplishments University of Tulsa College of Law Tulsa, OK Juris Doctorate / Law Degree Worker's Compensation Law Arbitration Mediation Social Security/Disability Insurance Law EEOC, ADA, and Employment Law Tulsa Lawyer's for Children (TLC) Training and Family Law University of Tulsa Student Association, Senator Equal Access and Opportunity Committee, Chair International Law Student Association, Treasurer Phi Alpha Delta International Law Fraternity, Member
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    Resume Overview

    Companies Worked For:

    • BorrowersFirst, Inc.
    • FCE Benefit Administrators, Inc
    • Second Round Sub, LLC
    • CFS II, Inc
    • Alternative Resources / Burrus-Grimes Law Offices & Legal Aid Services of Oklahoma Northeastern OK
    • Denali, Inc
    • American Emerald Transportation Svcs

    School Attended

    • Northeastern State University
    • University of Tulsa

    Job Titles Held:

    • Compliance and HR Attorney
    • General Counsel & Director of Compliance
    • Chief Compliance Officer
    • General Counsel & Compliance Attorney
    • Attorney Oklahoma
    • Risk Management Administrator
    • Accounting / Office Manager

    Degrees

    • Bachelor of Science : Business Administration & Criminal Law , 2004
      J.D. : Law , 2009

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