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Click here or scroll down to respond to this candidateCandidate's Name
Street Address EMAIL AVAILABLE PHONE NUMBER AVAILABLESUMMARYProfessional in the Financial Services Industry with extensive experience reporting metrics in Microsoft Excel, Tableau, and Archer, focusing on risk management, compliance, training, corporate audit and research, root cause analysis, testing, Project management, process and procedure writing, internal and external customer relationships, and process improvements. My expertise includes leadership, supervision of direct reports, coaching and development of peers and interns, analytical skills, and being an excellent researcher. I am committed to continuous improvement, influence of others, problem resolution, and promotion of positive relationships. Proficient in MS Office Products and able to skillfully use the Internet and various research software.I have a working knowledge of applying banking laws and regulations, including consumer compliance requirements (FCRA, TILA, HMDA, UDAAP, ECOA, FDCPA, AML, KYC, BSA, Bank Secrecy Act Regulations, Fair Lending, Electronic Funds Transfer, Truth in Savings and Availability of Funds, RESPA, regulatory requirements, and related industry-leading practices related to compliance risk management programs and processes. PROFESSIONAL EXPERIENCEComerica Incorporated 08/2023 CurrentVice President, Corporate Compliance Specialist III Identify, assess, monitor, and credibly challenge the business unit's documented control environment. Provide compliance and control-related guidance and support for ongoing Enterprise-wide process design and enhancement initiatives to identify, assess, and mitigate compliance risk. Develop, maintain, and track an active inventory of CMS-related policies and procedures across all applicable First-Line and Second-Line Departments. Provide subject matter expertise on the development, socialization, approval, implementation, training, and ongoing maintenance of compliance-related policies and procedures. Ensure the completion of all requirements under the Corporate Compliance Document Governance Procedures. This includes conducting reviews of First-Line and Second- Line Compliance-related Governance Documents, managing the Compliance-related Document Governance Review Lifecycle, and coordinating with vested stakeholders to ensure timely completion Provide support on the Compliance Management System (CMS) program activities, including launching new or updated Compliance-related procedures. Serve as Compliance SME for Compliance-related Governance related to Compliance- related Document Governance roles, responsibilities, and expectations. Maintain and track inventory of changes requested between approval periods Compliance-related Governance Documents. Coordinate with Corporate Compliance SharePoint and Connect site owners to ensure compliance-related governance documents are quickly attainable.Candidate's Name Page 2 Manage Corporate Compliance's internal procedure, policy approval, record-keeping, and communication process. Ensure documents are retained and updated in accordance with ILM standards and compliance policy expectations. Collect and review Corporate Policies tied to Comerica's Compliance Risk Pillar to support Comerica's annual compliance committee review and approval process. Coordinate reviewing, maintaining, and updating associated applicable policy and procedure templates. Collaborate with Compliance SMEs to ensure updates are appropriate and complete. Develop, lead, and manage ad-hoc compliance-related projects and initiatives as necessary. Conduct training via webinar or in-person on Compliance-related Document Governance for the First-Line and Second-Line using approved training materials, where necessary. Update associated training materials where appropriate. Serve as Second-Line compliance representative on Enterprise Risk-related projects as necessary. Remediate and close assigned audit and regulatory issues, where necessary. Audit ManagementTMX Finance Family of Companies 01/2023 07/2023Compliance Manager Creating and reviewing regulatory compliance documentation Coordinating the creation, review, and implementation of policies and procedures resulting from new laws and regulations Applying and interpreting audit and compliance requirements for various departments Working closely with the compliance director and other senior executives Designing and coordinating the preparation and ongoing review of policies, procedures, training materials, and other communication tools to ensure departments meet compliance requirements Coordinating regulatory exams and internal business unit audits Interacting with external auditors on matters related to audits of the organizations internal controls Establishing self-audit and compliance monitoring programs Reviewing and assessing potential fraud activity and developing fraud detection tools Filing regulatory reports and other documentation Coordinating rollout and training of new or updated policies and directives when required TMX Finance Family of Companies 01/2022 01/2023Senior Compliance Analyst Launched and had oversight Regulatory Complaints monitoring and response function. Research and analyze federal laws and regulations to determine the potential impact on business processes and procedures and advise on best practices to remain compliant with fast-paced regulatory expectations. Streamlined compliance functions by building Job Aids and Standard Operating Procedures We conducted root cause analyses of issues identified as repeating and high risk through audits and other means to develop corrective measures. Candidate's Name Page 3 Project/ Process Manager Ensured marketing collateral, store events, and marketing campaigns were compliant with Federal Regulations as it relates to FCRA, TILA, HMDA, Fair Lending, UDAAP, ECOA, FDCPA Track and regularly