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Versatile Senior Compliance Analyst

Location:
Hatboro, Pennsylvania, 19040, United States
Posted:
October 28, 2016

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VERSATILE SENIOR COMPLIANCE ANALYST

Partner with senior leadership to improve operations regulatory compliance.

Highly adaptable analytical, critical thinking problem solver who uses control analysis, process improvement, project management, and training strengths to improve operational compliance in accordance with applicable Federal consumer protection laws and regulations. With expertise in:

Planning / Organizing Time Management / Prioritization Problem Solving Regulatory Compliance Risk Management Program Development, Implementation & Maintenance Analysis / Testing Development & Implementation Policy & Procedure Development

PROFESSIONAL EXPERIENCE

The Bancorp, Inc. – Wilmington, DE

Senior Compliance Analyst Audit Coordinator 2015 - 2016

Served as the primary coordinator for all compliance audits and regulatory exams (FDIC) for deposit and lending programs.

Devised methodology to enhance the effectiveness and efficiency of exam requests and file uploads resulting in resulting in commendation from examiners

Developed and maintained a tracking database to monitor key data associated with each audit/exam.

Maintained database (Quickbase) of exam findings, remediation action plans, and related audit materials.

Collaborated with business units and project management to ensure that remediation action plans were implemented in accordance with agreed to time frames.

Prepared detailed updates and statuses of remediation items. Coached and educated others on assigned team or within department. Provided training on regulatory changes to assigned business units.

Compliance Analyst 2013 - 2015

Analyzed issues to identify root cause, trends and patterns and provided senior management with recommendations to address control issues.

Acted as a subject matter expert, advising senior management on elevated and complex compliance issues, rules and regulations.

Reviewed updated policies, procedures, and disclosures as needed for adherence with applicable laws and regulations.

Conducted risk mitigation/control testing efforts, documented findings, and presented findings to appropriate levels of management based on established priorities.

Evaluated and substantiated control compliance program effectiveness and provided knowledgeable advice and counsel to business units.

Drafted comment letters regarding regulatory changes and reviews letters for review with compliance management before distribution to appropriate business units.

Developed control design test strategies and test scripts based on existing testing work papers, business process maps, business process risk and control change documents, as well as internal and external information sources.

Determined appropriate control test population and sample sizes in adherence to compliance program procedures / standards.

Monitored and reported on CRA and HMDA data validation in adherence with regulatory guidelines.

Legal & General America, Inc., (AC Lordi Consulting) Frederick, MD 2012 - 2013

Accounting Project Consultant

New Enterprises Stone & Lime, (AC Lordi Consulting) Harrisburg, PA 2012 - 2012

Revenue/AR Project Consultant

American Water, Inc., (Solomon Edwards Group) Cherry Hill, NJ 2011 - 2012

Policy Project Consultant

Key member of the audit team, tasked with renovating corporate policies and processes for approval by the executive leadership team, for this large water utility company.

GTM Risk Management Group, Radnor, PA 2011 - 2011

SOX ITGC Audit Consultant

Performed SOX ITGC control evaluations of anti-virus definition updates, application password/account policy settings, backups, business continuity, change control, disaster recovery, job scheduling, IT governance, physical security, privileged administration accounts, spreadsheets, system design life cycle (SDLC) process and user access controls for all financially significant production systems for multiple banks located in PA/NJ.

Interacted with Control owners to document action plans to resolve Internal Audit IT SOX findings.

Health Partners of Philadelphia, Inc. – Philadelphia, PA 2009 - 2010

Model Audit Rule Program Manager

Achieved the company’s corporate goal of meeting accelerated compliance with the Model Audit Rule regulations by utilizing PCAOB standards and the COSO and COBIT framework methodologies for identifying project scope and objectives; performing risk assessments; developing and executing detail project plan; managing deliverables and timelines; and communicating timely project statuses and results to senior management.

Interactive Solutions, LLC – Horsham, PA 2005 - 2009

Internal Control - Risk Assurance Manager

Conducted Model Audit Rule, SOX and SAS70 audits and risk control readiness assessments, with emphasis in government and commercial claims process documentation, key control identification, risk control matrixes, process development and reengineering, flowcharting, project management and bank auditing.

Performed Information Systems control evaluations of several large insurance companies’ responses to the “NAIC Exhibit C Evaluation of Controls in Information Systems Questionnaire.” Evaluated application password/account policy settings, backups, business continuity, change control, disaster recovery, job scheduling, IT governance, physical security, privileged administration accounts, spreadsheets, system design life cycle (SDLC) process, including User Acceptance Testing (UAT), and user access controls for all financially significant production systems.

EDUCATION

Temple University, Philadelphia, PA – BBA - Bachelor of Business Administration in Accounting

Bucks County Community College – Associate of Arts in Business Management

TECHNICAL SKILLS

Microsoft Office Pro (Excel, Word, Access, Outlook, PowerPoint, and Project) Adobe Professional Visio Quickbase Box.com TeamMate Metavante



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