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Director of Sales & Operations/Compliance Resume Example

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JC
DIRECTOR OF SALES & OPERATIONS/COMPLIANCE
Summary

Meticulous and knowledgeable Director of Compliance with over 5 year record of success in policy development, program management, risk mitigation and operational planning. Proficient in maintaining regulatory compliance and correcting systemic issues in collaboration with business managers. Team-focused, consistent and diplomatic with a focus on building strategic alliances and enhancing company standing.

Skills
  • Channel development
  • Social media marketing
  • Sales leadership and training
  • Supplier sourcing
  • Project management
  • Problem investigations
  • Report writing skills
  • Interpersonal and written communication
Experience
01/2018 - CurrentDirector of Sales & Operations/ComplianceCFS Investments dba Champion Financial Services | Palm Desert, CA
  • Pursued sales deals by overseeing qualifying clients, building individualized proposals and preparing final contracts.
  • Increased business revenue through proactive management of relationships and sales strategies.
  • Developed and presented creative ideas to internal stakeholders and customers to initiate new programs and successful sales initiatives.
  • Maintained active sales contacts with assigned accounts to keep communication open and capture consistent revenue.
  • Strategically managed revenue streams by establishing sales targets, deployment strategies and go-to-market initiatives.
  • Directed training improvements to reduce knowledge gaps and eliminate workforce performance inefficiencies.
  • Responded quickly to consumer and regulatory complaints within a 72-hour turnaround.
  • Implemented from the ground up a new Compliance Training and coached employees on all changes.
  • Facilitated adherence to all safety and regulatory objectives, including client-specific projects, training programs and personnel background checks.
  • Maintained and revised policy procedures for general operation of compliance program.
  • Tracked both internal and external data export while monitoring for security risks.
  • Carefully maintained and circulated filing documents and records to department heads.
  • Enforced regulations by reviewing federal and state laws to confirm compliance.
  • Planned and executed compliance audits to check company policies, procedures and controls.
  • Analyzed securities and insurance program registration documents.
  • Assessed internal documentation and communications, as well as public relations and advertising materials for compliance with company policies and legal requirements.
  • Compiled and analyzed detailed feedback reports to improve solicitation and collection process.
  • Studied regulations to ascertain all requirements and delivered necessary training to clients.
  • Provided compliance risk control consultation to committees and leadership.
03/2016 - 01/2018Director of Regulatory ComplianceTrading Financial Credit LLC | Los Angeles, CA
  • Evaluated physical and digital records to determine potential risk and check compliance with guidelines.
  • Executed successful compliance monitoring and risk assessment programs.
  • Guided and supported compliance teams engaged in consumer lending.
  • Offered subject matter expertise to stakeholders needing advise on compliance regulations and consumer lending best practices.
  • Created and managed training classes to educate new hires and existing employees about compliance concerns.
  • Assisted clients to resolve deficiency in risk prevention, business controls and productivity.
  • Reviewed customer issues, company processes and all other operational areas to check compliance.
  • Contributed to large-scale risk assessment initiatives and promoted improved business procedures and controls.
  • Worked with human resources and information technology teams to build and deploy employee policies and financial codes governing personnel compliance training.
  • Performed site evaluations, customer surveys and team audits.
  • Worked closely with team members to deliver project requirements, develop solutions and meet deadlines.
  • Provided excellent service and attention to customers when face-to-face or through phone conversations.
  • Improved customer satisfaction by finding creative solutions to problems.
  • Recognized by management for providing exceptional employee and customer service.
  • Created agendas and communication materials for team meetings.
03/2012 - 03/2016Compliance OfficerWheels Financial Group, LLC | Encino, CA
  • Drove data accuracy in collaboration with Technology Department and Human Resources personnel.
  • Guided internal department heads through integration and complex compliance changes.
  • Reviewed bank processes, inputted Corporate Compliance Training revisions and coached employees on all changes.
  • Directed the development or implementation
  • Planned and executed compliance audits to check company policies, procedures and controls.
  • Assessed internal documentation and communications, as well as public relations and advertising materials for compliance with company policies and legal requirements.
  • Documented collections amounts and status and maintained information in organizational database.
  • Director oversight of the companies Vendor Management portfolio
  • Studied regulations to ascertain all requirements and delivered necessary training to consumer, third party vendors or affiliates.
  • Reviewed contracts from banks and verified corrections met all regulatory requirements.
  • Developed organizational methods and policies, implementing training initiatives to deliver ongoing awareness of and compliance with established procedures.
  • Worked with department heads to draft documents, monitor attendance and conduct audits.
Education and Training
05/2008High School Diploma
Buckeye Union High School | Buckeye, AZ
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Resume Overview

Companies Worked For:

  • CFS Investments dba Champion Financial Services
  • Trading Financial Credit LLC
  • Wheels Financial Group, LLC

School Attended

  • Buckeye Union High School

Job Titles Held:

  • Director of Sales & Operations/Compliance
  • Director of Regulatory Compliance
  • Compliance Officer

Degrees

  • 05/2008 High School Diploma

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