Annie Larkin, LCSW, LAC, ARM, CPHRM, CHC
Edwards,Colorado
Summary
Compliance | Risk Management Detail-oriented Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach. Bringing seven years of experience.
Overview
12
12
years of professional experience
1
1
Certification
Work History
ENTERPRISE COMPLIANCE & RISK MGMT
HealthEquity (HQY)
12.2021 - Current
- Revitalize and execute the enterprise risk management program guided by best practice
- Build trusting relationship to ensure buy in and value creation
- Report to Executive Vice President of Risk Mgt and Compliance
- Lead and complete annual compliance risk assessment (includes privacy)
- Manage the enterprise-wide risk register to ensure quality mitigations and accountability to any risks outside of the company’s appetite (includes privacy)
- Assess, manage, and mitigate identified regulatory, cyber, security, technology, privacy, sales, marketing, people, financial and legal risk, as supported by the established risk appetite statement for each space
- Developed risk appetite statements along with thresholds for each domain in the company (risk, compliance (privacy), people (human capital), legal, third party, sales, marketing, security (data privacy), technology, financial custody, corporate finance, strategy)
- Developed meaningful Key Risk Indicators (KRIs) for each domain, dashboards to track the KRIs and established accountability through appropriate reporting cadence to the Board and executive committees
- Identify, assess, manage, and mitigate risk related to recent mergers and acquisitions
- Lead and completed a “people risk assessment” to ensure the company adequately addresses market trends in the human capital space
- This led to significant changes in retention, bonuses, pay and benefits to enhance the lives of employees at work and in their personal lives
- Preparation of report outs to the Board of Trustees, Audit and Risk Committee and Executive leadership.
- Provided expert guidance on regulatory changes, helping the company adapt quickly and maintain compliancy.
- Facilitated open communication channels between departments, fostering a culture of proactive risk identification and mitigation efforts.
- Supported strategic decision-making through detailed analysis of industry trends related to risk management methodologies and emerging regulations affecting the company''s operations.
- Reduced instances of non-compliance by providing regular training sessions on relevant regulations and industry best practices.
- Collaborated with cross-functional teams to develop a robust risk management framework tailored to the organization''s unique needs.
- Enhanced risk management by identifying, assessing, and mitigating potential threats to the organization.
- Implemented compliance policies and procedures, ensuring adherence to regulatory requirements and minimizing operational risks.
- Streamlined internal processes by revising outdated policies and procedures related to risk and compliance functions.
- Coordinated internal audits and assisted external auditors with regulatory examinations, demonstrating strong control environments within the organization.
- Participated in scenario planning exercises that helped identify vulnerabilities associated with various business activities and potential changes in the regulatory landscape.
- Conducted comprehensive risk assessments for new products and services to ensure proper controls were in place.
- Oversaw the implementation of efficient monitoring systems for detecting unusual or suspicious transactions, significantly reducing instances of fraud or other financial crime within the organization.
- Provided ongoing risk management support during mergers and acquisitions, ensuring seamless integration of new business units while minimizing exposure to unforeseen risks.
- Evaluated third-party vendors for adherence to established standards, reducing exposure to potential reputational damage or financial loss due to partnerships with high-risk entities.
- Ensured timely reporting of incidents or breaches by implementing effective incident response protocols across all areas of operation within the organization.
- Assisted in the development of business continuity plans, ensuring preparedness in times of crisis or disruption.
- Managed relationships with regulators, enhancing the company''s reputation as a compliant financial institution.
- Created a structured approach for managing issues identified during audits, leading to prompt resolutions while minimizing future occurrences of similar concerns.
- Developed insightful reports for senior management that highlighted key findings from risk assessments and compliance reviews.
- Played a pivotal role in creating a culture of compliance, leading by example and maintaining high ethical standards throughout daily work activities.
- Developed and maintained compliance database, tracking all compliance activities and documents.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Prepared and submitted regulatory filings in timely manner.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Collaborated with internal and external stakeholders, auditors and legal counsel to confirm compliance with applicable laws and regulations.
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Implemented financial risk management policies, limits and strategies that complied with standards and strategic imperatives of organization.
- Completed statistical reviews to uncover trends, patterns and variations.
- Coordinated ongoing efforts to strengthen risk culture and fine-tuned risk appetite for lending and funding activities.
- Devised new systems and specific processes to handle ongoing monitoring needs for potential risks.
