Compliance Manager

Ian Harlow

**** ******** **** • Austin, Texas ***45 • 512-***-**** • ***********@*****.***

Profile

Over 8-years of professional experience with a diverse background in Sales and Compliance representing a unique combination

of disciplines. Hands-on expertise in managing and prioritizing multiple high-level task requests and projects often under intense

deadline. Highly effective written and oral communication techniques with proficiency in creating and implementing corporate

policy and regulatory/law research. Proven success working both individually and as part of a team in a variety of fields and

positions.

Professional Experience

Compliance Manager

RateGenius, Inc. November 2012 – Present

● Manage all Compliance and Licensing activities throughout all fifty states for three web-based entities in the software, finance, and

insurance industries.

● Perform high-level risk analyses and audits; regularly report findings directly to C-level executives and Board of Directors.

● Responsible for developing and implementing policies, procedures, and trainings for 200+ employees to ensure compliance.

● Successfully overlooked and managed several third-party audits including four SSAE-16 (SAS-70) examinations.

● Significant experience with finance regulations including, but not limited to: BSA, AML, ID Theft Red Flags, FCRA, ECOA, FACTA,

Dodd-Frank Act, GLBA, FRB, Reg A - Reg Z, PCI-DSS, UDAAP, and CFPB.

● Maintain and monitor all finance licenses and insurance producer licenses for 50 states as well as corporate E&O, D&O, BOP, Crime,

Workers Comp, and Cyber Liability insurance policies.

● NAFCU Certified Compliance Officer – certification received March 2014

Records Analyst

Travis County District Attorney’s Office August 2010 – November 2012

● Performed detailed and complex legal procedures associated with the receipt, review and filing of court documents and causes of

action.

● Audited, reviewed and analyzed legal documents; indexed documents by applying appropriate category codes; and reviewed

documents for quality assurance.

● Consistently recognized for high attention to detail and ability to learn complex procedures quickly. TXDPS certified to run

criminal backgrounds

Inside Sales Representative

HarrisConnect Publishing, LLC April 2010 – August 2010

● Individually marketed various publications to new and current customers through a combination of inbound and outbound calls.

● Responsible for meeting daily, weekly and monthly sales quotas as well as other metrics including talk time and charge rate.

● Frequently earned a spot in the Top 10 sales ranking as well as placement on the Austin Special Forces sales team

Account Executive

OneWest Bank/Financial Freedom September 2009 – April

2010

● Responsible for selling Financial Freedom Reverse Mortgage products directly to consumers by telephone or through email

correspondence.

● Maintained relationships by providing ongoing support and assistance from origination to funding of loan.

● Met all productivity goals and call service quality expectations.

Education

Texas State University, McCoy College of Business Administration May 2011

Bachelors of Business Administration in Management

● Cum Laude; Member of Phi Theta Kappa International Honor Society

Areas of Expertise

Spanish – Fluent, Legal Research, Analytical and Organizational Skills, Internal Controls, AML/BSA, Project Management, Excellent

Verbal and Written Communication, Risk Analysis, Compliance Policy Development and Training, SSAE, PCI-DSS, Auditing, SaaS

Applications, Microsoft Office

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