Regulatory Compliance Customer Care

KELECHI UGURU

************@*****.*** 631-***-**** Yonkers, NY

linkedin.com/in/kelechi-uguru-846b431b

SUMMARY

Strategic Legal & Compliance Professional with 16+ years of global experience spanning regulatory compliance, risk management, and legal advisory. Proven record of strengthening governance frameworks, leading compliance programs, and preventing multimillion-dollar risks through proactive audits and cross-functional collaboration. Skilled in contract management, policy development, KYC/AML, and stakeholder engagement with regulators. Adept at solving complex compliance challenges and driving measurable impact.

PROFESSIONAL EXPERIENCE

Chef In Scrubs LLC Compliance Specialist

Feb 2023 – Present Remote/Yonkers, NY

• Oversaw compliance with Service Level Agreements, ensuring 100% contractual fulfillment.

• Acted as liaison with regulators, coordinating audit responses and addressing compliance expectations.

• Developed and maintained documentation systems that enhanced audit readiness and minimized review discrepancies.

• Conducted pre-audit assessments that proactively identified and resolved compliance gaps before formal inspections.

World Financial Group Independent Financial Advisor

Sep 2020 – Present Yonkers, NY

• Advise clients on retirement planning, wealth protection, and financial growth strategies, tailoring solutions to individual needs.

• Conduct comprehensive needs analyses to align long-term financial objectives with sustainable strategies.

• Ensure full compliance with financial industry regulations while managing client portfolios.

Eversource Energy Senior Compliance Coordinator

Feb 2020 – Jul 2020 Southborough, MA

• Directed regulatory filings and served as compliance contact with law enforcement and regulatory agencies.

• Conducted reviews of audit findings, providing recommendations that improved compliance procedures.

• Maintained multi-state compliance programs, reducing risks through alignment with safety regulations.

Schultheis & Panettieri LLP Compliance & Risk Auditor

Jun 2017 – May 2019 Floral Park, NY

• Performed contractor audits that prevented $10M+ in potential labor law violations.

• Partnered with legal and risk teams to prevent $20M in potential benefits fraud.

• Produced policy analysis reports ensuring compliance with evolving regulations.

Media Definition LLC Compliance & Operations Risk Manager

Oct 2013 – May 2017 Maspeth, NY

• Increased SLA compliance by 75% within one year through policy and monitoring improvements.

• Designed risk strategies that prevented $100M+ in potential regulatory sanctions.

• Trained staff on compliance rules, reducing exceptions and ensuring regulatory alignment.

Mainstreet Bank Ltd Regional Legal, Risk & Compliance Officer

Aug 2011 – Jul 2013 Lagos, Nigeria

• Reduced potential risk exposure by 80% (~$40M savings) through robust compliance frameworks.

• Enhanced KYC onboarding/renewals, cutting error rates by 10%.

• Revised compliance policies that strengthened corporate governance.

Afribank Nigeria PLC Regional Head, Legal & Compliance

May 2009 – Aug 2011 Lagos, Nigeria

• Directed AML/KYC compliance, training staff and monitoring adherence.

• Co-led governance of $2B+ in obligations, achieving $20M annual savings.

• Strengthened regulator relations, maintaining compliance across multiple units.

Afribank Trustees & Asset Management Co. Senior Trust, Legal & Risk Officer

Nov 2007 – May 2009 Lagos, Nigeria

• Drafted and reviewed trust deeds for $200M+ syndicated loan and debenture transactions.

• Oversaw contract performance and litigation management, mitigating financial risks.

EDUCATION

• Seton Hall Law School – M.S. Jurisprudence, Financial Services Compliance – Newark, NJ

• The Nigerian Law School – Barrister-at-Law (BL) – Lagos, Nigeria

• Abia State University – LL.B. Law – Uturu, Nigeria

• Chartered Institute of Arbitrators (UK) – Chartered Arbitrator & Negotiator (ACIArb)

CORE SKILLS

Regulatory Compliance & Governance • Risk Management • Contract Drafting & Review • Policy Development • SLA Oversight • Legal & Advisory • KYC/AML • Audit & Investigation • Fraud Prevention • Leadership & Training • Microsoft Office Suite

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