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Your Name

Compliance Officer

Townsend, DE

your.email@example.com
111-222-3333
www.your-website.com

Summary

COMPLIANCE MANAGEMENT 
Insurance - Securities - Financial Services  
Skilled and results-driven professional with a progressive management career spanning the fields of financial services, insurance and banking industries. Adept at developing and executing targeted business initiatives that drive customer growth, achieve compliance objectives, and ensure excellent rapport with regulators. Highly effective communicator and team leader with proven ability to build long-term relationships with internal and external customers by establishing a high level of confidence and trust.

Work Experience

Compliance Officer

CONFIDENTIAL, Wilmington, DE

Jan 2013Current

Interpret and ensure compliance with State and Federal law and Consumer Financial Protection Bureau rules and guidelines, direct regulatory examinations, conduct internal audits, draft and implement policies and procedures for clients, develop compliance program, track pending/emerging legislation and regulations, perform legal due diligence for clients.

Director, Regulatory Compliance

Coventry Health Care of Delaware, Inc, Newark, DE

May 2008Jan 2013

Directly responsible for compliance, communications, appeals and complaints departments, responsible for all external communications, developed rapport with regulators, managed external regulatory examinations, delivered compliance and anti-fraud training, chaired fraud investigation committee, drafted, filed and maintained anti-fraud plan, new product development and implementation, SERFF submission of product and rate filings, tracked emerging legislation/regulations, implemented changes to processes required by new law, chaired legislation/regulation committee, lead monthly compliance meetings, tracked and submitted regulatory reports in multiple markets, conducted internal audits

Specialist

Corporate Compliance, Newark, DE

Jul 2005May 2008

Sr. Analyst, Corporate Compliance 
Reviewed emerging legislation, laws and proposed regulations for impact to company and developed policies and procedures adequate to ensure compliance, performed surveillance of off-site offices, responded to regulatory inquiries and complaints, directed audits (internal and external) and audit response and tracking process, developed examination deficiencies database, maintained FINRA (formerly NASD) series 7 and 24 registrations, performed due diligence research, acted as liaison between firm and regulators for all examinations, acted as managing member of special investigative unit and anti-fraud unit, delivered anti-fraud training to integral anti-fraud personnel, drafted and filed annual anti-fraud state filings, developed tailored compliance program for FINRA Rule 2821

Regulatory Specialist

PNC Global Investments, Wilmington, DE

Jul 2001Jul 2005

Contributed to drafting of ICI White Paper regarding Chief Compliance Officer and Transfer Agent best practices in tandem with participation in a transfer agent task force, issued Sarbanes-Oxley sub-certification letters (N-CSR, SAS-70), contributed to development of anti-money laundering program, helped to develop Customer Identification Program, responded to shareholder legal process items (subpoenas, summons, garnishments, liens, levies, escalated complaints to SEC, Better Business Bureau, NASD), developed and interpreted shareholder transaction requirements manual, supported staff with research and manual questions, assisted with development and implementation of USA PATRIOT ACT and Rule 314 program to include the drafting of procedures and test-driving new processes

Paralegal

Heckler & Frabizzio, Wilmington, DE

Aug 1995Jul 2001

Supported numerous attorneys in insurance defense litigation, maintained case calendars in accordance with court and procedural deadlines, obtained and reviewed pertinent medical information, initiated and responded to requests for production, scheduled and coordinated witnesses and depositions, maintained and updated document flow in Workman's Compensation files

Education

Bachelor of Science

University of Delaware, Newark, DE

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