Senior Compliance Advisor Resume Example
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.
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- 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
- 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
- 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
Responsible for managing access management policies, procedures and provisioning in accordance with Sarbanes-Oxley requirements.
Responsible for managing all processes within the Disputes Correspondence area relative to Visa, MasterCard, and Regulation Z requirements on billing error resolution.
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.
Led call center and back office teams handling and resolving customer inquiries on their credit card account.
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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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