Christopher Hillman
Dallas/Ft. Worth,TX
Summary
Experienced financial services compliance professional, skilled at collaborating with cross-functional teams to achieve and advance organizational objectives. Possesses versatile skills in process improvement, problem-solving, willingness to learn, and attention to detail. Ready to tackle new challenges with dedication and enthusiasm.
Overview
7
7
years of professional experience
Work History
Compliance Associate
London Stock Exchange Group
04.2024 - Current
- Documented and processed daily FCRA related tasks for consumers, including reinvestigations, disputes, requests for disclosure, block notifications, and removals.
- Collaborated with cross-functional teams on the timely resolution of compliance issues, promoting adherence to industry standards and ensuring a robust control environment.
- Assisted in completing risk assessments for new products and changes to existing offerings to identify potential compliance issues and recommend solutions.
- Developed an Excel tracker to monitor the status of audits using conditional formatting, formulas (if, percentage calcs, etc.), drop down selections, filtering, sorting, etc.
- Conducted information security audits of technical integrators and periodic FCRA compliance audits of clients to confirm continued regulatory compliance.
- Created an SOP template to document GIACT's existing processes, identifying controls to add to LSEG's central database, thus enhancing the accuracy and efficiency of the control environment.
- Participated in LSEG's Risk Intelligence Steering Committee and Financial Crime Committee and liaise with other colleagues to provide important updates.
Interim Associate Compliance Analyst
Fidelity Investments
12.2022 - 03.2024
- Dedicated load to Compliance team until Q4 2023 and shared Customer Relationship Advocate/High Net Worth Representative roles Q4 2023 through Q1 2024.
- Ensure compliance to company and regulatory standards by reviewing background checks and ensure necessary documentation is collected for processing U4 requests.
- Communicate with representatives regarding their compliance requests and any additional action required.
Customer Relationship Advocate/High Net Worth Representative
Fidelity Investments
05.2020 - 03.2024
- Added Precious Metal and Foreign Exchange transactions skill set for High Net Worth clients.
- Enrich customer experiences by connecting clients to world-class financial and banking services, deposit accounts, online account management, bill pay, money movement, trading mutual funds, equities and options.
- Assist clients with a broad range of needs that include answering questions, conflict resolution, and being an internal customer advocate to guide them to appropriate Fidelity resources and products.
- Participated in Help Desk Mentorship Program to expand industry knowledge of supervisory responsibilities and regulatory requirements.
- Participated in Personal Investing Launch Pilot Program to collaborate with business partners to set up the future of how role exploration occurs for recent hires of the firm.
- Assisted new associates through call and chat channels, and through small group role play instruction.
- Earned FINRA SIE, Series 7 and 63 certifications.
Cashier/Hospitality Team Member
Buffalo Wild Wings
06.2018 - 05.2020
Education
Bachelor of Science - Marketing
Oklahoma State University
Stillwater, OK12.2019
Bachelor of Science - Entrepreneurship
Oklahoma State University
Stillwater, OK12-2019
Skills
- Compliance monitoring (FINRA, FCRA, Regulatory)
- Internal controls
- FINRA SIE, Series 7 and 63 certified
- Process improvement
- Teamwork and collaboration
- Attention to detail
- Audit coordination
- Excel (intermediate)
Timeline
Compliance Associate
London Stock Exchange Group
04.2024 - Current
Interim Associate Compliance Analyst
Fidelity Investments
12.2022 - 03.2024
Customer Relationship Advocate/High Net Worth Representative
Fidelity Investments
05.2020 - 03.2024
Cashier/Hospitality Team Member
Buffalo Wild Wings
06.2018 - 05.2020
Bachelor of Science - Marketing
Oklahoma State University
Bachelor of Science - Entrepreneurship
Oklahoma State University
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