Daniel Baker Email & Phone Number

Internal Audit Coordinator, Compliance Officer, CRA Officer ,BSA/CTF, OFAC, & AML OfficerCompliance and Regulatory Leadership• Directed regulatory compliance encompassing BSA, AML, OFAC, Reg Z, DD, and consumer protection regulations.• Spearheaded development, implementation, and enhancement of compliance policies, procedures, and controls.Strategic Advisory and Governance• Provides strategic guidance to senior management, board members, C-level executives… Show more Internal Audit Coordinator, Compliance Officer, CRA Officer ,BSA/CTF, OFAC, & AML OfficerCompliance and Regulatory Leadership• Directed regulatory compliance encompassing BSA, AML, OFAC, Reg Z, DD, and consumer protection regulations.• Spearheaded development, implementation, and enhancement of compliance policies, procedures, and controls.Strategic Advisory and Governance• Provides strategic guidance to senior management, board members, C-level executives, and compliance officers on regulatory risks, changes, and best practices.Educational Leadership and Thought Leadership• Developed and delivered educational sessions on financial regulation, BSA/AML, and emerging compliance issues.• Authored insightful articles on Legislative/Regulatory matters, Security Risks, and compliance trends.Compliance Oversight and Monitoring• Ensured compliance of marketing campaigns, bank policies, procedures, and websites with BSA, AML, OFAC, and other regulatory requirements. Establish robust monitoring systems and conducted audits to enforce compliance standards effectively.Stakeholder Engagement and Relationship Management• Acted as primary contact for regulatory agencies, auditors, and external stakeholders.• Managed relationships with over 50 virtual compliance banks, fostering effective communication and compliance engagement.Leadership, Team Management, and Conflict Resolution• Led and mentored teams of compliance professionals, emphasizing development and accountability.• Successfully managed disputes with senior management, board members, and compliance officers, supporting regulatory decisions.Project Management and Business Development• Led cross-functional teams in special projects, driving innovation and expanding service offerings. Show less

United States

Dedicated Compliance Professional adept at providing comprehensive support to Compliance officers in interpreting and applying diverse banking regulations, such as Reg Z, DD, HMDA, B, E, P, X, FCRA, and CRA. Proven expertise in designing and delivering educational sessions covering fundamental compliance principles, emerging topics, BSA/AML, and related subjects. Adept at publishing informative articles on Legislative/Regulatory matters, Security Risks, and general compliance concerns… Show more Dedicated Compliance Professional adept at providing comprehensive support to Compliance officers in interpreting and applying diverse banking regulations, such as Reg Z, DD, HMDA, B, E, P, X, FCRA, and CRA. Proven expertise in designing and delivering educational sessions covering fundamental compliance principles, emerging topics, BSA/AML, and related subjects. Adept at publishing informative articles on Legislative/Regulatory matters, Security Risks, and general compliance concerns. Demonstrated proficiency in evaluating marketing campaigns, bank policies, procedures, websites, and documents for regulatory compliance alignment. Accomplished in overseeing interactions with over 60 virtual compliance banks, managing inquiries, reviews, and engagement with virtual compliance officers, C-level executives, and compliance departments. Show less

Temple, Texas, United States

Research and advise on legal issues including Privacy, Bankruptcy, Real Property, Civil Torts, and Regulatory Compliance issues such as internal policy and procedures, contract negotiation, and new client intake processes.

Assist struggling individuals and families with understanding IRS regulations, policies, and procedures. Conduct onboarding, file OIC’s, and manage Tax Issues. Skills required include legal research, advanced negotiation, compliance, and risk mitigation.

Ingham County - 30Th Circuit Court

Draft Bench Memo’s for sitting Judge. Conduct legal research, assist with managing docket, inmate communications, and make verdict recommendations.

Alamosa, Colorado

Conduct property and title compliance examinations. Draft title policies, research clouded titles, and review issued contracts. Major projects include patent deed search and policy on 1000+ acres for environmental easements, streamlining subdivision policies, and establishing Trust and Corporation verification procedures.

