Sara Schwartz Email & Phone Number

Tampa, Fl, Us

Tampa, Florida, Us

• Oversees the compliance and information security programs for a Federal Savings Association and subsidiary Registered Investment Adviser (RIA) by managing all aspects of operational compliance, sustaining regulatory adherence with the OCC and SEC as required• Define and execute a Compliance Program roadmap while maintaining a departmental operational budget of $150K and an operational IT budget of $825K• Actively sought out to bridge the gap between informational comprehension issues, utilizing cross-functional expertise to drive operational efficiencies• Built and maintain the subsidiary RIA by working closely with outside counsel to draft all business documents, policies and procedures, Form ADV, registration, and regulatory filings, gaining registration with the Securities Exchange Commission• Implemented a system to automate the advertising review process• Liaise with external auditors to coordinate and manage 3 audits annually (financial, fiduciary, and IT), delivering policies, supporting documentation, board reports, disaster recovery plans, and business continuity documentation for the 2-week audit processes to ensure compliance• Appointed as the main point-of-contact for the surprise SEC exams and 3-week OCC Exams, collecting all the key materials, managing the requests, and answering questions• Direct the steering committee on the decision-making process for new projects and facilitate working sessions with initiators to support proposal development processes through a current state vs target state gap analysis• Create, coordinate, and present company-wide training on security policies and operational compliance procedures as well as a mandatory BSA training for the Board of Directors, supporting the development of 50 staff members and 9 Directors• Manage third-party vendor management program• Initiated a project to migrate from a paperless to an automated document repository system, accelerating productivity by 75%+

St. Petersburg, Florida, Us

• Hired, onboarded, and led a team of 10 onsite and remote Compliance Advisors to manage various compliance tasks, suitability reviews, options analysis, and annuity assessments, ensuring compliance through mandatory standards• Managed outstanding alerts and resolved metric-related issues with advisors, creating and delivering reporting to Senior Management, leading to effectiveness increases• Designed and implemented a compliance training course for staff and all new hires, influencing the growth of 200+ employees• Recognized for exceptional performance, earning a promotion to Compliance Manager from Senior Compliance Advisor in 2015

St. Petersburg, Florida, Us

• Managed a team of 3 Tellers, providing training on operational tasks, improving talent development and productivity efficiencies• Coordinated and oversaw all aspects of the physical branch location migration, including needs, redundancies, and safely transferring money from 1 branch to another, seamlessly transitioning the business into a standalone environment

Mba, Finance, General

Bachelor Of Science, Double Major: Finance, Accounting