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Senior Compliance Advisor Resume Example

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SENIOR COMPLIANCE ADVISOR
Professional Profile

Experienced risk and compliance professional who achieves consistently superior results in a competitive, innovative and rapidly evolving regulatory environment. A track record of leadership, driving operational compliance risk improvement, and creating an effective compliance management program.

Key Skills
  • Certified Regulatory Compliance Manager (CRCM)
  • Expert in compliance control creation
  • Excels in interpreting, communicating, and responding to regulatory guidance
  • Excellent verbal and written communication skills
  • Extensive experience in developing & implementing a compliance management program
  • Results focused and self-motivated
Accomplishments
  • Architect of 1st line of defense control program that was used as a model for other business areas
  • Created a quality team of over 50 associates who monitored for regulatory adherence, driving improvement across the Card line of business
  • Influenced Compliance leadership to refrain from replicating the control environment across legal entities, preventing the duplication of over 300 controls
  • Created a control assessment program that reviewed over 150 detective controls and remediated all gaps discovered
Professional Experience
Senior Compliance Advisor, 03/2013 to CurrentFidelity Investments - Phoenix , AZ
  • Advise lines of business on application of Compliance requirements, such as: new products, process development, development of controls and monitoring, remediation/corrective action of compliance breakdowns, and change in law or regulation for Retail Bank
  • Assess adequacy of controls and monitor plans
  • Deliver compliance advice to lines of business as a subject matter expert
  • Evaluate internal Audit, regulatory exam, and self-identified issues and events for compliance impacts
  • Identify trends in data and proactively advise on identified external and internal risks
  • Leverage analytical thinking skills to ensure the requirements of the Compliance Management Program are being met
  • Manage risk events in areas where there is a compliance impact and assess adequacy of remediation activities
  • Perform control assessments and review peer assessments for accuracy and adherence to test procedures
  • Perform targeted tests on lines of business controls
  • Promote a culture of compliance risk management and balanced risk taking
  • Provide compliance advice on complex projects
  • Provide effective challenge and guidance on compliance risks
  • Provide input on business regulatory requirements
  • Review and provide guidance on regulatory complaints generated from lines of business and regulators
  • Use strong organization skills and lead compliance-oriented process improvements as needed
  • Utilize strong communication skills to engage line of business partners, legal, and business risk officers
  • Validate fulfillment of corrective action to close any identified compliance gaps or breakdowns
Senior Compliance Risk Manager, 10/2005 to 03/2013Citrix Systems Inc. - NY, State
  • Collaborated with Compliance to create effective second line testing that mirrored established first line testing
  • Coordinated applicable exam requests and interactions related to compliance management
  • Designed and implemented a compliance control framework
  • Engaged with audit relative to the compliance management process for the line of business being audited
  • Led control assessment exercises and remediated any control gaps identified via the assessment
  • Managed compliance related risk events in order to remediate the immediate issue and to identify and address root cause
  • Managed the Adherence Quality Assurance Team, this involved people management and process management for the team's current work, addition of new work, and redesign of internal documentation and processes
  • Managed the testing of detective compliance controls performed in the Risk Office and the reporting of the results
  • Risk Office lead performer on project to assess business area ownership, effectiveness, and efficiency of all detective compliance controls across the Card business
IT Risk Office Associate, 01/2005 to 10/2005Dxp Enterprises - Anchorage , AK

Responsible for managing access management policies, procedures and provisioning in accordance with Sarbanes-Oxley requirements.

Disputes Process Manager, 01/2003 to 01/2005Capital One - City , STATE

Responsible for managing all processes within the Disputes Correspondence area relative to Visa, MasterCard, and Regulation Z requirements on billing error resolution.

Disputes Project Manager, 04/2001 to 01/2003Capital One - City , STATE

Responsible for managing projects originating within the Disputes Correspondence area that would impact Visa & MasterCard requirements as well as Regulation Z requirements on billing error resolution.

Customer Service Manager, 01/1996 to 04/2001Capital One - City , STATE

Led call center and back office teams handling and resolving customer inquiries on their credit card account.

Education
Bachelor of Arts:TheologyValley Forge Christian College - City, State
Master of Arts:Theology & ApologeticsLiberty University - City, State
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Resume Overview

School Attended

  • Valley Forge Christian College
  • Liberty University

Job Titles Held:

  • Senior Compliance Advisor
  • Senior Compliance Risk Manager
  • IT Risk Office Associate
  • Disputes Process Manager
  • Disputes Project Manager
  • Customer ServiceManager

Degrees

  • Bachelor of Arts : Theology
    Master of Arts : Theology & Apologetics

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