Raquel Thompson
Vice President, Governance and Assurance at FIRST Insurance Funding- Claim this Profile
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Bio
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Credentials
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Enrolled Agent (EA)
Internal Revenue ServiceAug, 2015- Sep, 2024 -
Certified Anti-Money Laundering Specialist
ACAMS -
Change Machine Certificate of Completion of the Financial Security Core Training
The Financial Clinic
Experience
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FIRST Insurance Funding
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United States
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Financial Services
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100 - 200 Employee
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Vice President, Governance and Assurance
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Apr 2023 - Present
Responsible for monitoring and coordinating compliance reviews for First Insurance Funding. Identify and communicate compliance deficiencies and potential problems to management. Implement solutions to resolve identified problems. Assist with annual policy and procedure reviews and updates. Ensure adherence to policy and procedure as it relates to Governance and Assurance. Responsible for monitoring and coordinating compliance reviews for First Insurance Funding. Identify and communicate compliance deficiencies and potential problems to management. Implement solutions to resolve identified problems. Assist with annual policy and procedure reviews and updates. Ensure adherence to policy and procedure as it relates to Governance and Assurance.
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Vice President, Senior Risk Consultant
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Sep 2022 - Apr 2023
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FINRA
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United States
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Financial Services
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700 & Above Employee
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Associate Principal Fixed Income Risk Specialist
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Dec 2020 - Oct 2022
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JPMorgan Global AWM Risk & Control
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Apr 2018 - Nov 2020
Part of newly established team with responsibilities for information management and prioritization, including the assessment and inclusion of new disclosures into Golden Source Database. Cross functional role working with Treasury, Legal, Compliance, Product, and Business Support teams in a fast paced setting. Part of newly established team with responsibilities for information management and prioritization, including the assessment and inclusion of new disclosures into Golden Source Database. Cross functional role working with Treasury, Legal, Compliance, Product, and Business Support teams in a fast paced setting.
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BMO Capital Markets
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Canada
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Investment Banking
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700 & Above Employee
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Compliance & Supervision - Trading Floor Surveillance
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Mar 2017 - Apr 2018
– Analyze trade exceptions and adjudicate tolerance exceedances for Compliance with Volcker mandate. – Work with Trade Supervision Volcker Team to provide comprehensive reporting and identify key risk indicators. – Contribute to risk mitigation within BMO Capital Markets, interact with Senior Management, Line of Business members, regulatory and other Compliance groups. – Develop key metrics while enhancing monitoring processes, by utilizing several analytical tools and in-house built and designed system platforms. – Assist with the development of policies and procedures to meet regulatory obligations. Show less
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Center for Economic Progress
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United States
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Public Policy Offices
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1 - 100 Employee
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Assistant Site Manager
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Jan 2017 - Apr 2017
The Assistant Site Manager is responsible for ensuring the timely and accurate filing of electronic tax returns at a community-based volunteer-driven tax site operated by the Center for Economic Progress (CEP). The Assistant Site Manager provides support and guidance to volunteer staff who prepare tax returns for low and moderate-income taxpayers. The assistant site manager helps to ensure effective integration of tax and financial capability services onsite, including tax return preparation and tax time financial capability. Show less
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Madison Financial Solutions
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United States
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Accounting
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Tax Associate, IRS Enrolled Agent
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Jan 2016 - Jan 2017
Prepare Individual tax returns and related schedules. Prepare, organize and handle tax documents, reports, and statements Ensure Compliance with company rules, policies, and regulations Working knowledge of TaxWise Tax Preparation Software Prepare Individual tax returns and related schedules. Prepare, organize and handle tax documents, reports, and statements Ensure Compliance with company rules, policies, and regulations Working knowledge of TaxWise Tax Preparation Software
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BP Amoco
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United States
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Oil and Gas
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1 - 100 Employee
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Compliance Advisor
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Feb 2008 - Dec 2014
Conducted proactive compliance assessments of trading activity and strategies. Conducted proactive compliance assessments of trading activity and strategies.
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JP Morgan Securities
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Investment Banking
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1 - 100 Employee
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Associate Director, Funding Manager
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Dec 1999 - Feb 2008
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Investment Officer
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Mar 1997 - Dec 1999
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Education
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Illinois Tax Training Institute
IRS Enrolled Agent, Taxes -
DePaul University
Finance -
Purdue University
Master of Business Administration (MBA)