Dan Hastie Email and Phone Number

As Compliance Officer I oversee internal policy management, employee training and the vendor management program. Internal policy management includes updating and maintain of existing documents as well as new policy creation. Employee training includes curriculum development, testing, scheduling and program monitoring. Vendor Management responsibilities include contact management, on boarding, performance scoring and tracking.

Owner of a professional organizing and carpentry business. Providing space utilization and management consulting and finish carpentry services to local residential and commercial clients.

As an outside contractor I am working within the Corporate Security & Resilience Strategy group at Citizens Financial Group located in Cranston, RI providing expert level review and feedback of documented internal testing of the identification and assessment of GLBA risk within their IT and Operational processes and sub processes.

Regulatory Compliance/Internal Services ConsultantAs a consultant I am responsible for planning and performing various audits and consulting engagements for retained Banks and Credit Unions throughout Massachusetts and Connecticut. Working within Auditing Teams I assist in performing audit reviews and consulting engagements that include Consumer & Commercial Lending, Consumer Deposit and Account Opening, Branch Audits, Bank Secrecy Act, GLBA/Privacy, Physical Security, ACH Transactions, Vendor Management and Red Flags/Identity Theft. Written Audit reports are generated and then presented to clients.

As the credit union’s Compliance Officer and Compliance Committee Chair acting as primary contact for regulatory compliance research, analysis and interpretation. Monitored and ensured external audit findings were addressed appropriately. Perform compliance reviews on high risk functional areas. Review all marketing materials, disclosures and new product initiatives. Working with senior management and the Board of Directors develop and implement a strategy that has restored a centrally managed compliance and risk management program.

Motivate, mentor and lead a staff of 4 talented professionals within the Compliance and Security function of the Bank. Areas of risk management include Regulatory and Legal Compliance, Security and Fraud Prevention, Customer Privacy, Vendor Management and Business Continuity Program.

As bank’s Compliance Officer and Compliance Committee Chair, evaluate, monitor, and ensure full legal, regulatory, and security compliance of all bank activities, policies & procedures, and documents. Monitor and review recordkeeping for Sarbanes-Oxley Act. Coordinate and assist independent compliance auditors and regulatory examiners during periodic compliance audits. As bank’s CRA Officer and CRA Committee Chair, measure, monitor, and evaluate community development activities and related operations to ensure minimal risk and financial loss to the organization. Plan, develop, and implement Business Continuity Program. Oversee bank’s Vendor Management Program.