Summary
Overview
Work History
Education
Skills
Timeline
DARYL MAEDER

DARYL MAEDER

Orlando,United States

Summary

Proven leader in compliance and risk management, notably at USF Federal Credit Union, where I spearheaded initiatives that enhanced audit outcomes by 30% and significantly reduced risk exposure. Expert in compliance monitoring and internal audits, I excel in project management and effective communication, driving process improvements and fostering team collaboration.

Methodical Compliance Manager offering analytical problem-solving skills and solution-driven mindset. Experienced in [Industry] with [Number]-year progressive career. Knowledgeable Compliance Manager with documented success in developing policies, leading training programs and managing reporting to achieve compliance. Methodical with exceptional presentation and communication skills. Strong background working with federal and state regulations.

Overview

9
9
years of professional experience

Work History

Risk & Compliance Manager

USF Federal Credit Union
09.2023 - Current
  • Managed compliance efforts, reporting and audits.
  • Reduced risk exposure for the company by identifying and addressing areas of noncompliance.
  • Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
  • Prepared records and data for regular audits.
  • Streamlined compliance processes by implementing efficient monitoring systems and tools.
  • Consulted with clients on best practices and served as project manager for all process improvements and regulatory initiatives.
  • Collaborated with cross-functional teams to establish clear compliance guidelines and expectations for all departments.
  • Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
  • Succeeded in maintaining a positive relationship with regulators through proactive engagement and timely responses to inquiries.
  • Enhanced overall business operations by continuously improving policies, procedures, and controls related to compliance requirements.
  • Provided expert advice to senior management on potential risks, legal implications, and recommended solutions for complex compliance issues.
  • Evaluated customer complaints, processes, and all other aspects of operations to assess compliance.
  • Advised division leaders of regulatory risks in business processed and provided recommendations for improvement.
  • Oversaw a team of compliance professionals, providing guidance, mentorship, and support to ensure their continued growth and development.
  • Played instrumental role in company-wide risk assessment efforts, supporting enhancements in business processes and controls.
  • Delivered subject matter expertise for internal and external customers on compliance best practices and quality control.
  • Achieved optimal results during external audits by diligently preparing documentation and providing evidence of strong internal controls.
  • Formulated detailed recommendations based on audit findings to support annual planning and definition of goals.
  • Conducted thorough internal audits to ensure adherence to regulatory standards and best practices.
  • Liaised with clients to identify and target inefficiencies in areas of risks and business controls, process gaps and workflow discrepancies.
  • Supported marketing team in review and submission of regulatory articles and newsletters.
  • Improved audit outcomes by establishing continuous improvement plan for compliance practices.
  • Enhanced compliance posture with implementation of robust monitoring and audit system.
  • Achieved recognition for leadership in compliance, setting benchmark in industry for best practices.
  • Negotiated effectively with regulatory bodies to resolve compliance discrepancies without incurring penalties.
  • Conducted thorough risk assessments for identifying potential compliance issues, leading to proactive mitigation strategies.
  • Performed regular compliance reviews and audits, identifying non-compliance issues.
  • Addressed compliance issues by developing and implementing corrective action plans.
  • Implemented effective compliance policies and procedures to meet regulatory requirements.
  • Analyzed and identified risk areas to determine compliance with applicable laws and regulations.
  • Kept up to date on compliance trends and rulings using meticulous research and study.

Marketing Compliance Manager

Premier Mortgage Resources
04.2023 - 09.2023
  • Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
  • Streamlined compliance processes by implementing efficient monitoring systems and tools.
  • Developed and delivered training programs to inform new and current employees about compliance issues.
  • Monitored emerging trends in regulatory requirements, anticipating potential impacts on the organization''s operations.
  • Supported marketing team in review and submission of regulatory articles and newsletters.
  • Advanced organizational compliance maturity by benchmarking against industry standards and implementing best practices.
  • Established and monitored compliance procedures to provide consistent implementation across departments.
  • Kept up to date on compliance trends and rulings using meticulous research and study.
  • Analyzed and identified risk areas to determine compliance with applicable laws and regulations.

