Experienced compliance professional familiar with developing policies, leading training programs and managing reporting. Well-coordinated and methodical with exceptional verbal and written communication skills. Well over ten (10) years' experience in Financial Servicing regulatory environment. Spearhead and lead enterprise ethics and compliance education along with applicable training system. Implemented and managed licensing operations for subsidiaries that conducted any lending activities. Provided the line of business with guidance for regulatory changes by Interpreting, regulation application and research of Investor, State and Federal guidelines and best business practices. Well-versed in policy development. Proven success at mitigating Corporation exposure to non-compliance issues resulting in successful Compliance Management System platform.
• Proficient in software (Verafin and Patriot Officer) regulatory monitoring such as CRA/HMDA and BSA/AML. |
•Provide regulatory support for new and current product and services. Review risk and compliance issues with product development and implementation as well as risk assessments.
• Collaborate with marketing group to review and approve promotional and new collateral. Prepaid and Credit Services (Disclosures, Marketing) - Reg E, UDAAP
• Proficient with regulation and application - Reg Z, Reg X, UDAAP, TCPA FASB, FDIC, FFIEC, OCC Metro2, GDPR, FCRA.
•Managed quality programs to reduce overdue compliance activities. Complete gap analysis matrix to improve LOB compliance oversight. Providing testing templates and guidelines for testing (targeted and global) as well as policy updates.
• Review Requirements and Specification documents.
• Update compliance monitoring program ( BSA/AML program) and documents. Also review Policy documents for the appropriate banks.
• Provide White Papers for regulatory guidance on potential impacted products and conduct Town-hall meetings.
• Proficient in software (Verafin and Patriot Officer) regulatory monitoring such as CRA/HMDA and BSA/AML.
• Outstanding Presentation skills, organizational, time management and project management skills
• Skilled in interpreting complex regulations. Strong research skills.
• Strong leadership skills, team building and relationship development skills
• Success in improving CMS platform.
• Proficient in Microsoft Office including Visio and Project, Archer, RSAM, Compliance 360, Tableau
•Provide regulatory support for new and current product and services. Review risk and compliance issues with product development and implementation as well as risk assessments.
• Collaborate with marketing group to review and approve promotional and new collateral. Prepaid and Credit Services (Disclosures, Marketing) - Reg E, UDAAP
• Proficient with regulation and application - Reg Z, Reg X, UDAAP, TCPA FASB, FDIC, FFIEC, OCC Metro2, GDPR, FCRA.
•Managed quality programs to reduce overdue compliance activities. Complete gap analysis matrix to improve LOB compliance oversight. Providing testing templates and guidelines for testing (targeted and global) as well as policy updates.
• Review Requirements and Specification documents.
• Update compliance monitoring program ( BSA/AML program) and documents. Also review Policy documents for the appropriate banks.
• Provide White Papers for regulatory guidance on potential impacted products and conduct Town-hall meetings.
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