Allison Wallace Email & Phone Number

West Des Moines, IA, US

Serve as lead Compliance representative supporting a wide range of projects for retirement division.Independently manage technically demanding compliance projects with minimal supervision. Advise business management on compliance issues with limited direction and assist business management in development of practices and procedures. Partner with compliance.

Support a wide range of projects for the retirement division with multi-disciplinary teams.Take the lead on identifying and assessing compliance issues and in developing recommendations.Work closely with business partners to provide ongoing operational support.

West Des Moines, Iowa, United States

• Came aboard as a Compliance Analyst and receiving a promotion in March 2020 to Senior Compliance Analyst.
• Successfully identifying compliance risks and driving solutions to reduce financial exposure, from a litigation and regulatory perspective, while aiding in development of strategies to address compliance changes in the.
• Efficiently communicating changes to appropriate internal and external customers and coordinating implementation.
• Regularly benchmarking the company’s compliance activities against industry norms and regulatory requirements, and providing monthly updates to senior management.
• Proactively recommending changes to internal controls and aiding the establishment of written policies.
• Responding to inquiries from regulators involving market conduct examinations and regulatory surveys, while cultivating professional working relationships with regulators and representatives involved in compliance work.

West Des Moines, IA

• Proactively identified, documented, monitored, and recommended enhancements to processes and controls related to area reporting and key measures, while quantifying business and financial impact for leaders.
• Reviewed new business, 1035 exchanges, qualified transfers, and replacement transactions for suitability.
• Interpreted complex information to make decisions with financial and regulatory implications.
• Collaborated with Quality Assurance team to build, deliver, and analyze assessments for senior representatives.
• Oversaw departmental training and development, identifying learning opportunities and planning for implementation, as well as created and facilitated specialized group training.
• Performed user acceptance testing for system enhancements in addition to drafting, editing, and approving written communications distributed to impacted audiences for procedure changes, system updates, or announcements.

West Des Moines, IA

• Successfully trained new employees of the Contact Center and the Post-Issue Processing teams, including facilitating 3-week long classes, as well as served as a resource to Managers and Customer Service Representatives.
• Partnered with the Training Team on the development of training plans and created assessments to analyze the effectiveness of the training classes, while also creating reusable documentation for all new hires.
• Effectively provided support with performance reporting, tracking, coaching, and feedback, as well as documented quality issues to identify process improvements and future training needs to improve the business.
• Implemented work schedules relative to resource requirements, prioritizing in a highly agile, fluid work environment, while monitoring workflow throughout the day and making adjustments as necessary to meet deadlines.

Nyack, NY

• Formerly Presidential Life-company was acquired at close of 2012Began as Conversion Support Specialist and later promoted to Project Manager. Responsible for operational change of existing office, as well as.
• Stepped into unexpected role after former Project Manager left the company, taking on full spectrum of project work with very little direction
• Led, coached and motivated project team members proactively, communicating clear expectations
• Provided project status and schedule to identify when tasks would be performed
• Consulted with subject matter experts in developing and documenting processes, while identifying areas for process improvement
• Facilitated training to ensure procedures are understood and effectively utilized

Nyack, NY

• Provided support for both client and contractor on multiple projects during new company launch. Assisted project team members with any desktop support needs, as well as maintained calendar items and scheduling of.
• Working with senior consultants, developed tools and best practices for project management standards and execution for company-wide use
• Launched SharePoint platform for project collaboration, training all staff on software, and serving as site administrator
• Communication liaison between project managers and Vice President of Operations

Nyack, NY

• Recruited to develop and deliver a Microsoft Office training curriculum to all employees, while supporting the Vice President of Operations through a corporate restructure. Worked with department managers to establish.
• Created a written assessment taken by all staff to determine current knowledge of MS Office products
• Created and implemented adult education training courses on varying levels of MS Excel, Word, PowerPoint, and Outlook
• Successful rollout of Company-wide training program with SmartTeam, an on-line resource for training in customer service skills, managing business projects, ethics, and compliance
• Organized employee recognition committee
• Introduced Customer Service Appreciation Week, and administered customer service training to all service departments

Ossining, NY

• Classes taught: MS Office, Accounting, Sports and Entertainment Marketing, EntrepreneurshipKey Results:
• Implemented and adapted permanent teacher’s curriculum while out on maternity leave
• Collaborated with math and science departments in order to reinforce student learning across content areas
• Integrated technology through various classroom activities, using computers and SMART board

West Nyack, NY

• Student Teacher (September 2010 to December 2010)Classes taught: College Small Business, College Marketing, Style and Entertainment MarketingKey Results:
• Created and implemented educational objectives, units, lesson plans and assessments for full classes
• Designed activities to develop verbal, critical thinking and social interaction skills using a constructivist approach
• Coordinated school-store operations with cooperative teachers and students to provide realistic work environment

Nyack, NY

• Key Results:
• Processed all electronic fund transfers (EFTs), reversals and cancellations
• Administrative duties included heavy phone coverage and email correspondence to service both clients and agents

• Facilitated congregants when coordinating life cycle events
• Organized & tracked Rabbi’s confidential discretionary fund
• Created and sent out weekly & bulk mailings

• Recommended allocation decisions based upon sales performance, company history & current trends
• Presented cross-department weekly/monthly/quarterly sales & inventory comparison reports to planners & buyers

• Managed advertising placement for several multi-million dollar accounts
• Planned goals for Senior Buyers
• Effectively managed multiple budgets under strict timelines

• Streamlined communications amongst radio stations, reps, & Spot Radio management
• Trained new employees to Media Assistant position
• Earned junior buyer status after 7 months of assisting

Master Of Science For Teachers, Adolescent Business Education

Bachelor Of Science, Business Administration & Marketing

Activities and Societies: Dean's List, Fall 2002, Spring 2003 National Dean's List