South Jordan, Ut

As a Legal Intern I have had the opportunity to work on a wide range of Compliance Projects. My experience at Ivanti exposed me to additional fields of Data Privacy, Compliance and Risk review- End User Licensing Agreements (“EULA”)- Nondisclosure Agreements (individual and mutual)- Indemnification Agreements- Privacy Policies- Terms and Conditions- Third Party Vendor AgreementCompliance Form Drafting- Software Evaluation License Agreement-… Show more As a Legal Intern I have had the opportunity to work on a wide range of Compliance Projects. My experience at Ivanti exposed me to additional fields of Data Privacy, Compliance and Risk review- End User Licensing Agreements (“EULA”)- Nondisclosure Agreements (individual and mutual)- Indemnification Agreements- Privacy Policies- Terms and Conditions- Third Party Vendor AgreementCompliance Form Drafting- Software Evaluation License Agreement- Amendments to EULA- International sole provider letter- Legal hold letter- Termination letter- Objection to Subpoena- Modern Slavery and Human TraffickingCompliance Project- General Data Protection Regulation (“GDPR”)- PrivacyShield- Domestic and International Export Classification- Consumer Data MiningTeam Project Leader- Internal Security and Organization Audit Show less

East Lansing, Michigan

Working for Costco taught me that there are somethings you can't do. Like working a 30+ hour job and starting Law School. However, while working for Costco I opened a new store and help to establish Internal Auditing practices, vault controls and procedures, management review processes, and corporate compliance reporting that is still being used today.Audit and Compliance- Write programs to streamline gathering data for sales audits- Conduct audits and research into financial… Show more Working for Costco taught me that there are somethings you can't do. Like working a 30+ hour job and starting Law School. However, while working for Costco I opened a new store and help to establish Internal Auditing practices, vault controls and procedures, management review processes, and corporate compliance reporting that is still being used today.Audit and Compliance- Write programs to streamline gathering data for sales audits- Conduct audits and research into financial discrepancies- Compile and generate P&L auditing reports- Conduct daily ETF, cash, and cash equivalent audits and generate reports- Daily, weekly, and monthly reporting to upper level management- Train individuals on advanced Microsoft Suite skills Show less

Cedar Hills, Ut

Manage a book of high-balance clients including Trusts, Corporations, and Individuals. Work with partners to establish financial development plans, educate clients on best practices guidelines, and establish in-branch compliance procedures.ACHIEVEMENTS HIGHLIGHTSCompliance Review. Review new trust, corporations, and non-individual entities for KYC, AML, and regulatory compliance. Including Corporations, LLC’s, Sole Proprietorships, Irrevocable and Revocable Trusts… Show more Manage a book of high-balance clients including Trusts, Corporations, and Individuals. Work with partners to establish financial development plans, educate clients on best practices guidelines, and establish in-branch compliance procedures.ACHIEVEMENTS HIGHLIGHTSCompliance Review. Review new trust, corporations, and non-individual entities for KYC, AML, and regulatory compliance. Including Corporations, LLC’s, Sole Proprietorships, Irrevocable and Revocable Trusts, Guardianships, and IOLTA’s.Provide Leadership and Expertise on all aspects of account policy compliance to ensure clients are retained, P&L is positively impacted and staff is educated on proper procedures.Good Client Interaction. Consistently ranked at the top level of satisfaction.National Sales Achiever. Ranked 315 out of 10,000+ individuals while competing against large markets.Drove achievement of organizational goals by establishing and implementing one-on-one training programs in policy compliance, sales, client retention new hire training, and conflict resolution. Show less

7239 N Academy Blvd, Colorado Springs, Co

Responsible for team management, balance growth, and acquisition- Develop business relationships- Assist customers with lending solutions and banking products- Responsible for Core consumer maintenance, acquisition, and satisfaction- Manage incoming requests, concerns, and day to day affairs- Top Performer- Microsoft Suite

Doctor Of Law - Jd, Law

Activities and Societies: • MSU Tax Law Society - Officer • Chicago Moot Court Competition • Legal Compliance • Estate Planning • Trained.

Bachelor Of Business Administration (B.B.A.), Business Administration And Management, General

Activities and Societies: • Dean’s List • Worked full-time while at school

Masters Of Jurisprudence, Legal Analysis

High School Diploma