Senior Compliance Specialist/ Program Manager Resume Example Sofi

SENIOR COMPLIANCE SPECIALIST/ PROGRAM MANAGER

Professional Summary

Experienced regulatory Compliance professional with a nuanced understanding of PCI, SOC2, Federal Consumer Protection Laws and Regulations with solid Project, Research & Analysis, Technology, and Operations background who consistently produced results by providing high quality support and leveraging relationships with stakeholders to support organizational programming.

Work History

Senior Compliance Specialist/ Program Manager03/2018 to Current
SoFi – San Francisco, CA

Assist with Data-Driven Compliance Initiatives by making reporting more robust by establishing project tracking and dashboard and identify potentials for improvement, and create data frames for state and license exams that will identify key fields and potentials for automation, develop and automate actionable reporting for key Compliance processes, and create and develop ad- hoc and production data pulls, reports, reviews, and summaries.
Responsible for managing policies and procedures to conform to relevant state, federal, and/or industry standards and requirements and coordinating efforts with appropriate Compliance officers to ensure implementation and ongoing compliance.
Manage regulatory Compliance licensing program by formulating submissions to regulators including filings required to demonstrate compliance with regulations, and external requests for information as well as lead a Compliance licensing team as they perform day-to-day activities, ensuring they understands the vision, has an open and inclusive environment at work, and feel valued.
Develop and provide training company-wide/ specific business function regarding relevant regulatory requirements and provide administration support on learning management system.
Coordinate efforts related to audits, reviews, and examinations including direct interaction with examiners and business partners for RFIs, potential findings, and corrective actions.

Information Security & Compliance Analyst03/2017 to 03/2018
YapStone – Walnut Creek, CA

Supported the company with filing the Money Transmitter Licenses for all 50 states as well as International licenses in the European Union.
Successfully completed PCI DSS v3.2 certification and SOC I Type 2 for both Domestic and International business entities, which included closing all gap findings.
Led GDPR Readiness Project across the enterprise by taking the steps necessary to be in compliance with the GDPR and answer employees questions on how to comply with the right to be forgotten and how to manage company's sensitive data for different departments.
Facilitated and monitored company's Security education, training and awareness for all YapStone Users.
Conducted due diligence on high-end/ critical YapStone's vendors and perform risk assessment/ on-call reviews- inspect physical security, validate business continuity and disaster recovery plans, questions/answers regarding information security.

Business Analyst/ Product Owner04/2016 to 12/2016
Wells Fargo Advisors – Saint Louis, MO

Acted as a point of contact for all team members (technology, sales channel representatives and operations) on all the requirements and business related questions and developed and maintained strong relationships with them.
Produced and demonstrated detailed PowerPoint presentations bi-weekly to communicate application changes to business stakeholders as well as to illustrate what team has accomplished during the sprint as a result of the collaboration of ideas, to gain a common understanding, and to collect valuable feedback that can build better product.
Negotiated solutions with business stakeholders and team that align with the project objectives and provide the highest business value.
Gathered, analyzed, and documented business requirements across all stakeholder groups as well as communicated and explained those requirements to the internal project teams.
Scheduled, coordinated, and facilitated weekly meetings with business stakeholders' to review and approve new requirements and also with different channels on a need basis.

Vendor Management Specialist08/2015 to 03/2016
Benetech – Palo Alto, CA

Coordinated the flow of digital files to vendors, maintained tracking sheets for invoice reconciliation, collaborated with national and international vendors regularly on invoice processing and maintenance, independently managed day to day workload, and documented productivity metrics on a period basis on Salesforce and Excel.
Managed budget expenses, anticipated and explained any variances to Operations and Accounting department as well as facilitated payment of invoices.
Directly participated in vendor oversight activities including sending books electronically weekly to four main vendors across the world and monitoring vendors' expectations and conducted user interviews.
Helped maintain Publisher book queue by updating source and editing metadata and responsible for removing duplicate books from bookshare online library.
Documented, controlled and managed the procedures for the day-to-day operations of the vendor relationship as well as requirements for various reports to be generated and migrated to Salesforce and Excel.

