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Operational Compliance Manager II Resume Example

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OPERATIONAL COMPLIANCE MANAGER II
Summary
Highly motivated and dedicated manager, specializing in the Quality Assurance, Compliance, Collections and call center/monitoring environment. Possesses strong leadership qualities and the ability to be effective in a fast pace work environment while achieving set goals within time constraints. Responsive to corporate strategies and willing to contribute knowledge and skill set to achieve the highest level of success for the organization.
Highlights
  • Call center management experience
  • Extensive background in Quality Assurance Compliance, and Training
  • Multi-site Operations
  • Strong problem solving ability
  • Excellent work ethic
  • People-oriented
  • Excels in team leadership
  • Process improvement strategies
  • Staff retention
  • Client relationships
  • Proficient with Microsoft Office Suite
  • Proficient in Verint Call Monitoring program
  • Proficient in NAVEX Policy Tech Policy and Procedures Management program
  • Certified in CBS Collection Negotiations Call Model
  • Strong interpersonal/communication skills
  • Flexible
  • Strategic planning
  • Multi-unit operations management
  • Procedure development
  • Conflict resolution proficiency
Accomplishments

Training: 

  • Successfully trained staff in multiple call centers on all office systems and databases, policies and procedures while focusing on minimizing errors and generating superior results.
  • Delivered training modules to inter-departmental teams to ensure smooth adoption of new program.
  • Completed training on-time and under-budget.

Process Improvement: 

  • Spearheaded and implemented an employee engagement program,resulting in a corporate culture change and increased customer satisfaction.
  • Oversaw implementation of new call monitoring system which resulted in more cost-effective service as well as improved efficiencies.
  • Implemented new work process flow to accommodate redundant call centers which increased department productivity by 30%.
  • Assisted with the creation of critical KPIs to track and improve call center associates efficiencies and quality results.
  • Instrumental in three system upgrades resulting in increased efficiencies in multiple call centers.
  • Assessed organizational training needs.

Documentation: 

  • Created and edited job aids and training documents to keep staff informed on policies and procedures.
  • Maintained various monthly call center reports to provide management with clear and concise call center results.
  • Managed the validation, creation, writing and publishing of all departmental policy and procedure documents.

Recognition: 

