Enterprise Risk Management-Compliance Program Management

Ennis S. Sigler, MJ Business Law, Compliance & Enterprise Risk Management

610-***-**** ***********@*****.*** www.linkedin.com/in/Compliance-Program-Management

Compliance Program Management, Operations & Implementation

Accomplished and results-driven professional with a robust background in regulatory compliance, operational efficiency, and risk management. Skilled in developing and implementing compliance frameworks aligned with industry standards, mitigating risk exposure, and enhancing operational workflows. Proven track record in driving organizational compliance through policy enforcement, internal audits, and regulatory reporting. Adept at collaborating with cross-functional teams to ensure seamless adherence to legal requirements and improve business processes. Recognized for proactive problem-solving and strong analytical skills, consistently achieving regulatory goals and operational excellence in dynamic environments.

Areas of Expertise

Governance & Ethics

Enterprise Risk Management

Risk Assessment & Mitigation

Agile Project Management

Legal Research & Investigations

Due Diligence & Compliance

EU/GDPR Privacy & Employment Law

Compliance Monitoring

Fraud Prevention & Internal Controls

Financial Regulations & Compliance

Process Improvement

Public Speaking & Communication

Proactive Mitigation

Fraud Prevention & Internal Controls

Sales Suitability – Sales Cycle

Education & Professional Development

Master of Jurisprudence in Business Law, Compliance and Risk Management Loyola University of Chicago Law School, 2020

Course Work: Internal Investigations, Business Organizations, COSO Enterprise Risk Management – Integration Framework, U.S. Foreign Corrupt Practices Act, U.K. Bribery Act, E.U. Privacy Law

Bachelor of Arts, Psychology Morehouse College

Agile Project Management Certificate Penn State University, 2014

On the Cutting Edge: A Discussion of Emerging Issues & Best Practices for Ensuring Effective Compliance Programs, SCCE Philadelphia Regional Conference 2023

Seizing Power of Your Data to Drive an Effective Ethics and Compliance Monitoring Program, Washington DC Regional Compliance & Ethics Conference 2022

Conducting Joint Investigations with External Business Partners, Philadelphia Regional Compliance & Ethics Conference 2022

Actioning DOJ's Guidance on Data in Modern & Effective Compliance Programs, Washington DC Regional Compliance & Ethics Conference 2021

Professional Experience

Aging Parents, Philadelphia, PA 2012 – 2021

Caregiver

Provided compassionate and comprehensive care to aging parents, ensuring a safe and nurturing environment. Developed personalized care plans to address individual health and daily living needs, coordinating with healthcare professionals as required. Managed medical appointments, medication schedules, and dietary requirements.

●Graduated from Law School, enhancing advocacy for healthcare needs and navigating complex legal and insurance matters.

Greyhound Bus Lines, Philadelphia, PA 1988 -2012

Director-Franchise Owner/ Operator

Managed annual revenue of $1.7M across three Philadelphia passenger bus depot locations, ensuring optimal financial performance and adherence to budgetary constraints. Directed daily operations, focusing on staff training, financial management, scheduling, maintenance, and fostering positive community relations. Negotiated bus stop privileges with Department of Transportation to enhance operational efficiency and customer satisfaction. Ensured full compliance with all local, state, and federal regulatory requirements, maintaining franchise's reputation for reliability and safety.

●Increased sales revenues by 28% through strategic Station relocation and operational improvements.

●Maintained compliance with regulatory standards, ensuring franchise met all local, state, and federal laws.

Prudential Financial, Dresher, PA 1997 - 2005

Mutual Fund & Annuity Director of Operations

Directed operations for Mutual Fund and Annuity divisions, overseeing investment administration and underwriting across five departments. Managed a robust operations budget of $5M and processed annual sales of $6B, while supervising five managers and a staff of 118. Developed and implemented strategic policies and processes to address complex business challenges effectively. Ensured stringent adherence to regulatory compliance programs, contributing to a flawless record in internal and external audits. Led the implementation of the first home office annuity suitability review process. Provided compliance guidance to Registered Field Agents, General Managers and Home Office personnel, reinforcing firm adherence to NASD and state replacement rules.

●Reduced regulatory fines by identifying and rectifying violations of FINRA conduct rules 2111 and 2090.

●Pioneered the development and implementation of the automated suitability review system (Compliance Monitoring System), streamlining sales oversight processes and ensuring regulatory compliance.

●Played a vital role on the Enterprise Strategic Planning Committee, focusing on standardizing sales suitability.

●Trained and managed FINRA Series 6, 63, and 26 registered sales representatives, enhancing product suitability knowledge and adherence to New York replacement Regulation 60.

●Honored with Business Quality Award for excellence in creating customer-centric technology solutions.

Registered Sales Representative – Life, Health, Long Term Care, Annuities, Investments, Disability, Groups & Voluntary Plans New York Life, Bala Cynwyd PA

Professional Memberships

Member Society of Corporate Compliance & Ethics

Community Service/Volunteerism

Charles A Melton Arts & Education Center, West Chester PA, Grounds Keeper, 2020 – Present

Christ Church of the Valley, Royersford PA – Small Groups Leader, The Road Back, Southeastern Pennsylvania, Irvine California & St. Augustine Florida, 2011 – Present

Adult Ministry Group Leader with a demonstrated history of working within religious institutions. Skilled in vision casting, small group formation, and creating pathways to volunteerism, Discipleship, Congregant Engagement and Online/In-Person group Growth. Determined all monthly directives and deliverables for small group adult ministry.

Launched Small Group model in St. Augustine, Florida & Irvine, California.

Foster a community of creatives, events, and discussions that impact the lives of the body of Christ.

West Norriton PA Township, Area 3-1 Committee Person, 2014 - 2017

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