Exceptional knowledge of regulations and laws governing the financial services, cannabis/hemp, trucking, nonprofit, and fintech industries. Exceptional knowledge of federal rules and regulations applicable to the consumer finance and banking industries. Assists clients in ensuring processes and procedures are adequate to meet regulatory requirements.Assists clients in the creation and revision of organizational processes, policies and procedures. Provides outsourced compliance officer support to clients to implement and manage all aspects of the compliance management system. Provides outsourced 3rd-party internal audit support to clients to ensure existing processes and procedures are compliant. Assists clients in the reviewing of organizational processes and procedures to identify potential compliance conflicts and risks. Assists clients in the review of new and existing products and/or services for compliance implications. Reviews all client marketing materials to ensure compliance with state and federal rules and regulations. Assists clients in working with federal and state regulatory agencies on all investigations, examinations and complaints.

In my role as a Financial Services Industry Senior Consultant for CSI Companies, I had the opportunity to collaborate closely with a Big 4 client, focusing on enhancing their compliance framework and internal control mechanisms across various business lines. My primary responsibility was to bridge the gap between complex state and federal regulations and the client’s existing internal controls, ensuring a robust compliance posture. Key aspects of my role included:Regulatory Mapping and Compliance: Successfully mapped extensive state and federal regulations to the client’s current internal controls. This involved a thorough analysis of existing compliance strategies and the identification of gaps in the client’s framework, ensuring full regulatory alignment and minimizing exposure to compliance risks.Internal Control Assessment: Conducted detailed reviews of the client’s internal control assessments to identify areas of improvement and ensure that controls were both effective and efficient in mitigating risks. My approach was characterized by a keen attention to detail and a deep understanding of compliance requirements within the financial services sector.Repository Management and Input: Played a pivotal role in the management of the client’s internal control repository. This included the accurate input of control assessments, updates, and regulatory mappings. The objective was to maintain an up-to-date and accessible source of truth for internal controls, facilitating ongoing compliance and risk management efforts.This challenging and rewarding role allowed me to leverage my expertise in financial services compliance, internal controls, and regulatory mapping to support one of the industry’s leading firms in strengthening their compliance and risk management framework. The experience honed my skills in analytical thinking, stakeholder management, and strategic planning, contributing significantly to my professional growth.

As a Compliance Manager for Innova Solutions, I assisted in a critical project for a major global banking client focused on enhancing their regulatory compliance through the extensive update and revision of 1,000 policies and procedures across diverse lines of business. This initiative was pivotal in aligning the client’s operational practices with evolving regulatory standards and expectations. Highlights of my role included:Project Leadership and Management: Assisted in the comprehensive review and update process for 1,000 policy and procedure documents, ensuring alignment with both current regulatory requirements and the client’s strategic objectives. My role required meticulous planning, coordination, and execution to meet project milestones within tight deadlines.Stakeholder Engagement: Acted as a liaison between the client and various stakeholders, including subject matter experts (SMEs) and business owners. My responsibilities involved facilitating discussions and ensuring a collaborative approach to document revision and policy updates.Document Repository Migration: Assisted in the transition of all updated and revised documents into a new, more efficient document management system. This process required careful planning and execution to ensure data integrity, ease of access, and minimal disruption to the client’s operations.Compliance Expertise: Leveraged my deep understanding of banking regulations and compliance frameworks to provide expert advice and guidance throughout the project.Training and Support: Developed and delivered training programs for the client’s staff, aimed at facilitating a smooth transition to the new policies and procedures within the document management system. This role allowed me to combine my expertise in compliance, project management, and stakeholder engagement to support our client’s goals of regulatory adherence and operational excellence.

• Exceptional knowledge of regulations and laws governing the consumer finance industry in Texas, Louisiana and New Mexico. • Ensuring processes and procedures are adequate to meet regulatory requirements. • Overseeing the creation, implementation and monitoring of the Code of Ethics for all employees. • Preparing various compliance reports for senior management and compliance committee. • Reviewing and monitoring company portfolio to identify potential conflicts and risk. • Monitoring all new and existing products and services for compliance implications.• Reviewing all marketing materials to ensure compliance. • Keeping senior management apprised on all regulatory environment changes. • Working with federal and state regulatory agencies on all investigations, external audits and complaints. • Overseeing all audits and reviews carried out by internal audit team.