Catherine Ziebell
Milford,CT
Summary
Detail-oriented operations and compliance professional with more than a decade of hands-on experience across Code of Ethics, personal trading, employee guidance, compliance monitoring, audit support, regulatory reporting, and internal controls. Advised business stakeholders on regulatory risks, documented findings, recommended corrective actions, and supported firm-wide compliance processes for 160,000 employees.
Overview
2025
2025
years of professional experience
Work History
Compliance Manager
Deloitte LLP
Stamford
08.2018 - 11.2024
- Helped lead compliance initiatives across 150k+ employees, strengthening monitoring controls and reducing potential policy violations across key risk areas.
- Ran and reported on firm compliance monitoring program, supporting alignment with internal policies and regulatory requirements.
- Worked with internal and external auditors to support regulatory compliance and strengthen internal controls.
- Managed code of ethics, personal trading, and insider trading policies, maintained restricted lists, identified risks, and applied risk mitigation strategies.
- Built and delivered compliance training sessions for new personnel, stressing adherence to internal policies and earning 95% satisfaction based on post-training surveys.
- Ensured all employees completed required compliance training to maintain regulatory compliance.
- Created firm-wide reporting metrics and KPI dashboards, improving visibility into risk trends and informing senior leadership decisions.
- Led compliance technology initiatives to simplify processes and improve user experience.
- Worked with legal and compliance leaders to update policies and align organization with changing regulations.
- Examined material non-public information to ensure compliance with regulations.
Lead Compliance Analyst
Deloitte LLP
08.2016 - 07.2018
- Monitored evolving regulatory standards and ensured compliance with internal procedures.
- Identified, tracked and documented noncompliance issues, escalating concerns and supporting timely resolution.
- Acted as a primary escalation point for firm-wide leadership on compliance matters.
- Collaborated with policy owners to ensure proper implementation and system integration of compliance requirements.
- Produced detailed compliance reports for executives and audit teams.
- Partnered with policy leaders to ensure disclosures in annual representations are reviewed and resolved in systems timely.
- Led the Records Retention policy program of Ethics & Compliance, ensuring policy updates and proper archiving of records.
- Delivered technology support and performance reporting to senior leadership.
Senior Compliance Analyst
Deloitte LLP
08.2013 - 07.2016
- Coordinated comprehensive compliance reviews for internal and external auditors, ensuring thorough evaluation of compliance standards.
- Produce detailed analytical reports highlighting compliance gaps and trends
- Investigated and escalated compliance issues with detailed documentation, facilitating timely resolution and risk mitigation.
- Conducted data analysis to identify emerging risks and monitor compliance patterns.
- Acted as key escalation contact for business leadership.
- Collaborated with Chief Ethics & Compliance office to implement initiatives that improved compliance rates across the firm.
Compliance Analyst
Deloitte LLP
04.2011 - 07.2013
- Investigated and resolved compliance issues, ensuring adherence to policies.
- Supported audit review while ensuring compliance documentation was thorough and accurate.
- Tracked and completed annual and semi-annual employee representations to uphold compliance standards.
- Developed analytical reports and matrices to identify risk trends.
- Produced customized reports and insights that informed leadership decision-making.
Sales Operations Analyst
Fiserv, Inc.
Wallingford, CT
Financial Analyst
MetLife, Inc.
Hartford, CT
Education
Bachelor of Science - Business Administration, Finance Concentration
Post University
Waterbury, CTSkills
- Compliance Expertise
- Regulatory Compliance; Securities Trading; Material Non-Public Information; Trading Windows; Compliance Monitoring; Code of Ethics; Testing & Audits; Risk Assessment and Mitigation
- Project Management & Leadership Skills
- Employee training
- Project Management; Cross-Functional Leadership; Process Optimization; Technology Implementation
- Technical & Analytical Skills
- Data Analysis; Performance Metrics; Regulatory Reporting; Microsoft Excel; Microsoft PowerPoint; Microsoft Access; Microsoft OneNote; ServiceNow GRC; Tableau; SAP; SharePoint
Personal Information
Title: Compliance Manager
Timeline
Compliance Manager
Deloitte LLP
08.2018 - 11.2024
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.
Financial Analyst
MetLife, Inc.
Bachelor of Science - Business Administration, Finance Concentration
Post University