Experience

• 

  Tredegar Corporation

  • Richmond, Virginia Area

  • Compliance Manager

    • Jul 2018 - Present
    • Richmond, Virginia Area

• 

  CarMax

  • Richmond, Virginia

  • Senior Manager - Compliance & Ethics

    • Jan 2012 - Jun 2018
    • Richmond, Virginia

    Oversight, management and implementation of the Compliance & Ethics program: - Perform annual legal and compliance risk assessment and develop remediation plans.- Develop/coordinate production and distribution of compliance training and ethics awareness materials.- Manage relationship with Associate HelpLine vendor.- Provide support for Audit Committee reporting related to hotline stats, risk assessment, and C&E projects.- Monitor C&E resources for changes to law, relevant agency enforcement practices, and industry best practices.

• 

  Robert Half Management Resources

  • Third Party/Supplier Manager (contractor role)

    • Jan 2010 - Jan 2012

    Support selection and management of third parties (i.e., suppliers, partners, and vendors). For each third party, ensure business practices comply with all applicable regulatory requirements, and with Capital One's Third Party Mgt. Program. - Build strategic partnerships between third parties, internal customers, and other stakeholders. - Assess Performance Metrics - Manage/monitor IT Risk Assessments - Complete Contract Compliance Reviews

• 

  Capital One

  • Supplier Manager

    • 2010 - 2012

    See above.

• 

  Circuit City

  • Senior Compliance Analyst

    • 2005 - 2009

    Assisted with the Company’s legal risk assessment process, the annual Code of Business Conduct training and certification, and the ethics awareness campaign. Effectively partnered with Human Resources, Loss Prevention, Corporate Communications, Senior Management, and other internal and external groups. Contributed compliance program updates and ethics allegation statistics for the Board of Directors’ meetings. Provided program management for the Company’s records management program; worked with outside counsel to develop the records retention schedule; advised internal clients regarding the retention and disposition of their business records; coordinated with the storage vendor; conducted offsite document reviews as necessary.

• 

  Virginia State Corporation Commission

  • United States
  • Government Administration
  • 500 - 600 Employee

  • Principal Financial Analyst

    • Jan 1994 - Jan 2002

    Advised three Commissioners on Virginia utility financial trends and issues, reviewed annual audit filings and assisted Staff attorneys in the preparation of various legal filings, including drafting preliminary Commission orders in finance cases. Provided expert written and oral testimony related to finance issues in public utility rate proceedings. Drafted interrogatories to be sent to participating parties. Engaged in pre-hearing negotiations.Routinely reviewed utility financial filings and financial statements to evaluate financial health and ensure compliance with state laws and regulations. Coordinated information with rating agencies and the SEC as necessary.Successfully completed a course of study and exam to earn the professional designation of Certified Rate of Return Analyst.Participated on a legislative task force investigating electric utility deregulation. Provided input on other legislative issues as required.

  • Principal Financial Analyst, Senior Economic Analyst

    • 1990 - 1994

    Advised the three Commissioners on Virginia utility financial trends and issues, and assisted Staff attorneys in the preparation of various legal filings, including drafting preliminary Commission orders in finance cases. Provided written and oral testimony related to financial issues in utility rate proceedings. Drafted interrogatories to participating parties. Gained familiarity with utility finance filings, case management, and participating in courtroom as an expert witness.

• 

  Federal Reserve Bank of Richmond

  • Data Analyst / Automation Analyst

    • 1984 - 1990

    Performed statistical analysis on bank data (depository, call report, and other data). Provided aggregate data used to determine monetary policy by the Federal Reserve System. Gained expertise in banking regulations, specifically those related to the fiscal health of member banks. Served as a liaison between programmers and users of statistical data programs. Was sponsored by the Fed to attend the 3-year South Carolina Banking School program.