Material Handler Compliance Analyst
Resume:
Roger Walters
Willowdale, Ontario M2J 2V8
Cell: 416-***-****
Email: adtwtz@r.postjobfree.com
Highly-qualified professional with 18 years Compliance experience, including risk management, money laundering, antiterrorist financing, and regulatory requirements. Extensive knowledge of operations research, auditing, development of standards to maintain legal compliance, financial planning, and strategy development. Work effectively with stakeholders from diverse socioeconomic and cultural backgrounds. Seeking a position with the opportunity for growth.
Related Experience
Corporate Compliance Analyst 2017 - 2018
Combined Insurance, Markham, Ontario
Accomplishments:
Member of a team which created a compendium that tracked all projects and scenarios impacting compliance (situation, action required, final outcome).
Responsible for the management of Legislative Compliance Management Framework.
Conducted audits of corporate business units based on established guidelines.
Analyzed complaints and created reports to support findings.
Monitored and implemented applicable Federal and Provincial Legislation.
Reviewed and administered findings related to OSFI Terrorists Lists and AML Legislation.
Performed Semi-Annual Effectiveness Testing and maintenance of Global Compliance.
Compliance Officer & Mobile Security Manager 2011 - 2012
MundoMedia, Richmond Hill, Ontario
Accomplishments:
Created processes and procedures ensuring protection of finances and corporate reputation, thereby mitigating lawsuits and financial losses.
Created and implemented practices to create efficiency, effectiveness, improvement to customer satisfaction, and enhancement to Service Level Agreements.
Responsible for strategic and technical compliance.
Monitored international campaigns applicable to online and mobile marketing.
Identified and resolved fraudulent activity FINTRAC and corporate policy.
Conducted procedural audits and quality assurance reviews.
Consulting Role 2010 - 2011
Regulatory Compliance, The GTA
Reviewed processes for various Managing General Accounts:
Assisted with compliance testing, risk assessment, and policy development.
Reviewed and audited processes, and assisted in the development of the compliance manual.
Conducted KYC reviews, monitored and responded to client queries.
Compliance Consultant 2004 - 2009
The Empire Life Insurance Company, Kingston, Ontario
Accomplishments:
Developed a Document Management Facility which tracked all marketing pieces, from inception to market.
Conducted compliance testing and risk assessment.
Developed policies and procedures applicable to the Retail Marketing Division and corporate policies.
Reviewed and verified compliance pertaining to Federal and Provincial regulatory bodies.
Accountable for the review and implementation of the Legislative Compliance Management (LCM) as it pertained to the corporate framework of regulatory risk management controls.
Developed and monitored the technical process used to minimize and eliminate gaps within all lines of business related to Retail Marketing.
Compliance Analyst 2000 - 2004
Canada Life Insurance, Toronto, Ontario
Originally hired as Accounts Administrator; promoted to Compliance Analyst (2002).
Responsible for the creation and implementation of processes pertaining to Agents on Record (licensing verification, validation to sell products in designated Provinces).
Other Experience
Material Handler 11/2019 - Present
Toronto Metropolitan University, Toronto Ontario
Education & Credentials
B.A. Degree - Law
Carleton University, Ottawa, Ontario (1996)
Canadian Life Insurance Standards Association (CLIEDIS)
Insurance Intermediaries, Canadian Life & Health Insurance Association
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