, , 100 Montgomery St. 10th Floor(555) 432-1000, resumesample@example.com
Summary
Focused Compliance Manager bringing 20+ years of experience managing activities, programs and resources to meet customer needs. Flexible and adaptable with superior communication, relationship management and influencing skills. Proven history of identifying issues, acquiring data and drawing conclusions to support resolution. Strong aptitude for leading teams to effectively address client needs and implement changes by supporting strategic initiatives. Recognized nationally for orchestrating state regulatory guidance, while simultaneously arriving at viable business solutions.
Responsible for Entity and Agent licensing for entire company, including developing and monitoring protocols
Process and monitor Surplus lines tax reporting and remitting
Supported strategic development and objective setting by analyzing audit outcomes and generating actionable recommendations.
Developed, trained and implemented a Policy Review Team
Offered subject matter expertise to stakeholders needing advise on compliance regulations and Insurance best practices.
Built positive working relationships with other department managers through effective communication.
Executed successful compliance monitoring and risk assessment programs.
Created and managed training classes to educate new hires and existing employees about compliance concerns.
Met with clients to implement best practice, project-manage needs and implement process improvements.
12/2009 to 12/2015Midwest Regional Compliance OfficerWillis Group | City, STATE,
Monitored & evaluated performance of file reviews and adherence to the Professional Standards principles
Developed, trained on, and Monitored adherence to the following legal policies: Gift & Entertainment, Sanctions controls, Anti-money Laundering and Financial Crime
Developed the procedures for Willis’ nationwide usage of Third-Party Brokers, and served as National Lead on the Third-Party Committee
Collaborated with leadership to devise strategies to improve processes and risk controls as well as implement new systems and best practice guidelines.
07/2003 to 12/2009National Director of Regulatory ComplianceArthur J. Gallagher Brokerage | City, STATE,
Responsible for Regulatory Compliance of over 50 offices of the Retail Brokerage Operation of Gallagher
Standardized and implemented nationwide Rules and Standards regarding licensing of individuals/entities, surplus lines filing and remittance, in compliance with the laws of each jurisdiction
Keep abreast of changing regulations, amending standards and procedures, as appropriate
Developed workflow and detailed procedures for “in house” surplus lines filings database
05/1993 to 07/2003DirectorAON Risk Services, Inc | City, STATE,
Developed and implemented detailed process flows for: Policy review, surplus lines tax reporting and remitting
Established Performance Management Process and Quality Check Process
Built relationships with field office personnel while meeting or exceeding their expectations of service within the center
Developed and presented new ideas and conceptualized new approaches and solutions.
Managed staff of 55 with 5 direct reports, financials and key performance indicators to facilitate business operations.
Education and Training
Expected in | College of DuPage, Glen Ellyn, ILGPA:
Hols Insurance Licenses in all jurisdictions for Property & Casualty, Life, Accident & Health
Member of SILA (Securities & Insurance Licensing Association) 20+ years
Accomplishments
Developed and implemented several tracking and training programs for training on current Compliance issues i.e., Sanctions Controls, Financial Crime & Anti-Money Laundering
Member of Team that developed New Database Application requiring: Requirements, Testing, Quality Control, Report Development, Data Dictionary
Served as Team Leader in the development and deployment of Brokerage Client Service Center, which eliminated redundancies in the overall operations
Built team of 55, kept turnover under 4% over two-year period
Pioneered development of streamlined Surplus Lines Tax Filing and Tax Payment process, to facilitate filing efficiencies and eliminate redundancies, thereby saving the company over $550,000 in interest and penalties and avoiding possible fines
Negotiated with State Regulators to reduce penalties associated with late Surplus Lines Filing and Payments and avoid loss of licenses.
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