Compliance Manager-Operations Resume Example
Progressive and motivated risk management and compliance professional adept at the development and implementation of enterprise risk management programs. Focused on risk mitigation controls and strategies to ensure the organization's strategic goals and objectives. Solid knowledge of enterprise risk management (ERM) and governance, risk management & compliance (GRC) methodologies & principles.
Salisbury Management, Llc - Harrisburg , PA
Serve as primary business leader for the development, implementation, and oversight of all business compliance program functions and its risk management objectives. Ensure compliance controls meet regulatory and industry standards in a heavily regulated and litigious background screening organization.
- Collaboration with multiple departments to development of project plans resulting in strengthening of controls to manage risks to acceptable levels.
- Conduct formal risk assessments measuring risk impact, likelihood and vulnerabilities providing business leaders greater insight of risk levels.
- Provide regulatory compliance guidance and recommendations to business leaders in order to devise and initiate organizational strategic risk management goals and objectives.
- Implementation of regulatory and legislative tracking and monitoring program of over 175 active bills provides the business needed risk awareness of potential new compliance obligations.
- Presentations and communication to executive leaders of risk threats providing business decision-makers greater insight and guidance for future development of risk management strategies.
- Development of auditing program resulting in risks identification and remediation in key functional areas in the first year of the program. Produced audit finding reports to process owners which identified over 45 control weaknesses for remediation efforts.
- Analyze data metrics to identify and assist risk prediction trends on the business horizon. Conducting root cause analysis of internal control breakdowns identifies control weaknesses requiring strengthening.
- Benchmarking compliance program effectiveness and evaluation of remediation efforts identifies areas of improvement and provides insight on means to strengthen internal controls.
General Information Services, Inc. - City , STATE
Held dual roles as both the Operations Manager of the International Screening Department and Compliance Manager in a large, fast paced, background screening company.
- Managed team of four responsible for processing over 5,000 international background checks annually. Improved process efficiencies resulting in lowering processing times by 25%.
- Aligned operational procedures with compliance of international screening & data protection laws lowering risks.
- Coordinated research efforts and content contribution of proprietary database expansion from 90 to over 160 countries related to screening logistics and regulatory data privacy requirements.
- Expanded and improved quality of global vendor network ensuring data protection and accuracy compliance. Developed third party vendor vetting & due diligence procedures improving FCPA and data processing compliance.
- Aligned vendor partnerships to strategic business goals and client screening & data privacy/security requirements resulted in international volume growth by over 50%.
General Information Services, Inc. - City , STATE
Reported directly to the Sr. Vice President of Operations and Compliance. Managed all compliance administrative and research functions.
- Conducted research on a wide range of state and federal laws and large variety of industry regulations. Research finding for business and legal provided knowledge of compliance requirements.
- Provided business development and sales teams with research support in order to explore new screening service offerings in accordance with regulations.
- Participated in industry association government relations committee to keep business abreast of legislative and regulatory climate.
- Led team in audit of best practices and compliance standards to successfully achieve industry accreditation. Positioned company to join the top 1% of background screeners.
- Developed and implemented annual Fair Credit Reporting Act policy, training & testing program.
- Successfully managed & responded to government & third party audits allowing the business to continue to sell certain products.
- Served as primary support to in-house legal for legal research and analysis feedback of state and federal laws impacting the business and clients. Collaborated with Marketing to provide expertise support in the creation of legal and regulatory compliance guides for clients.
National Association of Professional Background Screeners (NAPBS)
Open Compliance and Ethics Group (OCEG)
NAPBS Advanced Fair Credit Reporting Act (FCRA) Certification
Washington State Private Investigator License #4214 (Active)
Oregon State Private Investigator License #75094 (Active)
- Risk Identification, Assessment and Mitigation
- Regulatory Compliance (FCRA/FACTA/DPPA/FCPA/Safe Harbor/International Data Protection & Privacy)
- Auditing and Evaluation of Internal Controls
- Strategic Risk Avoidance Planning and Implementation
- Operational Policy and Procedures Design & Implementation
- Cross-Functional Team Collaboration
- Legislation, Regulatory and Litigation Research & Monitoring
- Board/Executive Leadership Communication and Presentation
- Microsoft Word, Excel, Office, Outlook, Windows 10, Visio, SharePoint, PowerPoint, WebEx, PACER, LexisNexis StateNet, Westlaw
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Resume Overview
School Attended
- The Citadel Military College of South Carolina
Job Titles Held:
- Compliance Manager-Operations
- International Operations and Compliance Manager
- Special Projects Manager Compliance
Degrees
- Bachelor of Arts , History
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