• Travel around the continental US to conduct compliance examinations
• Stay current with state and federal regulations
• Provide education to branches regarding firm policies/procedures
• Meet tight deadlines while managing multiple trips and audits
- Compliance Examiner at Raymond James
- Compliance Analyst at Raymond James & Associates
- Compliance Intern at Raymond James & Associates
- Compliance Assistant at Florida Currency Exchange
1 year, 7 months at this Job
- Bachelor of Science - Finance
- - Finance
Auditing banks to ensure compliance with federal and state banking laws.
- Compliance Examiner at Office of Financial Regulation
- 6th Grade Teacher at Evangeline Parish School Board
- Co-Manager at Y-Not-Stop Ville Platte
- Sales Associate at Popeye's Chicken and Biscuits
2 years, 9 months at this Job
- Bachelor of Science - Business Administration with a concentration in Accounting.
- Associates - General Studies
• Inspects rebuilt motor vehicles, verifying vehicle parts and vehicle identification number to enforce laws related to titles, registrations, and liens
• Reviews and evaluates documents including receipts for automobile parts used in motor vehicles
• Determines pass and fail rebuilt vehicle inspection
- Compliance Examiner at Florida Department of Motor Vehicles and Highway Safety
- Parts Manager at Miami Forklifts Services
- Sales Specialist- Autoworld Used Auto parts at UPS
- Manager-Florida Cars and Used Auto at
6 months at this Job
* Lead complex examinations of broker-dealers, municipal advisors, and unregistered entities * Draft enforcement referral memoranda incorporating findings of fact and theories of law on which to base the opening of a formal enforcement matter * Conduct legal research to identify theories of liability and potential defenses consistent with exam findings * Review and analyze a variety of complex documents related to regulatory compliance * Recommend and implement new examination procedures or improvements to existing procedures * Evaluate TCRs, including referrals from within the SEC, to determine if a full examination is warranted * June 2018 Four Pillars Award recipient for conducting a fraud examination resulting in significant findings, presented to the SEC Chairman
- Securities Compliance Examiner at U.S. Securities and Exchange Commission
- Principal Compliance Examiner at FINRA - Financial Industry Regulatory Authority
- Sales Representative at Paycom Payroll, LLC
- Senior Special Agent at National Security Agency, Department of Defense
2 years at this Job
- Bachelor of Science in Business Administration - Finance
- Bachelor of Science in Aeronautics - Aviation and Technology
• Lead and participate in teams to conduct thorough examinations of broker-dealers and financial service members to ensure regulatory programs serve departmental goals and FINRA's mission.
• Research and analyze federal securities laws and regulations such as the Securities Act of 1933 and the Securities Exchange Act of 1934, the Internal Revenue Code, the US PATRIOT Act, FINRA rules, and applicable state laws.
• Conduct due diligence and review documents in connection with private equity fund formation, mergers and acquisitions and financing deals.
• Draft succinct regulatory reports identifying risk and developing regulatory strategies to address those risks on a timely basis.
• Present examination findings to broker-dealer executives, FINRA senior management, and additional FINRA departments verbally and in writing in an organized, succinct fashion.
- Compliance Examiner at Financial Industry Regulatory Authority
- Financial Planning Intern at The Ayco Company Family Office, A Goldman Sachs Company
- Judicial Extern Clerk at United States Bankruptcy Court
- Legal Intern at United States Attorney's Office
2 years, 5 months at this Job
- Juris Doctorate - Law
- MBA - Business Administration
• Perform on-site examinations of Member firm's to identify key issues and compliance violations of CFTC & NFA Rule and Regulations including testing of Futures Commission Merchants Segregation and Secured Requirements
• Test financial documents for accuracy and completeness
• Analyze and review financial filings and compliance questionnaires
• Provide guidance to Members regarding CFTC & NFA Rules, Regulations, and Interpretative Notices
• Advise Member Firm's Senior Management in order to correct any deficiencies or violations
- Compliance Examiner II at National Futures Association
- Community Operations Intern at
- Founding member at Love Your Melon
- Crew Leader at Chicago Electric Boat Company
2 years at this Job
- Bachelors of Science in Finance - Finance
- Bachelors of Science in Finance Candidate - Finance
· Supports BSA/AML/OFAC compliance regulatory examinations and audits for assigned region/business segment/BSA/AML/OFAC compliance unit; responds to any deficiencies noted for assigned area and ensures that corrective actions are implemented. · Identifies BSA/AML/OFAC compliance risk and helps ensure that proper controls, procedures, processes and training are in place to mitigate these risks by assisting in the development and revisions to appropriate policies and procedures. · Detect patterns, trends and unusual activity through monitoring suspicious transactions and reviewing various bank reports. Investigates suspicious transactions by gathering information from various banks' sources. Generates/approves suspicious activity reports. · Supports the production of reports and the risk matrix for use by the department's senior management in communicating BSA/AML/OFAC compliance risk and issues to senior management, committees and the Board of Directors.