EXECUTIVE DIRECTOR OF COMPLIANCE & RISK MGMT
Valley View Hospital
11.2018 - 08.2021
- Promoted to oversee the development, management, coordination, and monitoring of ongoing compliance operations and activities
- Implements and facilitates team training and development related to compliance (privacy included) and risk management while fostering a culture of safety that encourages staff and patient confidence in reporting methods
- Handles all internal and external audits and solves non-compliance matters
- Leads a 6-member team, manages an $800K budget, and reported to the CEO
- Successfully addressed and implemented multiple regulatory changes and modifications
- Oversight for all lines of insurance from procurement to renewal
- Modified the comprehensive billing and coding system in the face of the pandemic
- Developed and implemented billing and coding audits and education plans to reduce organizational risk
- Increased reporting functions by 200% since beginning tenure; results offer improved transparency regarding operations to the organization
- Grew the department from 1 staff member to 6 by delivering targeted outcomes and increasing operational excellence
- Effective auditing and monitoring across the 7 elements of an effective compliance program to identify and mitigate risk
- Achieved 100% project completion alongside compliance with regulatory standards including a recent regulatory survey that resulted in zero compliance citations (privacy included)
- Revamped the Code of Conduct and developed a new document to better align with company values and standards; successfully reduced and simplified a 35-page manual to 5 pages
- Reports and presents on developments and pertinent issues to the department-level Compliance Committee, Board Compliance & Audit and Executive Committees, and the Board of Trustees
- Continues to oversee the ongoing management of the Risk Management and Service Recovery program; strategizes and communicates with a staff member regarding effective operations.
- Worked closely with organizational leadership and board of directors to guide operational strategy.
- Oversaw financial management, ensuring fiscal responsibility and long-term sustainability for the organization.
- Guided staff through periods of organizational change, maintaining morale and engagement during transitions.
- Forge strong relationships with board members, providing regular updates on organizational progress and soliciting their expertise when needed.
- Monitored compliance with laws and regulations to protect organization from legal liabilities and penalties.
- Managed a diverse team of professionals, fostering a collaborative work environment for increased productivity.
- Fostered work culture of collaboration and inclusion to increase morale and reduce turnover.
- Built relationships with donors, government officials and other organizations to secure funding and support for organization.
- Promoted a culture of continuous improvement by encouraging professional development opportunities for staff members.
- Negotiated contracts with vendors, securing favorable terms while adhering to budgetary constraints.
- Exercised appropriate cost control to meet budget restrictions and maximize profitability.
- Collaborated with external organizations including non-profits, businesses and government agencies to create mutually beneficial partnerships.
- Developed strategic partnerships with key stakeholders to expand the organization''s reach and influence.
- Drove strategic improvements to enhance operational and organizational efficiencies.
- Strengthened internal communication channels to facilitate cross-functional collaboration and decisionmaking.
- Built and maintained strong company teams by hiring and training qualified staff to create positive and productive work environments.
- Aligned department vision, goals, and objectives with company strategy to achieve consistently high results.
- Increased organizational efficiency by streamlining processes and implementing new systems.
- Evaluated program outcomes using data-driven metrics, identifying areas for improvement and implementing targeted interventions.
- Optimized operational workflows, reducing overhead costs and maximizing resource allocation.
- Set organizational goals and objectives to guide and direct company focus and achieve mission fulfillment.
- Defined company roles and responsibilities to establish and enhance processes.
- Spearheaded new program initiatives to address unmet community needs and advance the organization''s mission.
- Monitored industry trends closely enabling the organization to stay ahead of emerging challenges or opportunities.
- Established and maintained strong relationships with customers, vendors and strategic partners.
- Collaborated with legal, accounting and other professional teams to review and maintain compliance with regulations.
- Monitored key business risks and established risk management procedures.
- Cultivated company-wide culture of innovation and collaboration.
- Created succession plans to provide continuity of operations during leadership transitions.
RISK MANAGER
Vail Health Hospital
01.2017 - 11.2018
- Transitioned into new role to transform, lead, and redesign a strong risk management program encompassing 25 service lines and spanning healthcare facilities in 2 counties
- Evaluated and managed facility risk while coordinating market wide programs centered on continuous improvement
- Minimized the probability of risk and maximized upon safety and quality measures
- Reported to the VP of Risk Management, Quality, and HIM
- Directed and organized all aspects of insurance management including Owner-Controlled Policies (OCP) and commercial and excess coverages
- Evaluated and managed property exposures; successfully controlled $140M in new construction and renovation projects
- Strategized on and drove defense strategies and claim settlement approvals for situations related to medical malpractice, Director & Officer liability, property insurance, cyber insurance, and contracts; assessed claim values, ensured exposures were adequately covered, and prepared requested data to manage the loss process through to trial or settlement
- Supervised patient safety and performance improvement initiatives through collaboration with clinical leaders and other key stakeholders
- Facilitated enterprise wide implementation of strategic initiatives including the deployment of the SPOK Mobile secure communication platform
- Identified and prioritized safety events and guaranteed thorough investigation and follow through
- Authored and communicated departmental and facility policies and procedures and ensured compliance with codes, laws, and regulations.
