Compliance Manager Resumes in US-North Carolina-Charlotte: Marsha

Compliance Manager Resume

Contact Candidate

Name:

Marsha

Location:

US-North Carolina-Charlotte

Experience:

5-10 yrs

Willing to Relocate:

Yes

Willing to Travel:

Yes

Most Recent Job Title:

Compliance Manager

Personal Website:

Objective:

To achieve a position with a company where I may use my strong written and verbal communication skills,focus on team-building skills, as well as my leadership ability to contribute to the success of a well-established and growing company.

Resume Text:

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objectives. Offer a broad range of transferable skills and experience including:

* Training, coaching, and mentoring employees
* Identifying employee training opportunities
* Creating and ensuring compliance with procedures
* Promoting strong team environment
* Employee hiring and performance management
* Strong time management skills
* Strong interpersonal and oral and written communication skills
* Budgetary planning and projection
* Excellent supervisory and project management experience
* Computer system applications experience

PROFESSIONAL EXPERIENCE

Bank of America, Charlotte, NC 10/04 - 05/05
BAI Licensing Compliance Manager
* Managed departmental functions focused on licensing and appointments of Bank of America investment agents.
* Managed employees whose objective is to license and appoint agents for the securities products with the contracted insurance carriers.
* Interviewed and hired employees while assessing the growth of the business, as well as identifying improved processes and clearly-defined procedures.
* Member of BODA committee for BISYS Licensing.
* Member of Toastmasters of Charlotte, NC.

Achievements
* Wrote procedures manual for department
* Trained employees on products and carrier information
* Created web pages for the Bank of America web-site

Maryville City Schools, Maryville, TN 11/03- 10/04 Classroom Instructor
* Trained and instructed students at the Elementary, Intermediate and Middle School levels as a substitute teacher.
* Instructed in various subject areas such as: Language Arts, Math, Science, Social Studies, Art, and Special Education classes.

Achievements
* Created lesson assignments where there were none designated for a class.

Marsha J. Neilson
Page 2

Inslogic, Oak Ridge, TN 02/00 - 10/03
Manager, Licensing and Compliance Department 07/00 - 10/03
* Promoted to management position with Life, Health, Property, and Casualty Insurance Company to manage operations for the Licensing and Compliance Department, including employee relations, productivity improvements, new department set-up, finance, and cost control.
* Interviewed, hired, trained, and monitored the performance of employees and conducted annual evaluations.
* Reviewed, reconciled, and reported monthly department budget reconciliations.

Achievements
* Initiated and organized an Agent Licensing Department that served up to 150 agents, including procedures and processes, software, filing systems, mandatory compliance paperwork, and performance tracking.
* Consolidated methods in the agent licensing process that reduced the time frame from 12 to 8 weeks.
* Reduced operating costs by $550K annually by internalizing the licensing paperwork process.

Supervisor, Customer Service 02/00 - 07/00
* Managed a department of 8 employees, monitored calls for quality assurance and accuracy, administered feedback and training to employees, provided group training, and tracked individual employee performance.
* Worked in cooperation with other department managers to ensure achievement of goals.

Achievements
* Created techniques that improved employee morale and overall departmental performance.
* Positioned employees for in-house promotional opportunities through training efforts.
* Consistently reported weekly departmental metrics that exceeded company goals.

Travelers Insurance Company, Knoxville, TN 10/93 - 02/00
Quality Control Analyst
* Handled responsibilities for employee training and performance improvement and quality control.
* Built strong relationships with sales agents to foster a positive, team-oriented working environment.
* Led regular team meetings to ensure achievement of quality goals.

Achievements
* Consistently improved the quality scores of sales agents\' phone calls by evaluating, coaching, and providing feedback for improvement opportunities.
* Achieved and exceeded company requirements regarding percentage of calls to be monitored / evaluated and exceeded reporting responsibilities regarding project assignments.

Insurance Underwriter
* Reviewed the direct marketing business referrals to ensure compliance with company underwriting guidelines.
* Reviewed sales agents\' new business referrals and make risk assessments according to company standards.
* Made recommendations within a 24-hour turnaround time frame.

Achievements
* Exceeded underwriting referral reporting requirements to the underwriting supervisor.
* Awarded Underwriting Certificate of Achievement for quality work.

Marsha J. Neilson
Page 3

Infinity Marketing Analyst
* Managed incoming and outgoing service calls for clients regarding the company\'s sponsored marketing program.
* Worked closely with clients on a broad range of issues, including cross sales of coverage, billing inquiries, coverage counseling, and problem solving.

Achievements
* Traveled to various agencies within the company to train agents on the new company software Atlas II.

EDUCATON
MBA, University of Phoenix, Phoenix, AZ, in progress
BS, University of Tennessee, Knoxville, TN, English and Elementary and Secondary Education
AA, Columbia State College, Columbia, TN, English, Cum Laude

LICENSES
* Professional License for Elementary and Secondary Education
* Life, Health, Property, and Casualty Insurance Agent\'s License (NC)
* Notary Public

TRAINING
* Six Sigma Certificate Program for Management
* Management Class for Coaching Skills
* Working on SILA designation online

COMPUTER SKILLS
* Microsoft Word, Excel, PowerPoint, Access, Visio

LANGUAGES
* Spanish, French

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