Education

Master of Arts: Public Administration/Public Policy Analysis05/2015University of Texas- Arlington, TX

Awarded PLEN (Public Leadership Education Network) Full Scholarship Recipient.
Specialized in Budgeting, Qualitative Analysis, Data Analysis, Statistics, Evaluation, Research & Analysis, Ethics, Policy Analysis, Management & Leadership.

Bachelor of Arts: Not-For-Profit Management and Economics05/2011Salem College- Winston Salem, NC

Awarded Full-tuition Merit Scholarship (2007-2011).
Inducted to Omicron Delta Epsilon, Economics Honors Society.
Specialized coursework in Budgeting, Fundraising, Social Entrepreneurship, Organization planning, Labor Economics, Marketing, Money and Banking.

Summer Program: Business Management07/2010Wake Forest University- Winston Salem, NC

Full-tuition Merit Scholarship.
Program on business management fundamentals- The integrated curriculum involved study in accounting,finance, management, strategy, marketing, operations, business analytics, human resources, and entrepreneurship.

Other Notable Work

Project Manager at Image Impact International- Remote 01/2017- Present

- Develop and manage scope of work, deliverable, project plans, comprehensive project schedules, set interim milestones meetings and proactively monitor progress to achieve deadlines and results for cross functional team.

Strategic Planner/ Analyst at The WARM Place- Forth Worth, TX 01/2015-05/2015
- Project Strategy and recommended alternative solutions to the organization by documenting issues, risk and gaps, their impact and provided recommendation and alternatives to develop the program to meet the stakeholders' requirements.
Research Analyst at University of Texas at Arlington - Arlington, TX 08/2014 - 12/2014

- Conducted qualitative and quantitative analysis of data and verified the accuracy and validity of data entered in databases of fifty Nepal's local planning employees and compiled and computed separate one-way, between groups' analyses of variance to test for overall differences.

Research Assistant at Habitat For Humanity - Dallas,TX 01/2014-05/2014

- Conducted survey research to measure the impact of home ownership and respondent's satisfaction with the by assembling and synthesizing data.

Human Resources Assistant at Boys and Girls Clubs of Arlington - Arlington,TX 08/2013 - 05/2014

- Streamlined framework for the orientation process by incorporating a new hire packet for new hire orientation.

Curriculum Design/Developer at Organization of Bhutanese Society - DFW,TX 04/2012 - 12/2012

Led, assisted, and directed the Nutrition experts and instructors in the development of Instructor-led curriculum.

Education Specialist/ Volunteer Coordinator at Catholic Charities of Dallas,TX 03/2011 - 04/2012

- Elevated language proficiency in immigrants and Spanish speaking population through leverage of modern, research based teaching techniques.

Resident Assistant (RA) at Salem College - Winston Salem, NC 08/2009 - 05/2011

- Facilitated and mentored women with their school year transition.

Skills

Data Analytics: Data Visualizations, Management Reporting
Exam management: Lead interactions with state and federal regulatory oversight bodies

Regulatory Analysis: Research and interpret laws and regulations to drive business strategy and risk mitigation
Training: Develop and deliver regulatory compliance training to enterprise and C- suite

Certifications

California Public Notary, Issued on 08/2019; Expires on August 2023
Certified Anti-Money Laundering Specialist (CAMS), Anticipated Winter 2020

Resume Overview

Companies Worked For:

SoFi
YapStone
Wells Fargo Advisors
Benetech

School Attended

University of Texas
Salem College
Wake Forest University

Job Titles Held:

Senior Compliance Specialist/ Program Manager
Information Security & Compliance Analyst
Business Analyst/ Product Owner
Vendor Management Specialist

Degrees

Master of Arts : Public Administration/Public Policy Analysis 05/2015
Bachelor of Arts : Not-For-Profit Management and Economics 05/2011
Summer Program : Business Management 07/2010

Senior Compliance Specialist/ Program Manager Resume Example

Resume Score: 80%

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