Compliance Specialist/Compliance Communications Manager Resume Example
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COMPLIANCE SPECIALIST/COMPLIANCE COMMUNICATIONS MANAGER
Experience
Compliance Specialist/Compliance Communications Manager
April 2012 to Current STATE
April 2012 to Current STATE
- Create company-wide and role-specific compliance training program; facilitate focus groups with subject matter experts to develop training curriculum and policy content; design and develop instructional materials for targeted new and existing policies; administer training enrollment and record-keeping; develop postings, announcements and other communications through the company LMS and other channels; research compliance laws and regulatory updates; initiate and follow-up internal risk assessment processes; request and manage internal compliance audits.
- Key Results: Created and implemented company-wide compliance training program, meeting 60- and 120-day aggressive goals.
- Developed department-level data breach procedures and trained client advocates as point of contact.
- Created risk assessment templates for communicating information from initial scoping document to presentation of executive summary.
- Created newsletter templates for disseminating compliance information to top level managers and executive officers.
- Developed compliance training policy, outlining the company commitment to compliance and potential consequences for training non-compliance.
- Implemented and manage compliance network with liaisons in multiple business units for the purpose of conveying compliance messages.
- Serve as BSA/AML administrator, ensuring compliance with the AML program.
- Expanded role of policy and training development.
- Promoted to Compliance Communications Manager in June 2015.
Legal/Compliance Coordinator
- Coordinate legal projects and intern workload; manage department budget and expense reports; coordinate documentation and compile state exam responses; prepare training alerts; create tracking method and reporting for data breach and data error incidents.
- Promoted to Compliance Specialist.
- Key Results: Presented two separate estate planning "lunch and learn" sessions for a total of 100 employees.
- Served as Life Balance Advocate for building with over 200 employees, coordinating fitness challenge and assisting with details of numerous company events.
- Initiated and coordinated with IT to implement a legal help desk function for employees to ask legal questions.
Postmortem Legal Assistant
April 2011 to April 2012NA - STATE
April 2011 to April 2012NA - STATE
- Lead client consultations; analyze and interpret legal documents; determine continuing estate plan process according to legal agreement and state statutes; research legal questions and provide responses in verbal and/or written form; review asset details and manage value determinations; draft legal documents, conveyances and letters of instruction; prepare tax and legal documentation of estate administration details.
- Key Results: Created postmortem written procedures, including checklists for trust administration and probate proceedings.
- Created and maintained postmortem funds tracking worksheet.
- Prepared new monthly reports reflecting work performed for specific accounts and fees billed accordingly.
- Categorized electronic files and created templates for postmortem administration purposes.
Vice President and Trust Officer
October 2001 to December 2010The BARTON LAW FIRM, LLC - STATE
October 2001 to December 2010The BARTON LAW FIRM, LLC - STATE
- Oversee operational management of fiduciary trust accounts; serve as supervisor and backup to support staff; ensure timely, accurate processing of daily deposit and disbursement transactions, short term cash management, asset trading, security reorganizations and cash/asset reconciliations; review beneficiary disbursement requests; research accounting system updates and provide staff training; nurture client relationships; ensure account adherence to policy and procedures, state and federal regulations and the governing instrument.
- Key Results: Increased department composite rating to the highest rating a trust department can receive from both the Missouri Division of Finance and the Federal Reserve Bank of St.
- Louis, which included ratings for management, operations, internal controls and auditing, compliance and asset management.
- Implemented compatible technologies and process automations (including new cash management processes, proxy voting systems, legal document scanning and statement printing changes) to foster an environment of continuous improvement.
- Trained users and served as the primary "go-to" liaison on these new systems, which propelled efficiency gains and significant time- and cost-savings.
- Updated department policies and procedures annually according to changes in federal and state regulations.
- Updated bank policy regarding Medallion Stamp Signature Guarantee program.
- Served as one of two bank officers authorized as stamp administrators.
Education
Associate of Applied Science : Computer Science & Data Processinglincoln University - City, StateComputer Science & Data Processing
Professional Affiliations
American Bankers Assn, Institute of Certified Bankers - designated Certified Trust & Financial Advisor
Missouri Bankers Association, Women Bankers Committee Member, 2008 to 2010
Callaway County Chamber of Commerce-Women's Network, Prior Steering Committee Member, Member
Skills
accounting system, ask, asset management, auditing, backup, Balance, budget, cash management, compliance audits, content, continuous improvement, client, documentation, staff training, expense reports, Finance, focus, funds, help desk, Communications Manager, instruction, legal, legal documents, letters, materials, network, newsletter, policies, processes, proxy, record-keeping, reporting, research, risk assessment, scanning, supervisor, prepare tax, training development, written
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Resume Overview
School Attended
- lincoln University
Job Titles Held:
- Compliance Specialist/Compliance Communications Manager
- Legal/Compliance Coordinator
- Postmortem Legal Assistant
- Vice President and Trust Officer
Degrees
- Associate of Applied Science : Computer Science & Data Processing
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