Compliance Officer Resume Example
Innovative and seasoned compliance professional offering expertise in regulatory compliance and project management. Working collaboratively with top leaders and staff to optimize adherence to policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations, process improvement recommendations and best practice introduction. Well-organized and systematic with excellent communication and planning abilities. Skilled at litigation support and keeping detailed records. Recognized consistently for performance excellence and contributions to success in government agencies. Looking for challenging position in fast-paced environment.
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Bank Of The West – Mission Viejo , CA
- Lead and provided direction to team of three and Microsoft Representative, spearheading six-week prototype build of minimum viable product of the TNC appeals intake platform utilizing Microsoft Dynamics 365 that will improve existing appeals process from email based to CRM.
- Conduct investigations and background checks on rideshare driver applications for state entity charged with public transportation safety oversight, while adhering to integrity guidelines, resulting in company compliance higher than agency standards.
- Facilitated adjudication of (762) applicant appeals in 2019, outperforming other compliance officers by 38%, resulting in placement as top appeals performer in the Division.
- Drafted and administered 200+ appellant final order decisions in 2018 Q4, leading to updated execution of adjudication deliverables.
- Guaranteed continuous improvement of administrative appeal process, by logging new appeals, assigning appeals, researching, reviewing, and resolving non-hearing requests while strictly adhering to state regulations.
- Enhanced appeal process by collaborating with TNC Director, counsel, colleagues, local police departments, and courts to obtain additional information bearing on clarity of future implications of appeal decisions.
- Aided in development and implementation of division-wide email and phone language to improve information accuracy.
- Conducted 12 administrative hearings weekly that determined driver eligibility for Background Check Clearance Certificate, and rendered decisions based on testimony, evidence, and state regulations.
- Managing Commonwealth of Massachusetts TNC Trust Fund reports inbox; categorizing fund reports from 351 municipalities in Massachusetts; sending communications and corresponding with municipal officials; and providing Director with updates.
- Preliminary approval review of reports received with funds ranging from $0 to $4.5 million, submitted by Municipalities, detailing projects and amount used or planned to be used for transportation-related projects.
Massachusetts Health Connector – City , STATE
- Processed 20-40 healthcare appeal cases on average per day and investigated appropriate actions for appeal resolution, thus achieving productivity goals.
- Established standard email response for frequent questions/inquiries received, which was approved by Division manager and implemented, resulting in streamlined facility operations.
- Operated cross-functionally with other departments and agencies to guarantee accuracy of information received and accordingly determined eligibility of 100+ appellants for subsidizes/non-subsidizes health coverage.
- Structured training guide to aid in identifying different immigration documents and selecting information to input into multiple fields in the system application from each document, which fast-tracked review and processing time.
- Served as intermediary to individuals acquiring health coverage under the Affordable Care Act, and consequently streamlined workflow, which resulted in 20% reduction in errors yearly.
New Generation Research Inc – City , STATE
- Researched 12+ financially distressed companies weekly utilizing bankruptcy court website, stock market index, credit rating agencies, Bloomberg portal, and press releases and therefore maintained facts in etched stories for daily news, weekly, and monthly newsletters.
- Authored two trenchant and incisive articles on featured topics that were published in the monthly newsletter “The Turnaround Letter.”.
- Contributed to business goals, performance matrices, by conducting intensive research on corporate bankruptcies and companies in distress, and relaying information to clients such as settlements offered, money paid to top executives, denied motions and counsel retained.
- Maintained 98% content reliability score by consistently writing compelling, persuasive stories on daily news that spoke directly to the audience.
Licensure Administrative Assistant | Massachusetts Board of Registration in Dentistry| Boston, MA | 2016
Branding Director | Boston Curvy Fashion Week (BCFWeek) | Boston, MA | 2016
Set Production Assistant | Bravo Top Chef Boston | Woburn, MA | 2014
Yearbook Photographer| Lifetouch National Portrait Studios | Boston, MA | 2013
Wardrobe Stylist Internship | TESstylist | Boston, MA | 2012
Northeastern University - City, State
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Resume Overview
School Attended
- Northeastern University
- Suffolk University
Job Titles Held:
- Compliance Officer
- Appeals Research Associate
- Publication and Research Assistant
Degrees
- Master of Science : Organizational and Corporate Communication , 2018
Bachelor of Science : Business Administration
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