* Analyze compliance of individual loans with the Truth in Lending Act (TILA) through the use of compliance tools such as Compliance Ease and LOS. * Suspend and clear TILA related conditions on a loan by loan basis. * Communicate with correspondent lender to resolve loan level suspensions * Facilitate communication on compliance related issues between FAMC Corporate Compliance Auditor, Audit Team Lead and the correspondent lender * Track, log progress, and provide management with production reports on a daily basis * Assist in review of monthly QA compliance related findings, analyzing trends, and reporting of data to Department Head * Participate in team meetings regarding trends, training, and updated policies and procedures * Other duties as reasonably assigned
- Compliance Auditor at Franklin American Mortgage
- at Franklin American Mortgage
- QM (Quality Mortgage) Auditor at Franklin American Mortgage
- Operations Supervisor at JPMorgan Chase
1 year at this Job
- - Medical Billing and Coding
[Remote] As the first and only Compliance Auditor for Berkshire Bank, worked to create, establish and develop comprehensive compliance audit programs, assessments and data analysis tools to strengthen the Banks third-line compliance related controls, and identify failures for remediation by management internally. Working independently with little to no direction and/or oversight by management. Developed the methodology, conducted testing and analysis for the Banks first ever Fair-lending audit of its kind. Strive to conduct dynamic testing of the Banks lines-of-business; to include product-based compliance file reviews, Bank Secrecy Act, TIL, RESPA, HMDA, Loans-to-Insiders, Privacy, Red Flags and more. As the Bank does business in most states across the U.S, have researched and applied missing state level requirements that offer greater protections then what is codified in Federal regulation(s). As a subject matter specialist in most areas of Banking compliance, assist, advise management as needed, and provided support.
- Senior Compliance Auditor at Berkshire Bank
- Compliance Consultant at M&M Consulting, LLC
- Regulatory Compliance & Risk Consultant/Contractor at Undisclosed financial institutions
- Compliance Specialist at Credit Union 1
1 year, 9 months at this Job
- M.S. of Law - Financial Services, Risk & Compliance Management
- B.S. - Business Administration & Management
Key Results: * Represented the Comptroller of Maryland in meetings with external counsel, local Politicians and CPAs concerning new and proposed tax laws. * Performed special audits and investigations with the state's assistant attorney general office on several complex court case. * Collaborated with other states and the Multistate Tax Commission to develop and improve upon guidelines and procedures to deal with transfer pricing arrangements and other revenue sheltering trends. * Identified areas to be examined based on the nature of the entity to be audited, prior audit reports, contracts, State and federal laws and regulations and other related documents and issues. * Reviewed taxpayers' federal and state corporate income tax returns, related schedules, and accompanying supporting documents to verify compliance with Maryland State laws. * Reviewed and verified documentation regarding material assets, net worth, liabilities, income & expenditures. * Inspect postings and entries in automated or manually maintained financial records to determine if generally accepted accounting principles (GAAP) were followed in recording transactions. * Redesigned the Maryland corporate income tax return to coincide with the Maryland Tax Laws, regulations, and policies. * Resolve complex audit problems and approve changes in substantive testing criteria and alternative auditing procedures. * Received highest performance of Outstanding on all end of year performance evaluations. * Developed and implemented the Financial Compliance Auditor training program. * Plan, Coordinate, Train, Supervise and Evaluate the work of Financial Compliance Auditors. * Highly proficient using Microsoft Office (Advance level in Excel & Word), SAP, and Oracle. I have an exceptional ability to learn new software and hardware quickly due to my experience working in the IT sector.
- Financial Compliance Auditor Supervisor at STATE OF MARYLAND - COMPLIANCE DIVISION
- Network & PC Technician at TELSOURCE CORPORATION
- Self Employed at Self Employed
10 years at this Job
- Bachelor of Science in Accounting - Accounting
• Develop multiple automated programs used for Division of Insurance communication, which saves time and money while reducing overall error rates.
• Perform quality assurance upon staff and company data to ensure the accuracy of management reports.
• Provide company reports while collecting, analyzing and summarizing data for Committee Review.
• Present directors with analytical and resourceful tools used as the basis for constructing, consolidating and formatting formal reports.
• Perform in a Lead Auditor role extensively producing major results and findings within the Voluntary and Commercial Markets.
• Interview industry contacts and analyze their rating procedures in order to conduct a successful audit.
• Primary contributor to implement an overall Commercial Market procedure for the company industry to follow.
- Compliance Auditor at Commonwealth Auto Reinsurers
- Health and Wellness Fitness Trainer at Commonwealth Auto Reinsurers
- Municipal Specialist at UniBank for Savings
5 years, 10 months at this Job
- Bachelor of Science - Business Management
• Performed audits (loans & closer's) in accordance to internal and external regulations.
• Analyzed specific risks within specific areas to avoid compliance issues.
• Maintained compliance records and kept track of any violations.
• Exceeded specific team goals and resolved issues by partnering with staff to share and implement Encompass program initiatives.
• Overseen our Third-Party Originating Department, worked with lenders to insure they are compliant when originating a mortgage loan.
