Senior Operations and Compliance Leader

MATTHEW PETERSON

SENIOR OPERATIONS COMPLIANCE PROCESS IMPROVEMENT

LEADER

430-***-**** ******@**.*** LinkedIn: matt-peterson-7b85682b0 PROFESSIONAL OVERVIEW

• Senior operations and compliance leader with 12+ years of experience driving process optimization, regulatory adherence, and operational efficiency within highly regulated financial services, insurance, and enterprise environments.

• Proven track record leading audits, managing multimillion-dollar initiatives, improving controls, and partnering with executive leadership to scale operations.

• Well-positioned for $100K+ roles in Operations Management, Compliance, and Business Operations..

WORK EXPERIENCE

CAINE & WEINER — Dennison, TX

Collections Specialist Feb 2024 – Present

• Manage and prioritize a high-volume account portfolio while adhering to strict compliance and regulatory standards.

• Negotiate payment arrangements and settlements aligned with company policy, improving recovery outcomes.

• Maintain accurate system documentation and ensure audit-ready records through consistent process adherence.

Impact Highlights

• Consistently met or exceeded departmental productivity and compliance benchmarks.

• Reduced escalation issues through clear communication and structured negotiation strategies.

CORE EXPERTISE

• Operations

Management

• Process Improvement

• Regulatory Compliance

(FINRA, AML, BSA)

• Risk Management

• SLA Development &

Governance

• Audit Leadership

• Program & Project

Management

• Vendor & Contract

Negotiation

• Data & KPI Dashboards

• Salesforce

• Cross-Functional

Leadership

• Budgeting &

Forecasting

TOOLS

• Salesforce

• Electronic Claims

Management Systems

• Compliance & Audit

Platforms

• Data Dashboards

• Microsoft Office Suite

Matthew Peterson - 2

VIRTUAL CLAIMS ADJUSTER — Remote

Independent Claims Adjuster Sept 2021 – May 2023

(Clients included American Integrity, Heritage Insurance, Crawford, LIGA, Americas Insurance)

• Managed end-to-end residential property claims, ensuring accurate policy interpretation and fair claim resolution.

• Collaborated with engineers, contractors, and third-party vendors to validate loss assessments and estimates.

• Maintained organized electronic claim diaries to support audit readiness and cycle-time efficiency. Impact Highlights

• Improved claim resolution timelines through proactive stakeholder coordination.

• Maintained high compliance and quality standards across multiple carrier requirements. WORKFORCE GROUP — Baton Rouge, LA

Resident Manager May 2020 – Nov 2020

• Led daily operations of a high-capacity COVID-19 emergency shelter serving 140+ residents.

• Coordinated housing plans, medical scheduling, documentation replacement, security, and meal services.

• Delivered daily operational reporting to executive leadership and state authorities. Impact Highlights

• Stabilized shelter operations during crisis conditions through structured workflows and task prioritization.

• Recognized for strong organizational leadership in a high-pressure environment. AVANTAX (HD VEST) — Irving, TX

Sales Supervision Compliance Analyst Jul 2015 – Nov 2019

• Led operational, financial, and compliance audits evaluating internal controls and regulatory adherence.

• Conducted Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) for advisor onboarding.

• Analyzed complex ownership structures and AML risk indicators; escalated findings to senior leadership.

• Authored comprehensive job aids to improve audit consistency and operational efficiency. Impact Highlights

• Strengthened AML and onboarding controls, reducing regulatory risk exposure.

• Improved audit efficiency through standardized documentation and process clarity. HARWOOD FINANCIAL GROUP — Tampa, FL

Operational Consultant Sept 2013 – Jan 2014

• Assessed operational workflows for a $75M AUM brokerage firm and delivered efficiency recommendations.

• Implemented paperless workflows and job segregation models across sales and operations teams.

• Established standardized call-handling and client service protocols. Impact Highlights

• Enabled scalable operations and reduced manual processing through digital transformation. Matthew Peterson - 3

RAYMOND JAMES FINANCIAL — St. Petersburg, FL

Vice President, Operations Jan 2011 – Jul 2013

• Directed multi-department operations, SLAs, dashboards, and performance reporting.

• Led a large-scale corporate acquisition, delivering integration on time and within budget.

• Managed FINRA audit responses and developed enterprise risk surveys across five operational groups.

• Negotiated vendor contracts and managed multimillion-dollar programs. Impact Highlights

• Successfully delivered three multimillion-dollar initiatives without budget overruns.

• Improved executive visibility through standardized KPI and quality reporting. EDUCATION

Bachelor of Arts – History

University of Massachusetts, Amherst, MA

Contact this candidate