Summary
Overview
Work History
Education
Skills
Certification
Timeline
AccountManager
Dominique Dearing

Dominique Dearing

Tampa,FL

Summary

Dedicated compliance professional well-versed in policy development, training management and reporting. Well-organized and systematic with excellent communication and planning abilities. Looking for challenging position in fast-paced environment.

Overview

21
21
years of professional experience
2
2
Certification

Work History

Compliance Officer

Grow Financial FCU
Tampa, FL
05.2019 - Current
  • Managed practical action plans to respond to audit discoveries and compliance violations.
  • Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
  • Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.
  • Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
  • Monitored compliance with processes, policies, procedures and standards in regards to collection and management of annual contributions from shareholder companies.
  • Wrote and presented reports outlining findings and recommendations from compliance audits.
  • Enhanced regulatory, strategic and operational performance to keep in alignment with deadlines.
  • Prepared training programs to improve compliance at all levels.
  • Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
  • Enhanced accountability and responsibility for compliance by allocating tasks such as assessments, mitigation, monitoring and auditing.
  • Reviewed company forms, marketing materials and communication procedures for compliance with applicable laws and guidelines.

AML Analyst

Citibank
Tampa, FL
07.2016 - 11.2018


  • Interacted with law enforcement agencies, regulators and financial institutions to coordinate investigations related to fraudulent activities.
  • Documented research findings to support risk-based decision-making and resolution to escalated fraud incidents.
  • Identified threats, vulnerabilities and suspicious behavior patterns to recommend mitigation measures.
  • Investigated fraud referrals and performed research to minimize risk and resolve inquiries.
  • Investigated activities of institutions to enforce laws and regulations, assessing legality of transactions and operations or financial solvency.
  • Diligently performed analytical reviews of accounts that poised money laundering, terrorist financing, or other specified AML concern and risk. Conducted enhance due diligence investigations in support of policies and procedures.
  • Executed alerted investigations using global standard policies/OFAC/Sanctions, procedures, and tools, aimed at meeting internal and external regulatory requirements.

Night Manager

Amscot Financial
Tampa, FL
05.2002 - 08.2016
  • Guided and motivated night team by establishing and communicating responsibilities and duties to each team member.
  • Prepared nightly deposits by accurately counting cash, filling out deposit slips, and securing deposit in vault.
  • Restocked inventory on shelves by unpacking backroom boxes and filling empty space on shelves with appropriate items.
  • Reviewed audits and reconciled nightly sales transactions by balancing cash registers and reporting discrepancies.
  • Maintained positive customer relations by addressing problems head-on and implementing successful corrective actions.
  • Entrusted with completing compliance audits/risk assessment while maintaining productivity levels. Nightly completion of SAR, CTR, MIL, and counterfeit item processing.

Education

Bachelor of Arts - Communication Studies

University of South Florida
Tampa, FL
05.2019

Skills

  • Regulatory and Compliance Understanding
  • Critical Thinking
  • Fraud Investigations
  • Time Management
  • Legal Compliance
  • AML Software
  • Writing
  • Compliance Reporting

Certification

  • Credit Union Compliance Expert CUCE, Grow Financial FCU - April 2021
  • Certified Regulatory Vendor Program Manager CRVPM, CUNA - July 2023

Timeline

Compliance Officer

Grow Financial FCU
05.2019 - Current

AML Analyst

Citibank
07.2016 - 11.2018

Night Manager

Amscot Financial
05.2002 - 08.2016

Bachelor of Arts - Communication Studies

University of South Florida

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Dominique Dearing