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Compliance Program Manager, Senior Analyst Resume Example

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Ross
Luft
Professional Summary

Dedicated and detail-oriented compliance professional with extensive experience building control frameworks and engaging employees in compliance culture. Seeking to join an organization where I can effectively leverage my skills and engage in a team-oriented culture, as well as expand my personal development by taking on new areas of responsibility.

Skills
  • Risk assessment
  • Policy and procedure improvements
  • Program leadership
  • Performance and compliance monitoring
  • Program development and management
  • Knowledge of business operations
  • Compliance documentation
  • Quality controls
  • Regulatory examinations
  • Audit
  • Training delivery
Education
Colorado State UniversityFort Collins, CO12/2006Bachelor of Arts: Finance And Real Estate
Work History
DaVita, Inc. - Compliance Program Manager, Senior Analyst
Denver, CO04/2015 - CurrentOversee and expand the regulatory compliance program for DaVita's Hospital Services and Patient Pathways business lines, including a focus on contract compliance and performance, risk assessment, monitoring, auditing and training. Works closely with IT, legal, operations, revenue, and finance teams to provide day-to-day support to ensure compliance with US Federal Healthcare Program laws and CMS regulations. Specific activities and accomplishments include:
  • Built the regulatory compliance monitoring program from the ground up, including 14 monitoring processes, two compliance handbooks, complete compliance trainings, and ongoing oversight of employees responsible for conducting the monitoring
  • Developed a comprehensive dashboard to present senior leaders with monitoring metrics and trends to inform on programmatic elements such as training and policy improvements
  • Created a process for evaluating and monitoring profitability of individual customer contracts to ensure senior leadership can proactively mitigate compliance risk, resulting in an 86% reduction of unprofitable business ($13.7M)
  • Developed automated Salesforce system to manage billing and contract performance for over 1,000 hospitals
  • Awarded multiple core value awards from senior leadership during my tenure, including awards for Teamwork and Continuous Improvement
  • Completed the DaVita Sailing Ship Leadership (DSSL) program for targeted high performers intended to prepare employees for supervisory and leadership roles
  • Applied process improvement methodologies to existing processes, including the automation of contract data reporting, which resulted in an average increase in capacity for junior employees of 5 hours per week
  • Oversee the implementation and tracking of virtual compliance training for over 500 internal stakeholders
  • Project manage all new initiatives involving financial controls, such as coordinating with operational leaders to model new potential revenue streams and service lines
  • Lead the development, adoption, and implementation of policies, procedures, and compliance handbooks
Miller Global Properties, LLC - Senior Financial Analyst
Centennial, CO05/2014 - 04/2015Managed all financial and investor reporting, including quarterly financial statement preparation, finalization, and distribution, as well as due diligence and ad-hoc financial questionnaires and reporting for potential investors
  • Prepared and reviewed quarterly investor (fair value) financial statements and various related ad hoc reporting for $1.5B in assets
  • Calculated and maintained IRR/time weighted return and equity multiple data for each investment/fund on a quarterly, annual and life-to-date basis
  • Developed and maintained fair value capital account reconciliations for each investor on a life-to-date basis
  • Completed due diligence questionnaires for prospective investors, including assets under management and diversification analysis
  • Compiled monthly financial statements and account reconciliations (ROI, IRR) for presentation to investors
  • Forecasted investor capital calls and distributions based on expected asset fair value and overall fund IRR
Brown Brothers Harriman/Oppenheimer Funds, Inc.- Senior Fund Analyst & Compliance Specialist
Centennial, CO09/2010 - 05/2014Specialized in analysis of complex security data including, but not limited to: defaulted securities, loan participations, structured notes, fixed-assets, inflation linked, and synthetic securities. Also provided compliance support for Portfolio Management Team at Oppenheimer Funds, Inc.
  • Reviewed fund prospectus' and SAI's to manually establish post-trade compliance tests based on regulatory requirements
  • Analyze, research and close daily compliance alerts and warnings for portfolio trades executed across retail mutual funds, separate accounts and commingled trust vehicles
  • Daily communication with portfolio managers, traders and analysts with respect to investment decisions. Included evaluating potential investment strategies and advising portfolio with respect to the allowable limits
  • Understanding of portfolio trading mechanics and strategies, including derivative transactions, concentration of investments, currency hedging and options, in order to effectively communicate with portfolio when investment limits are neared or breached
Brown Brothers Harriman/Oppenheimer Funds, Inc.- Fund Analyst, Middle Office
Centennial, CO01/2007 - 09/2010
  • Utilized Bloomberg, InvestOne and Charles River Trading System to verify security setup information
  • Worked with brokers, custodians and portfolio management team to ensure prompt settlement of equity and fixed income trades
  • Reduced settlement delays on foreign bonds by proactively working with counterparties to gather information on T+1 instead of T+2
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Resume Overview

Companies Worked For:

  • DaVita, Inc.
  • Miller Global Properties, LLC
  • Brown Brothers Harriman/Oppenheimer Funds, Inc.

School Attended

  • Colorado State University

Job Titles Held:

  • Compliance Program Manager, Senior Analyst
  • Senior Financial Analyst
  • Senior Fund Analyst & Compliance Specialist
  • Fund Analyst, Middle Office

Degrees

  • Bachelor of Arts : Finance And Real Estate

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