Experience

Evergreen Credit Union

• United States
• Financial Services
• 1 - 100 Employee

• VP of Audit & Compliance

  • Sep 2013 - Jan 2017

  Portland, ME The position is responsible for the day-to-day operations of the organization’s compliance and internal audit programs, and assists senior management with various small-scale project initiatives which may involve an aspect of compliance or audit. The Compliance/Audit Officer maintains a high degree of knowledge of deposit and loan compliance regulations, risk assessment, and project management. Develops, initiates, maintains, and revises policies and procedures for the general… Show more The position is responsible for the day-to-day operations of the organization’s compliance and internal audit programs, and assists senior management with various small-scale project initiatives which may involve an aspect of compliance or audit. The Compliance/Audit Officer maintains a high degree of knowledge of deposit and loan compliance regulations, risk assessment, and project management. Develops, initiates, maintains, and revises policies and procedures for the general operation of the compliance program and its related activities to prevent illegal, unethical, or improper conduct. Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends. Keeps the Supervisory Committee and senior management informed of the operation and progress of compliance efforts. Assists with the preparation of the Supervisory Committee packages. Develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers. Responsible for the institution’s compliance with all federal and state regulations. The position requires the individual to have a familiarity in BSA. As the Bank Secrecy Act (BSA) Officer, the individual will administers the bank’s program of compliance with the Bank Secrecy Act, and all other related anti-money laundering (AML) laws and regulations. Review suspicious accounts detected by the use of automated system reports, review other related reports and report unusual activities. Ensure that Currency Transaction Reports (CTRs) and SARs are completed accurately and completely and filed with the proper agencies on time. Respond to compliance and BSA related questions, issues and concerns from all department managers, credit union officers and employees. Show less



Synergent

• United States
• IT Services and IT Consulting
• 100 - 200 Employee

• Implementation & Training Analyst

  • Feb 2008 - Sep 2013



KeyBank

• United States
• Banking
• 700 & Above Employee

• AVP, Area Operations Leader

  • Aug 2006 - Jan 2008

  • Provided guidance and direction to the Assistant Managers, Operations Supervisors & Lead Tellers in fourteen branches to ensure compliance of regulatory, security and internal controls to include reconciliation of accounts and timely completion of all branch self-assessment tasks • Managed ten-member Teller float team to serve branches from Kittery to Portland • Interview / Hired / On boarded new Tellers

• AVP, Assistant Manager

  • Jun 1995 - Sep 2006



Fleet Bank

• Banking
• 1 - 100 Employee

• Lead Teller

  • 1991 - 1994



Maine National Bank

• Operations Manager

  • 1984 - 1991