  • Recipient of the Special Achievement Award in 2012 for implementation of Call Monitoring Automation.
Experience
Hyundai Capital AmericaIrvine, CaOperational Compliance Manager II05/2014 to Current
  • Management of multi-site strategic initiatives related to Operational Compliance.
  • Management of departmental Policies and Procedures to ensure they are up-to-date, consistent across the organization, and align with all applicable regulatory requirements.
  • Management of internal assessments to ensure adherence to compliance-related work flows as well as policies and procedures to reduce company risk.
  • Oversee process improvement initiatives and discussion of process alternatives in order to implement / update best practices.
  • Partnered with Corporate Legal and Compliance teams to monitor, update, and disseminate changes to applicable laws and regulations.
  • Developed, implemented, and managed compliance risk testing/monitoring programs to ensure compliance with applicable local, state, and federal laws and regulations to mitigate risk.
  • Track and report to senior management performance of adherence to compliance risk testing/monitoring programs.
  • Evaluate the effectiveness of of key regulatory compliance controls, as well as compliance with internal policies and procedures.
  • Monitor internal work flows, and policies and procedures to mitigate risk.
  • Managed vendor oversight program to ensure vendor adherence to all internal policies and procedures and service level agreements.
  • Prepare presentations for senior management to support recommended changes, new initiatives, or enhancements
  • Evaluated training materials prepared by instructors.Developed and delivered all technical training materials
  • Conducted small group and individual activities based on differentiated learning needs.
  • Reviewed and provided comments on the adequacy of documents and took necessary steps to cure any deficiencies.
  • Act as Person Most Knowledgeable (PMK) for internal legal counsel to validate discovery responses for legal complaints filed against the corporation.
  • Management of staff including hiring, counseling, training, monthly/annual performance reviews and termination.
  • Coaching and mentoring staff members by offering constructive feedback and taking interest in their long-term career growth.
  • Quarterly travel to multiple call centers to develop effective relationships with all call center departments and facilitate training programs for new and existing associates.
  • Oversee and facilitate the gathering and organization of all documents requested for state examinations.
Hyundai Capital AmericaIrvine, CaManager I04/2009 to 05/2014
  • Management of call Monitoring Department which includes creating, revising, and enforcing Call Center policies, procedures and quality assurance measures for multiple business units within the organization.
  • Management of staff including hiring, counseling, training, monthly/annual performance reviews and termination.
  • Coaching and mentoring staff members by offering constructive feedback and taking interest in their long-term career growth.
  • Instrumental in the implementation, maintenance, call center training and report creation of the Verint Call Monitoring System.
  • Daily review of all high risk violations to ensure compliance with company policy, Fair Debt Collection Practices Laws, State Specific Laws and minimize risk to the company.
  • Effectively communicate high risk violations, departmental trends, regulatory findings, and dispute responses to multiple levels of management.
  • Partner with legal and compliance departments to ensure all departments within servicing are aware of any regulatory changes.
  • Partner with Training and Development staff to assist with the development of the call center's operations, quality and training processes.
  • Quarterly travel to multiple call centers to develop effective relationships with all call center departments and facilitate training programs for new and existing associates.
  • Identify inefficiencies and offer feedback/ recommendations to executive-level management for process improvements.
  • Established knowledge-sharing processes for 300 associates throughout the organization.
  • Develop process improvements to enhance efficiency and effectiveness of inter-department call center operations.
  • Facilitated information flow between collections, customer service, bankruptcy-recovery, quality assurance, training and support departments to guarantee call center objectives were met.
  • Created and supervised monthly completion of departmental business process audits and made recommendations based on the findings.
Carrington Mortgage Services New Century MortgageSanta Ana, Ca.Q.C. Call Monitoring Manager06/2007 to 09/2008
  • Instrumental in the creation and implementation of the Call Monitoring Department, including policy and procedures, establishing scoring/monitoring guidelines for all business units within the organization, system and reporting creation.
  • Management of staff including hiring, counseling, training, monthly/annual performance reviews and termination.
  • On a daily basis ensure compliance with company policy, Fair Debt Collection Practices Laws, and minimize risk to the company.
  • Review of all high risk violations and the immediate reporting of my findings to senior management.
  • Facilitation of training programs for new and existing associates Perform regular reviews for each associate reporting to me to ensure accuracy, track daily results and implement corrective action when needed.
  • Interact with legal and compliance departments to ensure all departments within servicing are aware of any regulatory changes
  • Effectively communicate to all levels departmental trends, regulatory findings, respond to disputes, compile data for creation of weekly/monthly reporting.
New Century MortgageSanta Ana, Ca.Assistant Collection Manager03/2005 to 07/2007
  • Management of 65 collection associates, 5 supervisors, and 4 internal trainers.
  • Implement and monitor daily strategies for the auto dialer campaigns Monitor departmental productivity and make recommendations to senior management to ensure continuous improvement in all areas.
  • Required to display general knowledge of project management and problem resolution skills on a daily basis.
  • Create and facilitate training programs for new and existing associates Monitor and track the development off all new associates.
  • Perform regular reviews for direct reports, track daily results, identify areas for improvement, and implement corrective action when needed Resolve problem accounts and customer service issues promptly to maximize customer service and minimize risk to the company.
  • Monitor and review daily operation to ensure compliance with company policy as well as Fair Debt Collection Practices Laws.
  • Work closely with Human Resources Representatives to facilitate the resolution of all employee, customer, and interdepartmental problems as necessary.
  • Consistently maintain management confidentiality.
Education
Certificate of Completion:Call Center Call Monitoring2013Verint University, Atlanta, GA
Certificate of Completion:Call Center Technology 2011Center For Business Solutions
Certified Notary:Notary Public2001United States Notary Association, Los Angeles, CA
Certificate of Completion:State and Federal Collections Laws and Practices 2000Fair Debt Collection Practices Act, Atlanta, GA
Certificate of Completion:Mortgage Laws and Servicing Practices1993Mortgage Bankers Association of America, Los Angeles, CA
High School Diploma:General1988Santiago High School, Garden Grove, CA
Skills
  • Multi-unit Operation Management
  • Staff Training and Development
  • Staff Motivation
  • Communication Skills
  • Customer Relations
  • Negotiation Skills
  • Interpersonal Skills
  • Team Player
  • Operations Start-Up
  • Organizational Restructure and Change
  • Performance Evaluations
  • Problem Resolution
  • Total Quality Management
  • Regulatory Affairs
  • Risk Management
  • Analytical Skills
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Resume Overview

Companies Worked For:

  • Hyundai Capital America
  • Carrington Mortgage Services New Century Mortgage
  • New Century Mortgage

School Attended

  • Verint University
  • Center For Business Solutions
  • United States Notary Association
  • Fair Debt Collection Practices Act
  • Mortgage Bankers Association of America
  • Santiago High School

Job Titles Held:

  • Operational Compliance Manager II
  • Manager I
  • Q.C. Call Monitoring Manager
  • Assistant Collection Manager

Degrees

  • Certificate of Completion : Call Center Call Monitoring 2013
    Certificate of Completion : Call Center Technology 2011
    Certified Notary : Notary Public 2001
    Certificate of Completion : State and Federal Collections Laws and Practices 2000
    Certificate of Completion : Mortgage Laws and Servicing Practices 1993
    High School Diploma : General 1988

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