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112 Dianne Way
St Augustine, FL 32080
Focus 1 Associate / Senior Compliance Associate
33 years experience W2
Average rating
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Senior Compliance Consultant with a demonstrated history of working in the financial services industry. I’m skilled in Global Investment Performance Standards, Financial Audits, Fund Audits, SEC Surprise Custody Examination, Tax Preparation, Financial Accounting, and Microsoft Excel. Strong finance professional with a Master’s of Accounting with emphasis in Audit and Fraud Examination. I hold my CFE credential and currently working on my CAMS (Testing Date is set for 2/21/2020).

  • Forensic Accounting
  • Advance Studies in Auditing
  • Financial Reporting
  • Advance Studies in Fraud Examination
  • Advance Studies in AML
  • Accounting Software
  • Risk Assessment
  • PowerPoint, Excel, Access
  • Multi-tasking skills
  • Internal Control
  • Analytical Research
  • Planning & Leadership
  • Fraud Examination
  • Audits

Senior Compliance Associate 
Jan 2018 - present

  • Conduct GAP Analysis on Forms ADV Part 1 and 2, Compliance Manuals, Business Continuity Plan and Code of Ethics.
  • Conduct SEC Mock Examinations inspections.
  • Create initial Compliance Manuals, Code of Ethics, Business Continuity plans and Cyber security policies.
  • Conduct initial Risk Assessments.
  • Conduct Compliance Program forensic testing and annual reviews.
  • Interface with advisors, operations, service teams and management in the region; respond to and resolve compliance issues as they arise
  • Perform compliance testing and administer monitoring program
  • Identify compliance/legal issues facing the firm
  • Help resolve audit items identified by the company’s internal and external auditors
  • Support the administration and implementation of compliance training program
  • Assist with updating and implementation of policies and procedures
  • Stay aware of changes to laws, regulations and examination trends
  • Maintain records related to regulatory changes and compliance training
  • Create materials in support of various compliance-related projects
  • Assist with internal controls
  • Administer records retention program and software
  • Participate in and complete reports related to after-hours security sweeps
  • Perform regulatory research as needed
Auditing Cyber Security Compliance Analysis Risk Assessment Training
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Finance Manager
Jan 2017 - Dec 2018

  • Provide leadership to the Board's Finance and Accounting strategy, to optimize the company’s financial performance and strategic position.
  • Contribute fully to the development of organization strategy across all areas of the business, challenging assumptions and decision-making as appropriate and providing financial analysis and guidance on all activities, plans, targets and business drivers.
  • Ensure that company financial systems are robust, compliant and support current activities and future growth.
  • Lead and develop finance teams.
  • Work with senior teams to grow the organization, formulating strategies and plans.
  • Ensure corporate budgeting processes are carried out and reviewed.
  • Corporate finance: manage company policies regarding capital requirements, debt, taxation, equity, disposals and acquisitions, as appropriate.
  • Ensure that the regulatory requirements of all statutory bodies are met.
  • Corporate finance: manage company policies regarding capital requirements, debt, taxation, equity, disposals and acquisitions, as appropriate.
  • Establish a high level of credibility and manage strong working relationships with external parties including customers and advisors
Project Management
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Chief Operating Officer
Jan 2017 - Dec 2017
White City, OR

  • Providing direction to and setting targets for the company’s various operational departments.
  • Ensuring products or services are being produced in a timely manner and as per quality requirements.
  • Maintaining relationships with key suppliers and vendors.
  • Monitoring inventory, warehousing and movement of products.
  • Making sure that various departments such as production and human resources are functioning as per their approved budgets.
  • Regularly meeting with heads of department of production, information technology and human resources to ensure that their departments are functioning in accordance with the organization’s goals.
  • Ensuring that new policies are implemented in operational departments.
  • Acting as a mediator to resolve inter-departmental conflicts.
No skills were added
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Jan 2012 - Dec 2017
Jacksonville, OR

  • Maintain strong client relations as representative for investment-specialist CPA firm.
  • Evaluate Global Investment Standards (GIPS), calculation methodologies, membership guidelines, and review and marketing disclosures as implemented by outside investment firms.
  • Complete services and consultations to survey investment firms’ compliance with GIPS prior to verification.
  • Corporate tax preparations
  • Fund Audit & Financial Audits
No skills were added
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Jan 1990 - Dec 2010
Charlotte, NC

  • Increased profits and surpassed revenue goals for four consecutive quarters.
  • Proposed strategic business plan for local area and built financial model for new business unit.
  • Innovated programs to increase employee loyalty and retention and coached and mentored staff.
  • Earned 100% customer satisfaction rating and maintained customer relations, accurate inventory, and orders.
  • Boosted overall customer satisfaction by 12% through initiation of standardized employee training program
Project Management
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Jan 1995 - Dec 2007
Fort Campbell, KY
  • Led tactical, technical, and infantry team combat operations; supervised and trained personnel.
  • Supervised and trained personnel; supported superiors and personnel in duty completion.
  • Evaluated terrain and selected weapons emplacement; observed and adjusted direct supporting fire.
  • Oversaw map records, overlays, and usage, and determined elevation and grid azimuths.

No skills were added
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Edit Skills
Non-cloudteam Skill
Master's in Accounting
Keller Graduate School of Business DeVry University 2015
Bachelor's in Managerial Accounting
Southern Oregon University 2013
Minor: Accounting Information Systems
Master Certifications, Microsoft Access and Microsoft Excel
Certified Tax Consultant Certificate
Certified Fraud Examiner
Project Management
Cyber Security
Risk Assessment
Fraud Examination, 0
Audits, 0