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Customer Service Training

Location:
Fort Myers, Florida, 33913, United States
Posted:
May 26, 2010

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****** F. *********, CRCM ***** Muddy Creek Lane ? Fort Myers, FL 33913

239.***.**** ? **********@*******.***

COMPLIANCE - DIRECTOR / VICE PRESIDENT / OFFICER

Reliable decision-maker, defining and resolving companywide security and

regulatory issues through industry expertise

Strategic leader offering over 15 years of documented success in regulatory

compliance and internal audits, directing complex initiatives to realign

operations with state and federal requirements. Develops innovative

training programs to enhance quality and consistency. Delivers critical

solutions and continuous improvements, establishing internal and external

relationships to maintain efforts within time and specification measures.

CORE STRENGTHS

Policy Development/Implementation . Bank Secrecy Act . Training/Development

Anti-Money Laundering . Troubleshooting . Quality Assurance

Project Management . Team Leadership

SELECTED ACHIEVEMENTS

Project Management & Continuous Improvement

. Orchestrated American Bank of Hollywood's audit committee, providing a

forum to communicate findings to the board of directors.

. Recruited to recover Marine National Bank from a Memorandum of

Understanding (MOU) by conducting comprehensive compliance audits and

staff training to mitigate issues; served as the on-site compliance

officer during the OCC exam to lift the MOU.

. Merged Riverside Bank of the Gulf Coast's compliance and security/fraud

departments to reduce operational process redundancies, creating a

combined audit/compliance division with two vice presidents and four

shared staff members.

. Headed customer identification program (CIP) improvement initiatives,

leading and completing regulatory data clean-up for a database with

60,000+ customers within time constraints.

. Automated financial functions and inventory controls for Dynatron, Inc.,

reducing month-end data transfer times to the general ledger.

Regulatory Compliance & Training/Development

. Revitalized Southeast Bank's compliance monitoring program by traveling

on-site to perform first-hand reviews as well as initiating formalized

audit programs that coincided with the organization's multi-bank holding

structure. This enabled the holding company's compliance officer to

efficiently measure compliance standing.

. Identified cost-efficient, web-based programs to facilitate regulatory

training, enabling the integration of new programs across four Riverside

Bank of the Gulf Coast locations.

. Completed comprehensive reviews for various operational areas, including

customer service, loans, and tellers to enhance the quality and

consistency of regulatory input data.

. Authored auditing training materials to complete statewide regulatory

compliance cross-training initiatives.

. Appointed as a seminar leader for Southeast Bank's statewide, internal

Commercial and Consumer Lending School.

Continues...

****** F. *********, CRCM 239.***.**** ? **********@*******.*** ? Page

2

CAREER OVERVIEW

Vice President, BSA & Compliance 2008 -2009

HILLCREST BANK FLORIDA

. Oversaw and managed the facility's Bank Secrecy Act (BSA) and compliance

programs, assessing transaction monitoring reports on a daily basis and

facilitating Currency Transaction Reports (CTR).

. Conducted Suspicious Activity Report (SAR) investigations and risk

assessments.

. Developed and administered regulatory policies.

. Served as an audit coordinator, maintaining communication between

management, regulatory agencies, and third-party firms.

. Evaluated loan and deposit information/advertising to ensure compliance

with customer regulatory requirements, including regulations Z, B, DD,

RESPA, HMDA, and CIP.

Vice President, BSA & Compliance 2006 -2008

PARTNERS BANK

. Oversaw and managed the facility's Bank Secrecy Act (BSA) and compliance

programs, assessing transaction monitoring reports on a daily basis and

facilitating Currency Transaction Reports (CTR).

. Conducted Suspicious Activity Report (SAR) investigations and risk

assessments.

. Developed and administered regulatory policies as well as the company's

web-based training program.

. Evaluated loan and deposit information/advertising to ensure compliance

with customer regulatory requirements, including regulations Z, B, DD,

RESPA, HMDA, and CIP.

Vice President, Compliance 2004 -2006

RIVERSIDE BANK OF THE GULF COAST

. Incorporated and maintained the compliance program and BSA initiatives,

leading a 4-member team.

. Directed internal audits, coordinating efforts between the bank, state

and Federal Reserve regulatory agencies, and third-party entities.

. Previously functioned as BSA/ CIP officer, handling SAR investigations

and BSA/AML risk assessments.

Consultant 1998 -2004

. Delivered internal auditing, regulatory compliance, and training services

to small banks and CPA firms, including Sean Davis & Associates, Carrier

& Company, First State Bank of Fort Lauderdale, First Western Bank,

Marine National Bank of Naples, and The Outsourcing Partnership LLP.

Auditor/Compliance Officer & BSA Officer 1991-1998

AMERICAN BANK OF HOLLYWOOD

. Directed internal financial, operational, and compliance audits on the

consumer, state, and federal level.

. Provided training and professional development to bank staff members in

compliance policies, advancements, and issues.

. Established and monitored CTR exemption limits; led SAR investigations.

Previous Experience: Corporate Compliance Review Officer

SOUTHEAST BANK, NA

. Maintained compliance with federal, state, and Office of the Comptroller

of the Currency specifications and regulations. Completed statewide

compliance reviews.

. Supported and trained management in compliance issues. Authored a

corporate compliance manual.

CREDENTIALS

Certified Regulatory Compliance Manager (CRCM), INSTITUTE OF CERTIFIED

BANKERS

Bachelor of Arts, HOFSTRA UNIVERSITY

Affiliations: South Florida Compliance Association



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