Phil Babb

**** * ******** **., *******, AZ ***** adfg7y@r.postjobfree.com 480-***-****

Senior-Level Compliance Officer

Government Regulations Compliance Management Quality Assurance

Accomplished compliance officer with experience in high-volume and high-stakes environment. Proficient in creation and implementation of policies and procedures to ensure compliance with applicable state, federal, and/or tribal regulations. Instrumental in negotiations with government regulatory agencies to expand business operations to new areas in order to maximize corporate profitability. Additional core competencies include:

Process Improvement Community Outreach

Staff Supervision and Training Contract Drafting and Negotiations

Government Oversight Initiation of Best Practices

Regulatory Compliance Risk Mitigation

Audits and Compliance Management Budget Analysis and Management

Professional Experience

USAA, Phoenix, AZ

September 2019 – Present

Supervision & Controls

Entrusted with the support of the supervision of all USAA business units that are responsible for implementing and adhering to Heightened Standards and operating within risk tolerances. Identifies risk-related issues in their assigned organization pertaining to compliance and operational risks. Executes risk management tasks, projects, and activities which includes administering and creating strong action plans and timely mitigation of risk. Collaborates with Business Control Management (BCM) and all USAA lines of defense team members to support and ensure effective risk mitigation.

Plain Green, LLC., Scottsdale, AZ

May 2018 – April 2019

Director of Compliance

Entrusted with all day-to-day operations of the Compliance Department for a top level Consumer Lending Entity. Tasked with ensuring compliance with all regulatory requirements pertaining to FCRA, CFPB, TILA, FDCPA, TCPA, UDAAP, etc. Liaison between Plain Green and all regulatory agencies. Coordinated audits from both internal and external agencies. Responsible for training of all Plain Green employees to ensure compliance with all departments of the organization.

Merchants Information Solutions, Phoenix, AZ

June 2014 -April 2018

Compliance Manager

Entrusted with the day-to-day operations of the Compliance Department for a top Experian credit reporting agency. Tasked with ensuring MIS compliance with all FCC, FCRA and CFPB requirements. Coordinate the FCRA/CFPB audit preparation. Tasked with training team members in an effort to ensure compliance within all departments of the organization.

Imaging Advantage, Scottsdale, AZ

January 2014 - May 2014

Quality Assurance Officer (Contract Position)

Entrusted with all day-to-day operations of the Quality Assurance Department for a leading radiology company. Tasked with ensuring that radiologists from multiple hospitals across the country are performing the required secondary reads per industry requirements. Generated monthly reports supporting adherence with industry requirements; follow up with radiologists when additional reads were required. Liaison between Imaging Advantage and all hospitals within the network.

The Law Offices of Joe Pezzuto, LLC, Phoenix, AZ

May 2013 – December 2013

Chief Compliance Officer

Entrusted with all day-to-day operations of the Compliance Department and staff for a high-volume, high-output SquareTwo Financial franchisee. Responsible for policy and procedure promulgation, internal audits, team-building exercises, staff supervision and training, and project management. Liaise between Law Offices of Joe Pezzuto and various state and federal regulatory agencies, including Federal Trade Commission and Consumer Financial Protection Bureau, requiring extensive familiarity with Fair Debt Collection Practices Act, Fair Credit Reporting Act, Telephone Consumer Protection Act, and Unfair, Deceptive, and Abusive Acts or Practices.

Created Compliance Management System to facilitate compliance oversight and to ensure that all applicable rules and regulations are followed.

Created office’s first ever Risk Assessment and Audit Plan, in order to minimize office’s potential exposure relative to various regulatory agencies.

Revitalized Compliance Department, earning recognition from SquareTwo franchisor for high performance and compliance with applicable regulations.

TriVita, Inc., Scottsdale, AZ

October 2011 – April 2013

Director of Compliance

Managed Compliance Department and staff for Top 100 Multi-Level international marketing corporation. Created, updated, and enforced internal compliance policies and procedures for use throughout the United States and internationally, in five other countries across the world. Acted as a liaison between TriVita and all applicable regulatory agencies, including but not limited to the Food and Drug Administration, Federal Communications Commission, Federal Trade Commission, Better Business Bureau, and Driving Standards Agency (UK). Reviewed and amended corporate contracts. Interfaced with independent TriVita business owners to gauge compliance and regulatory needs.

Created and updated Compliance Council to provide compliance-related information and communications to business owners, with the end goal of facilitating compliance.