- Conducted thorough analysis of historical data, helping identify patterns and trends in potential risks.
- Conducted regular audits of existing policies and procedures, ensuring their continued effectiveness in addressing organizational goals related to mitigating risks.
- Developed strong relationships with internal stakeholders, promoting a culture of risk awareness and accountability.
- Developed short-term goals and long-term strategic plans to improve risk control and mitigation.
- Collaborated with cross-functional teams to establish effective risk management practices across all business units.
- Evaluated emerging risks in the market through continuous monitoring and research, enabling proactive response measures.
- Trained employees on risk management best practices, empowering them to make informed decisions regarding potential risks.
- Streamlined communication channels between various departments, ensuring timely sharing of critical risk information.
- Reduced operational risks by implementing robust risk management strategies and procedures.
- Reviewed contracts for potential liabilities or exposures, recommending adjustments as necessary to minimize overall legal and financial impact on the organization.
- Supported executive decision-making by providing accurate and timely reports on enterprise-wide risk exposure levels.
- Optimized the allocation of resources to mitigate identified risks, maximizing financial stability.
- Enhanced risk identification processes for early detection and mitigation of potential threats.
- Encouraged stakeholders to approach assessments analytically and offer unique insights to bring new understanding to risk management programs.
- Improved company''s risk profile with comprehensive risk assessments and reporting mechanisms.
- Identified opportunities for process improvement and cost reduction through insightful analysis of current risk management practices.
- Achieved regulatory compliance by ensuring adherence to industry standards and guidelines related to risk management.
- Fostered a culture of continuous improvement in risk management, encouraging feedback from employees to identify areas for enhancement.
- Assisted in the development of enterprise-wide business continuity plans, minimizing disruptions caused by unforeseen events or disasters.
- Partnered with IT department to assess and mitigate technology-related risks, safeguarding the organization''s digital assets and infrastructure.
- Instituted regular safety inspections and hazards management strategies to keep operations compliant.
- Managed insurance programs efficiently, balancing coverage needs with budgetary constraints while maintaining adequate protection against losses.
- Handled all claims according to internal risk management policies, keeping liability minimized by leveraging expertise and available tools.
- Produced and filed reports to inform senior management of current activities and progress with investigations.
- Completed statistical reviews to uncover trends, patterns and variations.
- Conducted statistical analysis and evaluated risk via use of portfolio management software.
- Built contingency plans to successfully handle financial emergencies.
- Coordinated ongoing efforts to strengthen risk culture and fine-tuned risk appetite for lending and funding activities.
- Devised new systems and specific processes to handle ongoing monitoring needs for potential risks.
LICENSED CLINICAL SOCIAL WORKER
Vail Health
01.2015 - 12.2016
- Provided clinical social work assistance to patients, families, and staff to help them cope with psychosocial issues
- Responsible for psychosocial assessments, counseling, support, and referrals
- Coordinated with outside agencies to place patients to maximize and improve their mental health
- Recipient of the 7 Peaks of Excellence Award for Quality in 2016
- Collaborated with county and community agencies to promote continuity of care and continued services related to targeted treatment plans that aligned with medical recommendations
- Created screening processes, engaged in brief interventions, managed grants, and referred to treatment programs, including SBIRT (Screening, Brief Intervention, and Referral), an evidence-based practice designed to reduce ED visits related to substance use and decrease organizational costs surrounding visits; attained a significant reduction in the number of patient visits alongside expenditures
- Offered support and counseling to staff members facing difficult patient situations that had the potential of resulting in vicarious trauma, ongoing stress, and other negative outcomes associated with working in a demanding healthcare environment.
- Improved client outcomes by implementing evidence-based therapeutic interventions.
- Increased patient satisfaction through providing empathetic and compassionate counseling services.
- Mentored new social workers as they joined the team, sharing insights from clinical experience while providing ongoing guidance.
- Developed psychoeducational materials to educate clients on mental health topics, promoting self-awareness and understanding.
