Seeking to obtain a position in the financial services industry that can utilize my extensive investigative background, strong knowledge of Compliance Risk Management and enable me to make a positive contribution to the organization.
Summary
Skilled financial professional with over 15 years in the financial services industry. Experienced in compliance with applicable laws and regulations. Excellent oral, written and presentation skills, along with analytical and leadership ability.
Highlights
Risk management assessor
Regulatory Compliance
Anti-Money Laundering /Id Theft Prevention
Financial Fraud/Credit Investigation
Debt Management
Project Management
Excellent time management skills
Excellent communication skills
Strong comprehension of FCRA
Knowledge of UDAAP & CFPB
Knowledge of GLB Act
Governance, Risk Management & Compliance
Experience
Information Security Governance Administrator, 03/2014 - Current Assurant – Bellflower, CA,
Provide high level of executive assistance in running and managing committee meetings with High Level Executives and Line Management.
Coordinate Technology Risk and Compliance (TRaC) Committee meetings; Security Analysis Review Committee (SARC) & Information Security Policy Committee (ISPC), as well as maintaining document files with appropriate procedures relating to the committees.
Document and distribute meeting results, as well as prepare reports for distribution to senior levels of management.
Participate in the Peer Review Program, which includes coordinating Peer Review schedules, capturing and analyzing peer review feedback, and making recommendations for training opportunities and process improvements.
Maintain the TRaC GRC process by reviewing the integrity of key data elements within Archer database, ensuring the data is accurate and consistent.
Create charts and graphs to illustrate weekly status reports.
Notifying appropriate Information Security Officer (ISO) when Business Risk Internal Analysis’ (BRIAs) are needed as a result of Software and Hardware Review and Approval Board (SHRAB) meetings.
Collect all signed BRIAs, Exceptions, Approvals, Online Fraud and Authentication Risk Assessment (OFARA) and Supplier Risk Reviews (SRRs).
Report on key metrics to ensure compliance across the program, such as follow-up actions, outstanding signatures, and assignment of ISO work queues.
Monitoring the Governance Administration email box.
Investigated and resolved red flags for fraud, embezzlement, money laundering, false accounting statements, organized crime, terrorist financing and insider trading.
Monitored risk accounts on a weekly, monthly, quarterly and annual basis.
Complied with regulatory requirements including Bank Secrecy Act, Anti-Money Laundering, Office of Foreign Asset Control (OFAC), USA Patriot Act, Privacy Act, Financial Crimes Enforcement Network (FinCEN) and Financial Industry Regulatory Authority (FINRA).
Assisted with various training-related projects and facilitated training sessions, as required.
Ensured that established compliance procedures were followed; updated company policies and procedures with new government provisions and regulations.
Analyzed and reviewed all incoming Cash Equivalents such as, Money Orders, Cashier Checks, 3rd Party checks to detect fraud.
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