Risk Management Compliance Officer

Objective

Jerrod Carr-Ransom

**** ***** ****** ****, ***. 5303

Austin, TX 78728

Phone: 214-***-****

Email: ******.********@*****.***

To apply my compliance expertise to build a culture of integrity, ensure regulatory adherence, and drive effective risk mitigation strategies for organizational success. Ability Summary

Experienced compliance professional with strong background in risk management, policy development, and regulatory adherence. Skilled in conducting risk assessments, developing compliance frameworks, and training teams to promote organizational integrity. Recognized for excellence in driving compliance initiatives and enhancing operational efficiency.

Employment History

11/2019 - Current Compliance Officer

Texas Permanent School Fund Corporation, Austin, TX

• Monitor and interpret federal and state regulations affecting the corporation, with a focus on those related to financial services, investments, and public funds.

• Review and process public information requests in accordance with the Texas Public Information Act (TPIA), including evaluating requests to determine applicable exemptions, coordinating with various departments to gather responsive documents, and ensuring compliance with legal deadlines.

• Review and complete periodic AML/KYC forms submitted by partner institutions, ensuring compliance with regulatory standards and internal due diligence requirements.

• Develop, draft, and implement policies and procedures to ensure compliance with organizational standards and regulatory requirements. Ensure policies are regularly reviewed, updated, and communicated effectively to relevant teams, and facilitate training sessions to support policy implementation and adherence.

• Perform risk assessments to identify potential compliance risks and develop strategies for mitigating these risks.

• Develop and deliver compliance training programs for employees to promote a culture of compliance awareness.

02/2018 - 10/2019

Compliance Specialist

RGS Financial, Inc, Richardson, TX

• Responsible for setting quality standards for incoming and outgoing calls. Managed subordinate staff in the day-to-day performance of their jobs.

• Worked with management on employee coaching, training, and development to enhance behaviors that will lead to quality calls.

• Created and provided trend analysis reporting to managements to identify opportunities for additional coaching and development. 09/2011 - 04/2017 Customer Assistance Operations Supervisor JPMorgan Chase, Lewisville, TX

• Managed a team that performs Quality Control on Missing Items Letters sent to customers daily, as well as conduct weekly calibration meetings with direct reports as well as department management to discuss trending and reinforce a consistently high quality of work.

• Established a pre-audit quality control process within the department which included writing procedures for three different tasks as well as testing and providing feedback on Excel reports created to thoroughly work through the new task.

• Provided guidance and develop staff skills through a combination of day-to-day management, delegation, one-on- one coaching, counseling, and performance management.

• Spearheaded the development and implementation of comprehensive compliance policies and procedures, in multiple roles to ensure alignment with organizations' commitment to transparency and integrity.

• Updated existing compliance frameworks to meet evolving regulatory requirements, resulting in enhanced compliance posture.

• Implemented a continuous learning initiative that significantly improved the team's ability to adapt to changing compliance landscapes.

• Effectively communicated complex compliance issues to senior management and internal customers, ensuring a clear understanding of regulatory challenges and mitigation strategies.

Education History

Business Background

Bachelor's Degree

Midwestern State University, Wichita Falls, TX

Honors & Activities

• Operations Professional of the Year

• Award for Excellence in Regulatory Compliance

Detailed References

References Available on Request

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