- Advocated for client needs within interdisciplinary team meetings, ensuring adequate representation and access to necessary resources.
- Assisted clients in developing and achieving realistic goals, leading to improved overall wellbeing.
- Evaluated program effectiveness using data-driven metrics, refining service delivery models accordingly to meet client needs more effectively.
- Collaborated with community resources for effective case management, optimizing the support network for clients.
- Enhanced collaborative care for clients by coordinating with multidisciplinary healthcare teams.
- Conducted comprehensive assessments and developed individualized treatment plans tailored to each client''s needs.
- Delivered culturally sensitive counseling services, fostering inclusivity and respect within diverse client populations.
- Facilitated group therapy sessions, promoting positive peer support and mutual learning experiences.
- Expanded professional knowledge through ongoing continuing education and training opportunities in the field of clinical social work.
- Maintained timely documentation of client progress, ensuring high-quality care and adherence to ethical guidelines.
- Enabled smoother transitions between levels of care by effectively communicating with referring providers about client progress and treatment recommendations.
- Implemented cognitive-behavioral techniques to help clients change negative thought patterns and improve their coping strategies.
- Provided crisis intervention services, stabilizing clients experiencing acute symptoms or distress.
- Promoted the integration of self-care practices and stress management techniques among clients, fostering resilience and overall wellbeing.
- Utilized motivational interviewing techniques to encourage clients towards positive behavioral changes that supported their recovery goals.
- Contributed to a supportive work environment through active participation in staff meetings, supervision sessions, and peer consultation groups.
- Organized clinical documentation, treatment plans, and referrals.
- Performed short-term therapy, provided education and responded to crisis situations.
- Interviewed clients, families, or groups to assess situations, limitations and issues and implement services to address needs.
- Documented case notes daily and coordinated follow-up for seamless case management.
- Developed and facilitated goal-oriented psycho-education and therapy groups to improve residents' quality of life.
- Presented clinical documentation and observations to interdisciplinary team.
- Helped clients develop new coping mechanisms and techniques to drive behavior modification.
- Formulated treatment plan strategies with multidisciplinary teams to provide comprehensive and continuous care plan.
- Recommended long-term residential treatment, short-term residential treatment and individualized and group drug counseling for clients with substance abuse issues.
- Developed and implemented detailed pre-discharge plans for clients soon to be reintegrated into community.
- Supervised four social workers and gave case management feedback.
- Developed and implemented new programs to address emerging community needs.
- Maintained detailed records of patient progress, documentation of services and case notes.
- Collaborated with healthcare providers to drive continuity of care.
- Provided crisis intervention services to individuals facing medical, emotional and mental health challenges in hospital setting.
- Worked with medical teams, patients and families to implement effective treatment plans.
CONTINUOUS QUALITY IMPROVEMENT LEAD
Eagle County Department of Human Services
01.2013 - 01.2015
- Moved into role to lead a cohesive, productive, and constructive collaboration with stakeholders and in support of Department best practices
- Developed and implemented measurable action plans to target opportunities while engaging in ongoing service enhancement for families and youth
- Led a program that coordinated and facilitated meetings involving multiple parties with the goal of helping families improve their personal situations while simultaneously communicating action plans and associated results to representatives from the State of Colorado and senior leadership teams.
- Served as a subject matter expert on continuous quality improvement methodologies within the organization.
- Developed comprehensive training programs, resulting in increased staff competency and overall process efficiency.
- Acted as a liaison between various stakeholders, ensuring alignment on project objectives and timelines for successful completion of initiatives.
- Collaborated with cross-functional teams to identify opportunities for process improvements and drive change.
- Streamlined reporting processes by creating user-friendly templates, reducing time spent on administrative tasks while maintaining accuracy in data collection.
- Designed, developed and implemented outcome studies and monitored and evaluated efforts to assess impact of programs.
- Managed and verified quality and accountability of accurate data collection, data integrity and meaningful reporting.
- Worked across departments to improve data systems and conducted and oversaw data analysis.
- Mentored junior team members in the application of continuous improvement tools and techniques.
- Promoted a culture of continuous improvement by actively seeking employee feedback and incorporating suggestions into process enhancements.
- Enhanced overall quality by implementing continuous improvement strategies and monitoring performance.
- Used data to build organizational knowledge base and made recommendations for program change and improvement.
- Facilitated root cause analysis of issues, leading to the development of effective solutions that improved quality metrics.
