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Compliance Manager Resume Example

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COMPLIANCE MANAGER
Summary
Risk Manager with superior communication skills and experienced in managing a variety of projects and teams.  Successful in acting as liaison between clients and regulators, with more than 25 years of experience in the interpretation, application and enforcement of federal, state and local laws. 
Core Qualifications
  • State, federal and local regulations knowledge
  • Staff training and development
  • Policy/program development
  • Budgeting and forecasting
  • Law/code interpretation
  • Qualified Compliance Inspector of Stormwater (QCIS)
  • NALA Certified Paralegal (CP/CLA)
  • ADEQ Rule 310 dust control certification
  • Notary Public, State of Arizona
  • Investigative research
Accomplishments
  • Held a 100% success rate on maintaining a zero violation record during unannounced regulatory inspections. 
  • Reduced losses by 75% in a 12-month period by implementing corporate Health & Safety Management System (HSMS) ensuring compliance with OSHA regulations.
  • Reduced annual premiums by $3M over a 4-year period by implementing improved loss control methods and successful contract negotiation.
  • Reduced outside legal expenses by $1M year over year by improving internal corporate governance and litigation management.
  • Essential contributor in the growth of client base by 100% in a six (6) month period.
  • Promoted to Director, Insurance & Risk Management after three years of employment.
  • Led corporate risk management training and development program for $1B global aviation company.
Experience
Earthworks Environmental, LLCDecember 2015 to May 2016Compliance Manager
Mesa, AZ
  • Inspected an average of 30 construction sites weekly for compliance with state and federal regulations and local ordinances.
  • Wrote an average of 120 compliance reports each month, including notices of violation and permit updates.
  • Acted as liaison between client and state, federal and local regulatory agencies, resolving any compliance issues.
  • Assisted client with non-compliant operational risks by providing strategies and best management practices.
  • Identify and assess the potential impact regulatory changes may have on a client's operation.
  • Developed Storm Water Pollution Prevention Plans (SWPPP).
  • Keep informed about industry trends and best practices by attending professional training and maintaining certifications/qualifications.
StandardAero (formerly Landmark Aviation)January 2008 to February 2011Director, Insurance & Risk Management
Tempe, AZ
  • Managed a global team of risk management professionals with an annual operating budget of $2M.
  • Administered and maintained $1B corporate liability program (14 lines), including assessment of risks, coverages, and underwriting negotiation.
  • Design, implementation and management of corporate risk management system.
  • Design, implementation and oversight of corporate occupational health & safety management system promoting improved quality control with a focus on reducing losses sustained by employees.
  • Provided ongoing training and development to improve customer services and protect company assets.
  • Design and implementation of the Corporate Pandemic Preparedness Plan.
  • Collaborated with other departments in the design and implementation of the vendor management system.
  • Troubleshoot issues on a daily basis.
  • Actively lead and participate in project and support related meetings.
  • Contract review for risk allocation for services provided, including but not limited to indemnification, limitations of liability, warranties, waivers or subrogation and insurance requirements.
Landmark Aviation (formerly Garrett Aviation)August 2006 to January 2008Insurance Manager
Tempe, AZ
  • Identify and analyze operational risks associated with corporate insurance policies.
  • Create and modify procedures and documents in compliance with corporate liability policies.
  • Oversee the claims management process by evaluating effectiveness and working with third party claims administrators and insurance company claims personnel to assure appropriate claims resolution.
  • Evaluating, analyzing, and designing risk transfer solutions for risk and liability.
  • Contract review for risk allocation for services provided, including but not limited to indemnification, limitations of liability, warranties, waivers or subrogation and insurance requirements.
  • Management and knowledge of adjusting, legal, and claims management processes related to actions or potential actions brought against the company.
  • Provide ongoing training and development to improve customer services and protect company assets.
Garrett Aviation March 2005 to August 2006Sr. Corporate Paralegal
Tempe, AZ
  • Ensure corporate governance with state and federal regulatory agencies, including Secretary of State, Corporation Commission, Occupational Safety & Health Administration, and Federal Aviation Administration.
  • Actively manage outstanding claims, recommending successful settlement advice to senior management.
  • Contract review for risk allocation for services provided, including but not limited to indemnification, limitations of liability, warranties, waivers or subrogation and insurance requirements.
  • Assist with ethics and compliance program.
  • Perform legal research.
Gallagher & KennedyOctober 2003 to March 2005Litigation Paralegal
Phoenix, AZ
  • Assist attorneys with depositions, witness interviews, court proceedings, and pre-trial/trial preparation including securing evidence and documentation such as subpoenas and witness notifications.
  • Prepare trial notebook for use in court proceedings.
  • Produce initial drafts of pleadings, motions, briefs, memos, discovery requests and responses, reports, and correspondence as assigned and in accordance with court rules of procedure.
  • Conduct legal research on statutes, legal cases and other sources for legal precedents and case applicability.
Arizona Electric Power Cooperative, IncJuly 2000 to October 2003Sr. Corporate Paralegal
Benson, AZ
  • Manage in-house legal team during the successful restructuring of the business into three separate entities.
  • Create organizational documents, including Articles of Incorporation, Meeting Minutes and Annual Reports.
  • Ensure corporate governance required by state and federal regulatory agencies including Corporation Commission and Secretary of State.
  • Assist with ethics and compliance program.
  • Perform legal research.
Waterfall, Economidis, Caldwell, Hanshaw & Villamana PCOctober 1992 to July 2000Legal Assistant
Tucson, AZ
  • Manage and develop client files.
  • Assist attorneys with drafting of legal documents, including development of trial documentation and preparation.
  • Ensure compliance with court rules.
  • Perform legal research.
Federal Correctional InstitutionAugust 1987 to October 1990Legal Technician
Safford, AZ
  • Manage legal records and case files.
  • Collaborate with other governmental agencies (state and federal), including US Customs, FBI, and Attorney General.
  • Maintain secure and accurate case files adhering to strict confidentiality practices.
  • Follow federal rules and procedure process incoming and discharging inmates.
  • Protect safety and integrity of institution through monitoring for contraband and unauthorized activity.
Education
Arizona State University2015Bachelor of Science: Environmental and Resource ManagementTempe, AZGPA: Summa cum laude GPA: 3.86/4.0 Outstanding Graduate Award RecipientEnvironmental and Resource Management Summa cum laude GPA: 3.86/4.0 Outstanding Graduate Award Recipient
Additional Information
  • VOLUNTEER EXPERIENCE:  Town of Queen Creek Community Outreach of Environmental Programs; Queen Creek Heat Little League Softball coach; American Youth Soccer Organization coach; AZ Center for Animal Rescue & Education
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Resume Overview

Companies Worked For:

  • Earthworks Environmental, LLC
  • StandardAero (formerly Landmark Aviation)
  • Landmark Aviation (formerly Garrett Aviation)
  • Garrett Aviation
  • Gallagher & Kennedy
  • Arizona Electric Power Cooperative, Inc
  • Waterfall, Economidis, Caldwell, Hanshaw & Villamana PC
  • Federal Correctional Institution

School Attended

  • Arizona State University

Job Titles Held:

  • Compliance Manager
  • Director, Insurance & Risk Management
  • Insurance Manager
  • Sr. Corporate Paralegal
  • Litigation Paralegal
  • Legal Assistant
  • Legal Technician

Degrees

  • Bachelor of Science : Environmental and Resource Management

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