Blake M. Williams
Compliance Officer
Centennial,CO
Summary
Enthusiastic and detail-oriented professional with extensive experience in regulatory compliance, operational management, and project optimization. Highly skilled at aligning organizational practices with FINRA, SEC, and BSA/AML regulations, leading cross-functional teams to mitigate risk, enhance fraud detection, and ensure seamless operations. Demonstrated expertise in policy development, regulatory audits, and utilizing data analytics to deliver actionable compliance solutions. Excellent at building strong relationships and fostering collaboration to drive success in fast-paced environments.
Overview
9
9
years of professional experience
6
6
Certification
Work History
Compliance Officer
Colorado Financial Service Corporation
10.2023 - Current
- Dedicated to upholding rigorous compliance standards and ensuring seamless regulatory alignment, I spearhead compliance initiatives across the organization, covering both operational integrity and regulatory preparedness
- Conduct comprehensive reviews of all marketing materials, quarterly client updates, and financial statements to maintain compliance and uphold the company's professional image
- Lead end-to-end compliance program assessments, including internal audits, consultant-led mock audits, and client compliance questionnaires, while overseeing responses to regulatory examinations and client evaluations
- Enhance cross-departmental communication to streamline regulatory information sharing, enabling timely compliance updates and best practices implementation
- Ensure timely and accurate completion of regulatory filings, reinforcing the firm's standing with governing bodies and fostering trust among stakeholders
- Develop practical, responsive action plans for audit feedback and establish robust control tests to ensure consistent adherence to compliance policies and procedures
- Oversee ongoing compliance monitoring, proactively adjusting company policies to reinforce ethical, safe, and efficient operations aligned with evolving industry standards
Oversight and Supervision Principal
Axos Clearing
10.2022 - 10.2023
- Led the development and refinement of compliance procedures for Axos Advisory Services, Clearing, and Invest, ensuring adherence to FINRA and SEC regulations while guiding team on compliance risk assessments, BSA/AML, and SAR reports
- Improved weekly approval process for 815+ new account principal reviews for three affiliate companies by revamping legacy process, enhancing compliance and documentation, as well as reducing processing time
- Cleared backlog of 1,000+ Outside Brokerage Account Statements, confirming regulatory compliance and preventing future delays by implementing quarterly reviews
- Streamlined onboarding process by implementing a centralized platform via RegEd, cutting time by two weeks
- Introduced new management controls and improved workflow efficiency through meetings with department leaders
Risk & Privacy Analyst (Advanced Safety & Privacy Specialist)
Robinhood
05.2022 - 10.2022
- Reviewed and secured client accounts by proactively identifying and neutralizing high-risk transactions; directly contributed to averting potential revenue losses, leading to a reduction in fraud-related incidents
- Achieved maximum accuracy rate in fraud detection by employing advanced data analytics using Lexus Nexus
- Enhanced the skills of a 50-member department through flexible training methods, tailored to diverse learning needs in fraud detection and risk assessment
Registered Customer Experience Representative
Robinhood
10.2020 - 05.2021
- Provided tailored customer interactions via phone, email, and chat, while implementing rigorous quality checks
- Top Performer among 16 team members and top three company-wide for case resolutions and customer satisfaction
- Reduced service complaints by enhancing customer service and translating feedback into actionable improvements
Fraud Analyst
Robinhood
07.2020 - 05.2021
- Investigated and resolved theft and forgery in 20+ accounts daily, supported revenue retention and reduced losses
- Collaborated with a six-member team to analyze a legacy database and reconcile incomplete transactions for migration
- Enhanced early fraud detection by analyzing trends in account activities and transaction patterns
League Manager
Volleyball of the Rockies
02.2020 - 07.2020
- Enhanced operational efficiency by managing a team of six to complete 15 weekly activities for over 800 members
Financial Representative: High Net Worth
Fidelity Investments
08.2018 - 02.2020
- Managed 50+ high-pressure, high-value client accounts ($100K to $100M), resolving issues and reconciling discrepancies
- Led training for 10+ team members and specialized training for new hires on communication and operational efficiency
- Ranked top 1% in trading and customer service with fast responses and minimal errors in a fast-paced environment
Stadium Concession Supervisor
Pepsi Center
08.2016 - 01.2020
- Led a team of 25+ for seamless event operations
Interim Warehouse Manager
USA Rugby
01.2016 - 10.2018
- Supervised 25+ members in championship prep and reduced event costs by 25% through effective negotiations
Education
Master of Science - Sport Administration
University of Northern Colorado
Greeley, COBachelor of Science - Sport Management (Minor: Business)
Colorado Mesa University
Grand Junction, COSkills
- KPI Monitoring & Strategic Planning
- Regulatory Compliance & Auditing
- Risk Management & Mitigation
- Change Management & Leadership
- Process Improvement & Efficiency
- Policy & Procedure Development
- Internal Controls & Business Processes
- OFAC
- SARs
- BSA/AML
- FINRA
- MSRB
- SEC
- SOX
- Salesforce
Certification
- FINRA: Series 24, Series 7, SIE
- NASAA: Series 65, Series 63
- State Department of Insurance: Life & Health Insurance
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Accomplishments
- Supervised team of 25+ staff members.
- Collaborated with team of 6 in the development of a new department.
- Successfully secured and hosted a national tournament through precise and efficient contract negotiations.
- Used Microsoft Excel to develop inventory tracking spreadsheets.
Work Preference
Work Type
Full TimeWork Location
RemoteHybridImportant To Me
Work-life balanceCompany CultureFlexible work hoursPaid time offWork from home optionHealthcare benefitsCareer advancementPaid sick leave401k matchLanguages
English
Native or Bilingual
Quote
Play by the rules, but be ferocious.
Phil Knight
Software
Salesforce
Archer
RegEd
WinOps
Microsoft Office Suite
Jira
Google WorkSpace
Microsoft Teams/Slack
Workday
Dropbox/OneDrive
Interests
Family
Real Estate
Entertainment
Sports
Project Management
Leadership Development/Coaching
Mentorship
Timeline
Compliance Officer
Colorado Financial Service Corporation
10.2023 - Current
Oversight and Supervision Principal
Axos Clearing
10.2022 - 10.2023
Risk & Privacy Analyst (Advanced Safety & Privacy Specialist)
Robinhood
05.2022 - 10.2022
Registered Customer Experience Representative
Robinhood
10.2020 - 05.2021
Fraud Analyst
Robinhood
07.2020 - 05.2021
League Manager
Volleyball of the Rockies
02.2020 - 07.2020
Financial Representative: High Net Worth
Fidelity Investments
08.2018 - 02.2020
Stadium Concession Supervisor
Pepsi Center
08.2016 - 01.2020
Interim Warehouse Manager
USA Rugby
01.2016 - 10.2018
Master of Science - Sport Administration
University of Northern Colorado
Bachelor of Science - Sport Management (Minor: Business)
Colorado Mesa University
- FINRA: Series 24, Series 7, SIE
- NASAA: Series 65, Series 63
- State Department of Insurance: Life & Health Insurance
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