- Established clear communication channels between departments, fostering a culture of collaboration and continuous learning.
- Conducted gap analyses to identify areas requiring attention, developing targeted action plans that addressed specific issues.
- Established a robust performance management system, enabling objective assessment of staff achievements and identification of areas for development.
- Led team meetings focused on sharing best practices among peers, promoting a culture of knowledge sharing and continuous improvement.
- Managed multiple concurrent projects successfully by prioritizing tasks effectively and meeting critical deadlines.
- Coordinated internal audits to ensure compliance with industry standards and regulations, leading to improved risk management.
- Analyzed data trends to identify patterns, enabling proactive interventions aimed at improving overall quality outcomes.
- Optimized processes for increased efficiency by identifying areas for improvement and implementing corrective actions.
- Collaborated to set program milestones and key performance indicators and supported impact narrative for external communications.
- Developed quality improvement plans, policies and operational guidelines.
- Documented and reported issues with compliance, standards of care, and quality assurance requirements.
- Established and tracked quality department goals and objectives.
- Monitored staff organization and suggested improvements to daily functionality.
- Scheduled and chaired quality review meetings to review effectiveness of performance mitigating risk, improving throughput and achieving customer satisfaction.
PERMANENCY ROUNDTABLE COORDINATOR
Eagle County Department of Human Services
01.2013 - 01.2015
- Served a 7-county region throughout Northwest Colorado and provided concrete assistance in the development of permanency programs and operations on behalf of the Department of Human Services
- Assisted caseworkers and individuals served in devising plans and following through with implementation and in achievement of goals
- Managed and maintained compliance with best practices alongside state regulations
- Monitored and tracked outcomes associated with Permanency initiatives and subsequently reported to stakeholders and CDHS representatives
- Managed and administered the regional IV-E Waiver Grant budget while coordinating monthly regional meetings with leadership team members.
Education
Master of Science - Clinical Social Work
Smith College
Northampton, MA08.2007
Bachelor of Arts - English Literature
Bowdoin College
Brunswick, ME05.2003
Skills
- Calm & Responsive
- Corporate Culture & Stewardship
- Technical Capabilities
- Operational Risk
- Regulatory knowledge
- Training delivery
- Compliance Monitoring
- Audit management
- Internal Controls
- Ethics management
- Corporate Governance
- Investigations skills
Certification
- Associate in Risk Management (ARM)
- Healthcare Compliance Certificate Program
- Certified Professional Healthcare Risk Manager (CPHRM)
- Licensed Addiction Counselor (LAC)
- Licensed Clinical Social Worker (LCSW)
- Enterprise Risk Mgmt Certification
- Patient Safety Certification
- Just Culture Certification
- Root Cause Analysis (RCA) Certification
Affiliations
- Western Healthcare Alliance
- Healthcare Compliance Association (HCCA)
- American Society for Healthcare Risk Management (ASHRM)
- Colorado Association for Healthcare Risk Managers (CHARM)
Boardappointments
- President, CHARM, 2021 (three-year term, President Elect (2020), President (2021), Past President (2022)
- Director at Large: Education, Marketing, and Membership, CHARM, 2017 – 2022
Professional Development
- Multiple HCCA and all ASHRM Conferences 2017-Present
- GARP Foundations of Financial Risk Management Certificate, 2022
- Leadership Camp (MergeLane), Conscious Leadership, 2018
- Career Coaching Program, Private Coaching by Jackie Collins—Certified Career Coach, 2018
- The Essentials in HRM, American Society for Healthcare Risk Management Academy, 2017
- Applications in HRM, American Society for Healthcare Risk Management Academy, 2017
- Advanced Forum in HRM, American Society for Healthcare Risk Management Conference, 2017
Timeline
ENTERPRISE COMPLIANCE & RISK MGMT
HealthEquity (HQY)
12.2021 - Current
EXECUTIVE DIRECTOR OF COMPLIANCE & RISK MGMT
Valley View Hospital
11.2018 - 08.2021
RISK MANAGER
Vail Health Hospital
01.2017 - 11.2018
LICENSED CLINICAL SOCIAL WORKER
Vail Health
01.2015 - 12.2016
CONTINUOUS QUALITY IMPROVEMENT LEAD
Eagle County Department of Human Services
01.2013 - 01.2015
PERMANENCY ROUNDTABLE COORDINATOR
Eagle County Department of Human Services
01.2013 - 01.2015
Master of Science - Clinical Social Work
Smith College
Bachelor of Arts - English Literature
Bowdoin College