Lori Midgley Email & Phone Number

Serves on the Advisory Board and Executive Committee as needed. Keeps copies of the organization's bylaws and the Board's policy statements, strategic plans and minutes. Keeps lists of officers, Board Members, committees and General Membership. Notifies Board Members of meetings and assists the board as one of the fiduciaries who help to steer the.

• Provide outstanding training to leaders and individuals who are poised to change the world for the better by helpingthem make positive life changes and to live their lives with heart-centered purpose-filled intention.
• Create and oversee all Corporate Compliance programs, Compliance Manuals and training's. Develop and implement policies and procedures for entire company.
• Help to ensure company adherence and oversight for all regulatory obligations, minimizing corporate risks.
• Develop and review Standards of Conduct to ensure continued updates and relevant guidance to management and associates.
• Collaborate with other departments and external auditors for compliance related activities to direct compliance issues to appropriate channels for investigation and resolution. Help prevent illegal, unethical or.
• Respond to alleged violations and complaints appropriately. Identify potential areas of compliance vulnerability and risk.

Draper, Utah

• Ensure the company and its vendor partners comply with all regulations relevant to the business. Work with Legal, to develop, initiate, maintain, and revise policies and procedures for the general operation of a.
• Created RIA Advisor subsidiary company for investments for members with its Compliance Program, Handbook and outline for implementation of compliance
• Institute and maintain an effective compliance communication and education program for the organization, including promoting (a) use of the Compliance Hotline; (b) heightened awareness of Standards of Conduct, and (c).
• Proactively provide research findings and regulatory updates to the Executive Team and Board, as well as, updates of all operational progress of compliance efforts throughout the business. Report violations appropriately
• Respond to alleged violations of rules and regulations, evaluate and recommend investigative procedures. Develop and oversee a system for uniform handling of such violations. Resolve difficult compliance issues with.
• Create audit programs, perform audits to ensure company and vendor compliance, provide constructive recommendations and ensure appropriate documentation is maintained

Sandy, UT

Office Management, Commissions validation additional office duties and phone responsibilitiesProvide friendly service and advice to a diverse clienteleAssist customers and merchants identify services/products that best suit their needsEducate customers on merchandise, products and services Scheels offersBalance cash till and daily transactions

Draper, UT

• Write, develop, and implement Compliance program for company.
• Develop and Train staff on Compliance and maintain records of training.
• Audit departments for compliance, make recommendations and insure compliance throughout organization.
• Review new product roll outs and compliance prior to implementation.
• Monitor training and interaction of Progressive with Merchants and Customers.
• Implement Policies and Procedures for Company to assist in compliance with regulations.

Investools, Draper UT

• Ensure adherence to the Compliance Manual: Policies & Procedures.
• Analyze and develop policies and procedures to ensure compliance with appropriate regulations and business objectives
• Ensure appropriate compliance training is provided to all personnel
• Supervise resolution of escalated consumer complaints (BBB, legal, and/or regulatory) to verify compliance with established Federal Trade Commission guidelines and/or other state/federal statutes
• Coordinate and monitor department training activities and training materials for compliance awareness

HIPAA Compliance and audits. Corporate Account Executive for Ingenix Product.

Financial ReportingLarge Loss/Reinsurance recoverable analysis-calculationsMonthly GL/AP/AR balancing and reportingDividends analysis reports, Allowance for doubtful accounts reconciliationPayroll, Company Expense Reports; HR ProcessesAssistance to CFO and VP of Sales

Certified Professional Coach

With purpose and passioin we are poised to change the world for the better by helping individuals live their lives with heart-centered.

Certifications, Banking, Corporate, Finance, Business And Securities Law

Technical school with certifications in all areas of banking, financials and business

Diploma, Genereal

Activities and Societies: Track, Orchasis (Dance), Decca