Westlaw Research MS Office Tools: Word, Excel, PowerPoint, Outlook HTML, SDLC
Data Bases: MS-Access, Actimize
Operating Systems: MS Windows (XP, 2000, 2008), Adobe Pro
Accomplishments
Attended AML/BSA training and participated in Compliance events annually.
Increased customer service ratings by 60%, by developing new processes and improving work flow for fortune 500 company.
Promoted to Front Desk Supervisor at Hampton Inn Hotel, after just 6 months of employment.
Experience
11/2014 to 09/2015
Compliance AssistantBrown And Riding – Greenwood Village, CO,
Consolidate multiple spreadsheets and restructure document archives in company's shared drive.
Provide operational and administrative support to Underwriters in their daily business practices, e.g.
processing on-boarding new clients, address and resolve requests and maintenance of client database.
Create, edit, proofread and format contracts and other corporate documents to ensure accuracy of regulatory or statutory notations.
Coordinate and communicate with external customers on application status and ensure documentation and approvals are received.
Draft correspondence, complete weekly and monthly reports, status monitoring, and responsible for other administrative tasks as assigned.
01/2008 to 06/2014
Compliance AssociateWells Fargo – Mercer Island, WA,
Provide e-mail and telephone support to clients, regarding internal system queries and functional Compliance policies/procedures.
Manage projects of on-boarding new hires and Outside Business Activity audit reviews, and reduced processing time through workflow redesign.
Research and identify data quality issues reported through the Client or found through implementation of new file and work with client to create a resolution.
Develop, communicate, and train the organization on business practices and processes to promote compliance awareness.
Monitor and ensures timeline check-points are met for compliance projects.
Review background check findings for onboarding employees, and provide HR and Management with information that allows them to make hiring decisions in compliance with labor laws and FINRA regulations.
Conduct the appropriate reporting and escalation of incidents within Legal and Compliance team.
Provide updates for monthly and weekly Compliance reports and perform other related duties as assigned.
Advice clients and senior management on compliance/regulatory policies; monitor and assess compliance risks and controls.
Ensure all employees are meeting their continuing education requirements, ethics training and other annual compliance requirements.
Technology Experience: Experience in manual testing projects of Salesforce and Global Registration System (GRL).
Plan, prepare, and execute functional, integration and user acceptance testing; including end-to-end test scenarios across multiple systems such as, Salesforce, GRL, Actimize and Workday Proven experience in system quality assurance for small to large projects and testing using validation of screens.
Knowledge of UAT, writing test cases, bug reports, creating and managing Salesforce sandbox.
Verify that fixes for defects and new features work as expected, and are not causing regressions in affected areas.
07/2004 to 12/2007
Health Benefits ConsultantMarsh & Mclennan Companies, Inc. – Lexington, KY,
Collect, input, verify, correct, and analyze data to measure key performance indicator i.e.
actual versus business objectives and display data in spreadsheet format.
Maintain an exceptionally high rate of customer satisfaction, and retention through effective relationship management, timely problem resolution, and personal attention to client account needs and concerns.
Assist in client specific proactive client data initiatives.
Advice management of customer acceptance of existing products and services and makes recommendations on enhancements or new services based upon client input.
Research and identify data quality issues reported through the Client or found through implementation of new file, and work with client to create a resolution.
Follow-through as necessary to get information from internal and third parties and have data errors/omissions corrected.
Serve as liaison with other divisions such as IT, Underwriting, Sales and Marketing in an effort to ensure accurate and timely technical matters, and problem resolution for client issues.
Outsource vendors for clients, provide training, and drive implementation of new software and benefit plans.
Review Insurance contracts to ensure Compliance with terms and conditions, and recommend revision where necessary.
Involved in developing the internal health benefits audit program, which was implemented as the regional standard PAR procedure manual.
Manage the creation and implementation of new policies and procedures and ensured compliance with existing firm guidelines, policies and procedures.
01/2004 to 05/2004
InternMidland States Bancorp, Inc – Champaign, IL,
Interact with professionals at various levels of the organization, to better understand the day-to-day roles and responsibilities of brokers and portfolio managers.
Assist Financial Advisors with review of clients' portfolios, and wrote financial summaries based on research from online sites e.g.
Morningstar, Bloomberg, and Hoovers.
Experience portfolio management and evaluation, risk assessment, and decision making based on clients' goals and risk.
tolerance.
05/2001 to 07/2004
Front Desk SupervisorMckibbon Hospitality – Plantation, FL,
Ensure staff is properly trained on systems, security and cash-handling procedures and service standards.
Run daily reports, identify any special requests and check reports for accuracy.
Provide coaching and conflict resolution and provide performance feedback to Management.
Follow up with maintenance and bell staff to ensure guest requests have been completed.
Set up guests' billing accounts, posted charges and ensured cash accounts were balanced at the end of shifts.
Serve as a central communications point during emergency or crisis situations.
Education
Expected in
Bachelor of Science: Business Management Coppin State University - , GPA: GPA: 3.7
Business Management GPA: 3.7
Expected in 2015
HTML & SDLC Certificate, 2007
NALA approved Paralegal Certificate: Essex Community College University of Central Florida - , GPA:
Additional Information
Honors & Awards:
Deans' List Coppin State University
Certificate of Merit for Superior Customer Service 1999
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School Attended
Coppin State University
Essex Community College University of Central Florida
Job Titles Held:
Compliance Assistant
Compliance Associate
Health Benefits Consultant
Intern
Front Desk Supervisor
Degrees
Bachelor of Science
HTML & SDLC Certificate, 2007
NALA approved Paralegal Certificate