Instrumental in securing a place for TriVita in the Physician’s Desk Reference.

Casino Arizona / Talking Stick Resort, Scottsdale, AZ

June 2008 – October 2011

Compliance Manager

Responsible for Compliance Department operations, including updating casino policies and procedures to facilitate and ensuring compliance with various regulatory bodies. Liaise between Casino and Salt River Pima-Maricopa Indian Community Regulatory Authority (SRPMICRA) in order to assure uninterrupted continuation of business activities. Modernized casino Minimum Internal Control Standards and lobbied for and gained approval of Standards by SRPMICRA. Ensured compliance with Minimum Internal Control Standards as well as applicable regulations set forth by Arizona Division of Gaming.

Integral to licensing and opening Talking Stick Resort, an onsite Five Star resort.

Created internal audit schedule for each casino department to ensure successful external audits performed by regulatory agencies.

Led an internal investigation that ultimately uncovered fraud by casino’s Vice President of Marketing, leading to dismissal and the filing of criminal charges.

Susanville Indian Rancheria Gaming Commission, Susanville, CA

January 2003 – June 2008

Executive Director

Managed Gaming Commission office and all office staff and Surveillance Department and all staff therein. Entrusted with tribal authority to interact with the State of California and federal regulatory agencies. Oversaw licensing issues, drafted and updated policies and procedures, bylaws, and vendor licensing documents. Conducted meetings and coordinate efforts among tribal officials, Department of Justice Division of Gambling Control, National Indian Gaming Commission, and California Gambling Control Commission. Monitored and maintained budget for Gaming Commission office, organized and implemented training for Gaming Commission staff and Surveillance Department staff.

Instrumental in negotiating Tribal Compact between Susanville Indian Rancheria and State of California.

National Indian Gaming Association certified Gaming Commissioner.

Reid & Associates certified Interviewer/Interrogator.

Susanville Indian Rancheria Gaming Commission, Susanville, CA

January 2003

Surveillance Director

Undertook day-to-day operation of Surveillance Department and all staff. Maintained surveillance compliance with all relevant regulatory agencies. Promoted to Executive Director within one month due to displayed management competencies, and the success of then-recently implemented policies and procedures.

Greenville Indian Rancheria, Greenville, CA

May 2002 – January 2003

Housing Coordinator

Assisted low-income Native American families to secure housing and employment in their local areas. Wrote grants to seek additional funding, and created policies and procedures for Housing Department. Surveyed and purchased properties for Rancheria to construct low-income housing for tribal members. Organized and executed seminars to educate tribal members on how to obtain low-interest loans for purchasing land and homes.

Education & Affiliations

Bachelor of Arts in Business Administration – University of San Diego

Recipient of athletic scholarship for football

Muscogee Creek Nation – Enrolled Tribal member (24216)

HIPAA Certified – HIPAA training officer for Merchants Information Solutions, Inc.

Successfully Completed Coursework:

NIGA Certified Gaming Commissioner

A+ certified through New Horizons

Protecting Your Tribal Gaming Operation, by Falmouth Institute

Gaming Law for Tribal Government Officials, Gaming Professionals, and Commissioners, by Falmouth Institute

Casino Surveillance, by Falmouth Institute

Criticism and Discipline Skills for Managers, by Career Track Institute

Casino Surveillance Training, by The International Gaming Institute, University of Nevada

Basic Max 1000 Certification, by Honeywell Video Solutions

Gaming Laboratories International Round Table Conference, by GLI

Licensee Education on Alcohol and Drugs, by Alcoholic Beverage Control

National Tribal Gaming Commissioners/Regulators Conference, Morongo Casino

Creative Leadership Workshop for Managers, Supervisors, and Team Leaders, by Career Track

Hearing Procedures for the Tribal Gaming Commission, by Falmouth Institute

Robert’s Rules of Order, by Falmouth Institute

Slot Math and Analysis for Casinos, by Egghardt & Associates

Sexual Harassment Training Requirements, by Alliance for Workforce Development, Inc.

BSJS Powers to Arrest and WMD/Anti-Terrorism Training, by Gold Star Security Training and Consulting

Business Writing for Results, by Fred Pryor Seminars

Advanced Leadership Skills for Managers, by International Gaming Institute, University of Nevada

Business Writing for Results, by Strategic Development Worldwide

Managing Excellent Customer Service Skills, by Strategic Development Worldwide

Mastering Public Speaking, by University of Las Vegas

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