Compliance PRO – Compliance Consulting

  • Regulatory Compliance Officer with 30+ years of relevant experience specific to compliance in the financial services industry.
  • Engaging, consultative communicator; cooperation and teamwork focused with excellent networking and relationship building skills.  Diplomatic, protective of confidentiality and results oriented.
  • In-depth knowledge of regulatory requirements and compliance issues as they impact banking policies, procedures, processes, products and services. Thorough knowledge of auditing processes, risk assessments and internal control identification.
  • Versed in utilizing risk-based assessment tools to create a sound risk assessment strategy. Proven ability to identify and assess inherent risks, risk measurements and mitigation strategies to determine residual risks at all levels of operations and loans.
  • Strong analytical and problem-solving skills, relentless in the pursuit of excellence; rigorous adherence to the strictest standards, building sound regulatory compliance environments by staying abreast of the latest regulatory requirements. Dedicated to ensuring that business activities are performed in accordance with corporate policies and all applicable statutes, rules and regulations.
  • Highly productive, focused, and organized, ability to prioritize, meet deadlines, travel as needed, and handle multiple tasks simultaneous in fast-paced, diverse and growth-oriented environments.
  • Recognized by colleagues and business partners as a focused leader, knowledgeable, accountable key contributor who models integrity and professionalism in demanding roles.

Education:

  • Regis University, Denver, CO
    Bachelor of Science, Business Administration; Marketing minor.
  • Credit Union National Association
    --Credit Union Compliance Expert (CUCE) and Certified Credit Union Executive (CCUE) successfully achieved independently. Successfully complete continuing education for recertification every 3 years. Last recertification: 2017.
    --Bank Secrecy Act Certified Specialist (BSACS) earned in 2007; renewed in 9/2015.
    --Graduate, CUNA Business Development School

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