- BSA/Aml Compliance Examiner at Synovus
- Senior Research Analyst at Florida Community Bank
- Underwriter at 1ST GLOBAL CAPITAL CORP.
- Frontline Team Lead at Gibraltar Private Bank & Trust
1 month at this Job
- B.S. - Criminal Justice
- Associate - Liberal Arts
Area Operations Officer II Compliance/Consultant Area Operations Officer I Compliance/Consultant As a Bank Officer, I serve as an effective and productive member of a regional Internal Control team with responsibilities to complete audits throughout the regional footprint. I maintain integrity by providing operational audit and internal control support to branch staff ensuring effective adherence to and execution of corporate, regulatory, and audit guidelines. I assume responsibility for risk management, problem resolution, leadership coaching and training, as well as procedural analysis. During my time at BB&T, I have earned 14 Quarterly Olympian awards and 2 Annual Olympian Awards.
- Internal Control Compliance Examiner II at (BB&T)/North and Central FL Region
- Co-Owner at Pa's Puppies
- Assistant Branch Manager at Colonial Bank
- Lead Customer Service Representative at Citizens First Bank
9 years at this Job
Plans, coordinates and performs compliance for the in-house mortgage loan portfolio, to include ensuring compliance with applicable legal, regulatory and investor requirements. Duties: Provides assistance to the Director of Internal Audit and the Mortgage Servicing Compliance Manager to implement and maintain the agency's compliance, risk assessment and monitoring programs to ensure the agency is in compliance with applicable laws, regulations, supervisory guidance and agency guidelines related to mortgage servicing. Reviews and evaluates different processes and procedures and makes recommendations for changes or improvements. Plans and performs vendor oversight reviews including quality control, licensing, and various reviews of third party/vendor systems that impact the agency's compliance and quality assurance plan. Assists with developing and maintaining compliance tools: compliance manuals, policies, Frequently Asked Questions, etc. Provides expertise on regulatory compliance matters, assesses and measures compliance and related risks; monitors and tests the adequacy of the agency's compliance and licensing environment. Assists with recommendations for implementation of controls regarding adherence to state and federal laws/regulations, as well as agency or investor guidelines and requirements. Assists operational areas in defining practices that would result in adherence to regulatory compliance and quality control objectives. Reviews organization policies and procedures and applicable operating policies and procedures for regulatory compliance; monitors, measures results and reports findings and recommended changes to Mortgage Servicing Compliance Manager and Director of Internal Audit. In conjunction with the Mortgage Servicing Compliance Manager, monitors and evaluates the consumer complaint and response process for adequacy and regulatory compliance. Understands and keeps abreast of federal, state and Consumer Financial Protection Bureau (CFPB) regulatory and legal developments governing mortgage servicing. In conjunction with the Mortgage Servicing Compliance Manager, provides guidance and insight to servicing senior management and staff personnel on emerging compliance issues and consults and guides the agency in the establishment of controls to mitigate risk. Identifies, helps develop, and communicates compliance training programs. Assesses and ranks compliance risks relative to other federal compliance regulations and state laws, taking into account the potential civil penalties, reputational risks, regulatory risks, scope, controls and potential for non- compliance. Under direction of the Mortgage Servicing Compliance Manager and the Director of Internal Audit, completes periodic assessment reviews and transactional testing of business processes with federal and state regulatory compliance impact.
- Mortgage Servicing Compliance Examiner at State of Tennessee - Tennessee Housing Development Agency
- Bankruptcy and Foreclosure Specialist at State of Tennessee - Tennessee Housing Development Agency
- Customer Service Representative at State of Tennessee - Tennessee Housing Development Agency
- Collector at Fortera Federal Credit Union FKA Fort Campbell Federal Credit Union
7 months at this Job
- Bachelor of Science - Political Science with a concentration Legal Studies
- Associate of Applied Science degree - Applied Science
· Thoroughly investigate and respond to agent-related policyowner complaints. Formulate and extend monetary and other types of offers to resolve customer complaints. Adhere to quantitative and qualitative indicators relative to productivity, turnaround time, completeness and accuracy · Review and assign correspondence to responsible handling areas · Ensure that all complaint responses made by the Company are complete, accurate and made in a timely manner · Refer matters to Errors and Omissions carrier where appropriate. Recommend agent disciplinary actions and commission reversals when warranted · Maintain Corporate Compliance Complaint Tracking Database (CTS) to ensure that information in the database accurately reflects the status of each case
- Corporate Compliance Examiner at New York Life Insurance Company
- Agency Standards Senior Associate at New York Life Insurance Company
- Senior Market Management Associate at New York Life Insurance Company
- Licensed Personal Banker at J. P. Morgan Chase
3 years, 1 month at this Job
- Master Certificate - Business Process Management
- Bachelor's - Finance