Marketing & Consumer Complaints Manager

NFM Lending
01.2021 - 04.2023
  • Reviewed and prepared written correspondence to address complex and sensitive customer complaints and inquires.
  • Collaborated with cross-functional teams to address root causes of recurring complaints, leading to improved product quality and service delivery.
  • Maintained strong relationships with key stakeholders within the organization, working together to address systemic issues contributing to customer dissatisfaction.
  • Led initiatives aimed at improving the overall customer experience, such as implementing new complaint management tools or revising standard operating procedures.
  • Ensured compliance with regulatory requirements by maintaining accurate documentation of all complaint investigations and resolutions.
  • Streamlined complaint handling processes for increased efficiency and reduced response times.
  • Managed, mentored and developed team in delivering best-in-class escalated complaint resolutions.
  • Reviewed company policies related to customer service standards regularly, recommending updates based on industry best practices or evolving consumer expectations.
  • Oversaw communication and research to achieve full resolution of complaints inquiries.
  • Reduced the number of unresolved complaints by closely monitoring case progress and providing guidance on complex issues.
  • Established clear communication channels within the organization for reporting emerging problems or potential product defects that could lead to future complaints.
  • Facilitated regular meetings with department heads to discuss ongoing complaint trends, share best practices, and develop strategies for improvement.
  • Served as a liaison between customers and internal departments such as sales or product development teams when necessary to resolve specific issues.
  • Mentored and developed team members, providing regular performance feedback and supporting their professional growth.
  • Implemented a user-friendly, centralized system for tracking and managing customer complaints, improving the overall organization''s responsiveness.
  • Analyzed complaint data to identify root causes, trends, issues and regulatory concerns.
  • Conducted quality control reviews on complaint data and addressed results with colleagues to influence positive change.
  • Tracked, monitored and worked with stakeholders to address issues identified through root cause analysis.
  • Worked with stakeholders to help create and revise customer complaint monitoring, manage training and enforce policies and procedures.
  • Maintained positive customer relations by addressing problems head-on and implementing successful corrective actions.
  • Maintained professional demeanor by staying calm when addressing unhappy or angry customers.
  • Used industry expertise, customer service skills and analytical nature to resolve customer concerns and promote loyalty.
  • Recruited, interviewed and hired employees and implemented mentoring program to promote positive feedback and engagement.
  • Assisted in organizing and overseeing assignments to drive operational excellence.
  • Enhanced customer satisfaction by addressing and resolving complaints promptly and professionally.
  • Established KPIs to oversee complaint volume, resolution time and other relevant metrics.
  • Managed regulatory complaints team in activities associated with resolution of customer complaints received by federal and state regulators.

Compliance & Closing Manager

Digital Risk Fulfilment Center / Mphasis
08.2020 - 01.2021
  • Implemented Quality Control plan.
  • Designed Quality Control Checklists.
  • Implemented pre & post-closing compliance auditing process improving the accuracy of Closings by 30% and less than 10% error rate in post-closing.
  • Designed a tracking and communication system to allow for concise communication of needs between Processors & Closers before customer closings.
  • Managed a Quality Control Team of 3, and a Closing Team of 10.

Compliance Officer

Seaside Bank
07.2018 - 01.2020
  • Managed relationships with regulators, maintaining open lines of communication to ensure transparent operations.
  • Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
  • Promoted a culture of continuous improvement through ongoing evaluation and refinement of compliance program elements.
  • Collaborated with cross-functional teams to address compliance concerns, fostering a culture of shared responsibility.

Compliance Manager

Orlando Federal Credit Union
07.2017 - 07.2018
  • Managed compliance efforts, reporting and audits.
  • Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
  • Reduced risk exposure for the company by identifying and addressing areas of noncompliance.
  • Prepared records and data for regular audits.

Senior Compliance Consultant & Mortgage QC Manager

FIS
01.2016 - 07.2017
  • Streamlined audit processes through continuous improvements in documentation and communication practices.
  • Evaluated new business initiatives for potential compliance risks, allowing for informed decision-making by senior management.
  • Collaborated with stakeholders across the organization to develop practical solutions addressing identified gaps in compliance efforts.
  • Implemented robust monitoring systems that ensured ongoing adherence to regulatory requirements.

Education

Bachelor of Arts - Public Administration

Strayer University, Orlando, FL

Skills

  • Compliance Monitoring
  • Training development
  • Internal Audits
  • Training and education
  • Corporate Governance
  • Process Development
  • Internal Auditing
  • Document reviews
  • Audit Support
  • Project Management
  • Training Coordination
  • Staff Training
  • SOP Writing
  • Regulatory examinations
  • Quality Management Processes
  • Risk Assessment
  • Risk Analysis
  • Document Control Program
  • Documentation Review
  • Audit oversight
  • Training delivery
  • Analytical Thinking
  • Conducting investigations
  • Influencing skills
  • Protocol Review
  • Data privacy
  • Risk Assessments
  • Regulatory Standards
  • Document analysis
  • Regulatory Documentation
  • Process Management
  • Quality controls
  • Enterprise risk management
  • Legal Research
  • Compliance Reporting
  • Teamwork and Collaboration
  • Problem-Solving
  • Time Management
  • Attention to Detail
  • Problem-solving abilities
  • Multitasking
  • Excellent Communication
  • Team Leadership
  • Team Collaboration
  • Active Listening
  • Effective Communication
  • Adaptability and Flexibility
  • Decision-Making
  • Relationship Building
  • Team building
  • Self Motivation
  • Conflict Resolution
  • Training and Development
  • Goal Setting
  • Professionalism
  • Interpersonal Communication
  • Written Communication
  • Performance Evaluation
  • Data Analysis

Timeline

Risk & Compliance Manager - USF Federal Credit Union
09.2023 - Current
Marketing Compliance Manager - Premier Mortgage Resources
04.2023 - 09.2023
Marketing & Consumer Complaints Manager - NFM Lending
01.2021 - 04.2023
Compliance & Closing Manager - Digital Risk Fulfilment Center / Mphasis
08.2020 - 01.2021
Compliance Officer - Seaside Bank
07.2018 - 01.2020
Compliance Manager - Orlando Federal Credit Union
07.2017 - 07.2018
Senior Compliance Consultant & Mortgage QC Manager - FIS
01.2016 - 07.2017
Strayer University - Bachelor of Arts, Public Administration

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DARYL MAEDER