Andrew Roy Email & Phone Number

Mississauga, On, Ca

Toronto, On, Ca

Changing the face of alternative lending by leading the ongoing design and operation of a robust, forward-looking regulatory compliance management (RCM) program in a entrepreneurial, growing, dynamic bank.Successes and continued leadership include being co-chair of the Data Governance working group; Internal Audit secondment; liaising with FCAC supervisor; FCPF implementation; GRC convergence; and GRC SaaS solution transition and migration.

Toronto, On, Ca

Reporting to the Chief Compliance Officer (CCO) by providing compliance oversight of the business lines of the company and being an advisor to the business, interpreting the impact of regulatory requirements and communicating regulations set forth by the relevant financial services regulators to the business.Assisting the CCO with Board and management level reporting and participating in relevant industry groups to keep current on the regulatory and financial services environment and maintaining relationships with peers at other organizations.Data steward for Data Governance Working Group; managed privacy program, including designing privacy incident database; and designed and implemented the third-party management program, including the SaaS risk management platform.

I had accomplished all I could at Assurant so I revisited consulting.Digital and Online MarketingDeveloped and executed strategy for a digital marketing campaign using Facebook, Twitter, and LinkedIn to promote a remote retreat project for the client. The campaign proved successful, and the retreat is expected to proceed as planned this summer.Advertising CampaignCreated surveys, conducted interviews with client's customers, and then analyzed the results to prove the effectiveness of a Christmas advertising campaign on retail sales. The campaign met its target increasing sales by 3%.Brand ManagementDesigned a marketing plan to improve the client's brand among its target audience. Data showed that the brand had strong name recognition but poor reputation, so my recommendation (backed up by research and analysis) rebranded its core competency away from punitive measures to that of community benefits.Brand AwarenessCreated surveys, conducted interviews with client's business-to-business (B2B) customers, and then analyzed the results to prove brand awareness. Data showed that the brand had strong name recognition, but poor reputation and usage metrics, so I drafted business and marketing plans to engage its B2B customers in a more meaningful and effective way by focusing on the many benefits of the services provided and people helped.Business PlanDeveloped a business plan through detailed market research and effective analysis. The plan provided a detailed roadmap for effectively using all inventory to maximize revenue. The plan accomplished its intended goal within the three-year timeframe set by the client.Training ManualInvestigated the client's sales and customer service process then documented it for use as a training manual during new employee onboarding.Financial AnalysisDesigned a dynamic spreadsheets to allow the client to experiment with cost variables to determine pricing.

Atlanta, Georgia, Us

This promotion had me continue with my previous role while gaining a macro-level view of Regulatory Compliance Management (RCM) and Anti-Money Laundering (AML) within the company, while also becoming a subject matter expert (SME). RCMWhile still performing my previous role's RCM responsibilities, I also implemented process improvements for tracking and informing on legislative developments, which allowed for greater engagement; and monitored creditor programs by tracking monthly Key Performance Indicators (KPIs) for anomalies and trends. Provided reference materials and matrices to the business to help with their first line of defence accountabilities.Assessed new creditor clients and new products for inherent regulatory risk, and then reassessed each annually.I documented any material findings and assessment results for the Chief Compliance Officer to include in her report to the Chief Agent (CA).All of this resulted in a satisfactory (highest) rating during an internal audit.AMLTransitioned my terrorist property (TP) responsibilities to my colleague in order to take more of a leadership role. By working with her strengths, I coached my colleague, who lacked confidence in her computer literacy, to learn two new systems and one application. I provided user acceptance testing for two upgrades to our TP screening application, and worked with the corporate AML team to eliminate redundancies and standardize processes between OSFI and OFAC requirements.Trained front-line customer service staff.Evaluated creditor clients, products, etc. for financial crime risk, and then documented the assessment results for the Chief AML Officer (CAMLO) to include in her report to the CA.All of this resulted in a satisfactory rating during an internal audit and regulator examination.SMEThis additional role saw me provide regulatory risk advice on over two dozen creditor initiatives and projects of various size with multiple stakeholders on tight timelines.

Atlanta, Georgia, Us

Hired for my Legislative Compliance Management (LCM), and AML experience, I took ownership of each. LCMTracked regulatory risk by subscribing to and following law firms, regulators, and industry associations, and then informed on these legislative and regulatory developments to internal stakeholders through an email.Maintained knowledge of applicable regulatory requirements (e.g., Insurance Companies Act; insurance acts; regulator guidelines and bulletins; etc.) by managing a project to customize an existing database that focused on querying and reporting functionality. Once completed the LCM database became an inventory of all regulatory requirements, including inherent risk assessments, and corresponding controls, including residual risk assessments.Updated the Canadian Compliance Program and LCM Policy to reflect these amended procedures for identifying, risk-assessing, communicating regulatory risk, and maintaining knowledge of applicable regulatory requirements.AMLScreened for TP then documented the procedures. Signed off on monthly OSFI TP reports. Updated the AML Program, which included the Policy, Risk Assessment Procedures, and Methodology.Successful completion of all LCM and AML projects and functions led to a promotion.

Toronto, On, Ca

Hired into the Compliance department because of my Records and Information Management (RIM) experience, I became responsible for LCM immediately, then AML later on.LCMTracked legislative and regulatory developments.My steep learning curve for computer applications and systems helped me become a resident expert on the LCM database, so I prepared quarterly verification reports.Prepared OSFI undertaking attestations annually.Reported on self-dealing (related party) transactions quarterly. Documented these procedures then transitioned this responsibility to the Finance department.AMLWorked with a Compliance Manager to document company AML Policies and Procedures. Coordinated documenting applicable AML processes into other department's written procedures.Screened for TP, and then documented the procedures. Signed off on monthly OSFI TP reports. SMEProvided regulatory risk guidance for the Segregated Funds (Individual Variable Insurance Contracts) project.

Toronto, On, Ca

Compiled expense information while processing invoices. In addition, more than doubled the overnight courier invoices project goal by reconciling 54% of the enterprise's outstanding invoices.

New York, Ny, Us

Created business process improvements to customer service workflows by leading the team responsible for imaging policies then writing training manuals for new staff. As Business Unit Compliance Officer, led the Steering Committee project by writing the Canadian Records and Information Management Policy and Guidelines. In addition, I set the Facilities budget for 2009.

New York, Ny, Us

Built business process improvements by automating the purchase of office supplies (e.g., stationery, photocopy paper and toner, and offsite storage). In addition, I negotiated 34% lower pricing on office supplies while maintaining the same level of customer service.

Brought in approximately $170,000 in tuition. In addition, I developed a comprehensive outline of the information technology education industry and competition to determine our competitive advantage.

Generated revenue by improving conversion rates for email leads to Program Advisor meetings from 4% to 18%.

Coordinated meet-and-greet events to help graduating students develop a professional network among companies seeking IT talent.

Produced over $1 million in tuition.