B

Kelli

Buckner,

CRCM

512-***-****

kellileebuckner@gmail

.com

Salado, TX 76571

SUMMARY

A top-performing Regulatory Compliance professional credited with combining knowledge of consumer lending regulations, auditing expertise, oversight of testing staff and evaluation of Private Label Program effectiveness to deliver exceptional performance. A hard-working dedicated team player who is comfortable presenting to and working with executive management as well as key clients.

SKILLS

30 years Financial Services industry

experience.

21 years Regulatory Compliance in

Consumer and Commercial Business

lending.

Certified Regulatory Compliance

Manager (CRCM)

Risk Assessments

Familiar with Consumer Lending

regulations

EXPERIENCE

Compliance Consultant

Round Rock, TX

Dell Financial Services L.L.C/ Nov 2014 to Jan 2023 Monitored compliance risk controls to identify deviations and offer recommendations. Created and managed action plans to mitigate audit discoveries and compliance concerns.

Stayed abreast of applicable laws and state or federal regulation to report violations. Maintained compliance frameworks, policies and documentation to support audits. Maintained and revised policy procedures for general operation of compliance program.

Organized training programs to educate company staff on benefits and consequences of complying or defying regulations.

Utilized risk management techniques and business knowledge to improve compliance programs.

Established internal controls and processes to support compliance through project management and engagement of key stakeholders.

Conducted reviews to foster ongoing compliance with federal and local regulations. Monitored regulatory developments to communicate risks or opportunities to relevant groups.

Planned and executed compliance audits to check company policies, procedures and controls.

Performed testing to evaluate processes, enhance test scripts and analyze results. Sr. Compliance Advisor

Round Rock, TX

Dell Financial Services L.L.C/ Aug 1998 to May 2013 Responsible for evaluation overall program effectiveness through monitoring of business activities.

Provide Regulatory Compliance guidance on business initiatives. Ensured all pertinent regulatory monitoring processes were documented and maintained current.

Created and facilitated annual compliance training. Liaised between DFS and the true lender bank as the program manager. Research and interpret new regulations to ensure successful implantation. Reviewed and approved all responses to AG, BBB, CFPB & FDIC complaints. Lead Compliance advisor to Collections department

Reviewed all marketing material in regard to consumer and commercial financing. Executive Escalations Card Member Services

Austin, TX

First USA Bank/ Jan 1996 to Aug 1998

Key point of contact with customers as a representative for senior executive members. Troubleshooting with clients to find resolutions to issues until achieving full customer satisfaction.

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