Summary
Overview
Work History
Education
Skills
Timeline
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Catherine Ziebell

Catherine Ziebell

Milford,CT

Summary

Detail-oriented Compliance Manager offering 13 years of expertise in compliance programs and risk mitigation.

Knowledge of regulatory compliance with proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.

Overview

15
15
years of professional experience

Work History

Compliance Manager

Deloitte LLP
08.2018 - Current
  • Managed compliance efforts, reporting and audits
  • Prepared records and data for internal and external audits
  • Managed compliance escalations for approximately 160,000 firm wide employees.
  • Advised business stakeholders of regulatory risks in business processes and provided recommendations for improvement
  • Created new reporting metrics to assist leadership with adherence to compliance programs
  • Interacted with leadership across businesses to present findings and highlight trends and areas for improvement
  • Managed and monitored professionals’ adherence to insider trading policy and securities trading
  • As Business process owner, worked with Global member firms to integrate their confirmation process into the U.S rms systems
  • Collaborated with Legal department and policy compliance leaders within areas such as Independence, Privacy and Anti-Corruption to understand changes to policy and integrate into the compliance monitoring systems
  • Led technology projects to improve compliance processes and adherence
  • Managed the operations and work of compliance analysts including establishing goals, monitoring employee performance, and providing guidance and coaching to team members
  • Prepared and delivered annual performance appraisals.

Lead Compliance Analyst

Deloitte LLP
08.2016 - 07.2018
  • Stayed current with latest changes to applicable regulatory standards and company procedures
  • Monitored and documented noncompliance activities
  • Provided technology support and reporting to leadership
  • Ensured that compliance procedures and policies are followed and documented appropriately
  • Developed and created reporting to firm wide business leadership on their business's adherence to compliance requirements.
  • Acted as key point person for escalation processing to firm wide business leadership
  • Worked with policy process owners to ensure their policies are adhered to and resolved in the systems.

Senior Compliance Analyst

Deloitte LLP
08.2013 - 07.2016
  • Provided assistance to internal and external auditors in compliance reviews
  • Identified compliance issues that required follow-up and investigation
  • Developed matrices, performed data analysis and compiled reports to identify trends
  • Created ad hoc reporting for leadership as requested.

Compliance Analyst

Deloitte LLP
04.2011 - 07.2013

• Provided assistance to internal and external auditors in compliance reviews.
• Identified compliance issues that required follow-up and investigation.
• Develops matrices, performed data analysis and compiled reports to identify trends.
• Created ad hoc reporting for leadership as requested.

Sales Operations Analyst

Fiserv, Inc
04.2009 - 03.2010
  • Provided analytical support for all sales and services
  • Support objectives of the Sales and Service organization as it pertains to revenue attainment
  • Perform complex analysis, generate data driven reports and provide operational support to the organization in meeting and exceeding its goals.

Education

Bachelor of Science - Business Administration Finance

Post University
Waterbury, CT
05.2015

Skills

  • SAP
  • Microsoft SQL Server
  • Advanced Microsoft Office
  • Regulatory Compliance Oversight
  • Compliance Monitoring
  • Internal Audits
  • Compliance documentation

Timeline

Compliance Manager

Deloitte LLP
08.2018 - Current

Lead Compliance Analyst

Deloitte LLP
08.2016 - 07.2018

Senior Compliance Analyst

Deloitte LLP
08.2013 - 07.2016

Compliance Analyst

Deloitte LLP
04.2011 - 07.2013

Sales Operations Analyst

Fiserv, Inc
04.2009 - 03.2010

Bachelor of Science - Business Administration Finance

Post University
Catherine Ziebell