- COMPLIANCE AUDITOR at LEADERONE FINANCIAL CORPORATION
- Compliance Auditor at Academy Mortgage Corporation
- Medical Office Receptionist at Menifee Global Inc
- Medical Receptionist at Coastal Pain & Spinal Diagnostics Medical Group, Inc
2 years, 7 months at this Job
2 Ft worth. Texas Warehouseman/Lean Champion/Safety Champion/Compliance Auditor General warehouse responsibilities including shipping and receiving of medical supplies, Hazmat shipping and manifesting, and cycle count operations utilizing hand-held RF devices. Also served as distribution center's Lean and Safety Champion, as well as Compliance Auditor. Received specialized training as Train-the-Trainer for Powered Industrial Equipment including Deepreach, cherry pickers, and motorized pallet-jacks. Responsible for the timely submission and implementation of various Lean/efficiency projects. Responsible for monthly safety and compliance audits of warehouse operations.
- Warehouseman/Lean Champion/Safety Champion/Compliance Auditor at sygma network
- Warehouseman at D.S Waters - d/b/a Hinckley Springs
- Warehouseman at John B. Sanflilippo & Son, Inc
- Warehouseman at Bosch Rexroth Corporation
8 years, 3 months at this Job
is one of, if not the top, compliance audit firms in Arkansas. My role at the company was to conduct onsite reviews of the lending compliance program through testing, document review and interviewing bank management. In serving the company's clients, I've been fortunate to meet knowledgeable and interesting professionals from many institutions throughout the state. Being allowed the opportunity to serve theses institutions has enhanced by banking knowledge not only of regulations but also of different management structures and internal controls.
- Compliance Auditor at Banker's Assurance, LLC
- AVP, Compliance Officer at Today's Bank
- Loan Officer at First National Bank
- Compliance Officer at Kennett National Bank
2 years, 1 month at this Job
- B.S. - History
- - banking
- - Numerous Banking and Lending Schools Through ICBA and ABA
63017 Work closely with various departments throughout Home State Health Plan (Medical Management, Operations, Provider Relations, Contracting, Credentialing, etc.) to complete internal audits and ensure that all departments are meeting the requirements of Home State Health's contract with the State of Missouri. Work closely with the Delegated Vendors to ensure that they are also meeting the State of Missouri requirements.
• Completed auditing and monitoring activities for Home State Health Plan which included monitoring requirements for Medical Management, Quality Improvement, Call Center, Claims, Provider Relations, and the completion of HIPAA Compliance audits.
• Completed the ongoing assessment of the Home State Health contract with the State of Missouri to ensure compliance with the contract requirements.
• Assisted with the project management and coordination of State of Missouri audits and Readiness Reviews of Home State Health Plan.
• Assisted with the project management and coordination of the Centene Corporate Compliance Department audits of Home State Health Plan.
• Assisted with the monitoring of Delegated Vendors regarding reporting requirements and compliance with other State of Missouri requirements on an ongoing basis. Scheduled the Quarterly Delegated Vendor Oversight meetings and completed/maintained the meeting documentation (agendas, meeting notes, reports, etc.)
• Assisted with the coordination and monitoring of the annual review process for Home State Health policies and procedures.
- Compliance Auditor at Home State Health Plan/Centene Corporation
- Associate Project Manager at Magellan Health Services
- Claims QI Compliance Analyst at Magellan Health Services
- Senior Internal Auditor at Magellan Health Services
1 month at this Job
- Bachelor of Science in Business Economics - Business Economics
Responsible for monitoring and maintaining the organization's contractual
compliance with 147+ clients.
• Monitor conformance to internal policies and processes.
• Document and communicate information related to employee pre-screening requirements (such as drug testing, background checks and required documents) as defined in customer service agreements.
• Provide training and education to over 100 field offices based on audit results. Coordinate best practices to improve in problematic areas and work with the field offices to impact these areas.
• Practice urgency and clear and concise communication across multiple departments in order to meet the needs of our clients
• Review contracts for any compliance language and create a process for our field offices to follow.
• Managed and developed a team.
• Pivotal part in the launch of the new export control division of the client on boarding process used company wide.
• Maintained a 98% client audit success rate with over 180% program growth year over year.
- Compliance Auditor at TEKsystems Inc
- Transaction Coordinator at Myriad Real Estate Group
2 years, 7 months at this Job
- - Real Estate Licensure
- Bachelor Degree in Business Administration - Business Administration
• Assists in compliance audits of institutions who use title IV funding
• Tests Institutions policies and procedures
• Verifies no fraudulent activity
• Bank Statement Reconciliation
• Writes Audit Reports and Findings
• Works daily in Excel
- Compliance Auditor at WEWORSKI & ASSOCIATES
- FINANCIAL SERVICES ADVISOR at BRIDGEPOINT EDUCATION
- CLIENT SERVICE COORDINATOR at BANFIELD PET HOSPITAL
- LEAD PASTRY CHEF at CAKE BOUTIQUE
1 year, 2 months at this Job
- BACHELORS OF SCIENCE - Accounting
- None - Science
- ASSOCIATES - Social and Behavioral Sciences
- Patisserie and Baking - Pastry and Baking