communicate issues that reveal compliance risk exposure to the Company. Study and regularly test documents, ensuring all disclosures comply with adding new products, enhancements, or controlled releases. Write and effectively communicate compliance policies, collaborating across various business units to ensure all issues are considered and fully vetted. Participate in the audit and review of corporate and business unit operating activities to ensure internal compliance controls are implemented where necessary and existing rules are functioning as required.Quest Diagnostics / AmeriPath 04/2021 11/2021Problem Resolution Specialist I maintained and reconciled a database of client-registered service failures. Identify and analyze the root cause description and appropriateness of the functional group's corrective action. Contacted clients to ensure the resulting resolution and follow-up activity are satisfactory. Coordinate the preparation of a daily, weekly, or monthly report and bulletin board posting that includes the type/frequency of service failures and the implemented corrective actions. Present recent achievements, ongoing activities, and business unit's performance to established goal(s) at monthly senior staff and management meetings. Revise and create the Standard Operation Procedure as needed. Facilitate training sessions for business unit personnel. Interact and provide feedback and direction to customer service representatives concerning initiating client concerns, reporting process, and appropriate client follow-up. Ensure total compliance with all company policies and government regulations. Citigroup 05/2020 03/2021Specialist (Regulatory Management) Managed the reconciliation of regulatory authorities between the Regulatory Inventory and Regulatory Change System, including tracking and resolving all identified discrepancies Developed a method and structure to efficiently manage the daily, weekly, and monthly operational reports, including creation, distribution, follow-up, and resolution Researched and mapped regulations for up to several global regions Training on business process and procedures as it relates to the metric standards and goals Created Desktop procedures for new processes Verbal and written communications skills Knowledge of working in a regulatory environment Worked with complicated data regarding regulatory metrics, controls, and risk assessmentsCandidate's Name Page 4 Audit/control background or experience controlling the quality of completeness of work Bank of America 10/2009 03/2020Compliance and Operational Risk Specialist-Privacy Established, monitored/reported on enterprise risk tolerance metric(s) that are connected to relevant business metrics Updated relevant policies to ensure they reflect regulatory requirements Ensured marketing collateral, store events, and marketing campaigns were compliant with Federal Regulations as related to Privacy, FCRA, TILA, HMDA, Fair Lending, UDAAP, ECOA, FDCPA Contributed to monitoring and testing coverage plans and related metrics in Tableau Monitored and tested the effectiveness of the front-line units processes and controls Identify, aggregate, report, and escalate compliance and operational risks, issues, and control enhancements. Developed and customized testing procedures to assess identified control gaps Develop reporting metrics using Tableau to document testing procedures to evaluate control effectiveness, identify gaps, and communicate emerging risks. I assisted in reviewing and analyzing internal and external losses related to their coverage area for Enterprise-wide themes. Worked alongside system programmers and developers to troubleshoot system issues and coordinate maintenance releases Complex reporting, including pivot tables Created spreadsheets and reports using Microsoft Excel and socialized reporting enterprise-wide Responsible for analyzing complex data regarding Privacy events and regulatory requirements that would impact the lines of business Responsible for auditing the data review related to private events. Conducted root cause analysis as well as case audits to identify trends and emerging risks Regulatory Complaints-Quality Analyst Monitor and evaluate the quality of inbound and outbound telephone calls and case reviews; Document and escalate quality concerns and performance measures for management review. Provided feedback and formal education processes to employees regarding complaint handling Ensured Resolution Specialists sustained contact with the customers throughout the process of research and review Reviewed casework and determined if actions and decisions were under regulatory requirements Maintained daily reporting, training, coaching, and development as well as interim team leaderRegulatory Complaints-Resolution Specialist Responsible for resolving complaints received from public officials and consumer agencies Preserving client retention as a result of thorough and accurate documentation in the applicable system of recordsCandidate's Name Page 5 Collaborated with other lines of business to achieve a prompt resolution to customers concerns Ranked top tier in business performance metrics and considered subject matter expert Proficiency Coach Drove performance improvement by applying expertise to identify team opportunities Responsible for the Relationship Manager teams performance and quality scores by implementing performance-tracking reports Instrumental in the initial deployment of several Fulfillment initiatives, as well as developed job aids and facilitated employee workshops Responsible for written as well as verbal communication with Executive Management teams, US Department of Housing and Urban Development, U.S. Department of Veterans AffairsEDUCATIONBachelor of Administration, Business Management / Human Resources, American Intercontinental University, Schaumburg, Illinois Audited files to ensure accuracy and credit worthiness |
