ELIAS Z CHAVEZ
Tucson,AZ
Summary
Systematic and meticulous Analyst familiar with tracking, documentation, and reporting requirements. Assesses work, materials and procedures and recommends adjustments to maintain compliance. Over 15 years of financial experience and motivated, energetic mindset. Seasoned Analyst with eight years of experience working collaboratively with executives and staff to optimize adherence to policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations, process improvement recommendations and adherence for best practices in corporate administration, compliance, capital markets and retail banking.
Overview
18
18
years of professional experience
Work History
Compliance Team Lead
Guglielmo & Associates PLLC
Tucson, AZ
10.2023 - Current
- Spearheaded efforts to embed compliance awareness throughout the organization by developing engaging educational materials and resources.
- Collaborated with cross-functional teams to develop effective policies and procedures, promoting a strong culture of compliance.
- Oversaw the implementation of corrective action plans following audit findings, ensuring timely remediation of identified deficiencies.
- Streamlined regulatory reporting processes for improved accuracy and timely submissions.
Senior Compliance Analyst
NOVA Financial & Investment Corporation
Tucson, Arizona
06.2014 - 08.2022
- Developed and implemented internal control tests to verify employee compliance with established policies and procedures.
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans and executive summaries.
- Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
- Gathered, organized and evaluated data to make accurate assessments of current operations.
- Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
- Promoted from Product Development Analyst and Lock Desk Pricing Analyst within Capital Markets.
Senior Personal Banker
National Bank of Arizona, Zions Bancorporation
Tucson, Arizona
11.2010 - 11.2013
- Supported management team and Bank Administration to detect, deter and prevent controllable branch losses
- Balanced cash drawers and vault accounts on daily basis with zero discrepancies
- Established new accounts for high-net-worth individuals and serviced existing accounts to maximize revenue
- Conducted detailed financial reviews for business clients to sell appropriate products to fit client’s needs, including Treasury Management Services and Commercial Loans.
Loss Mitigation Specialist
Citi Bank
Tucson, Arizona
01.2010 - 11.2010
- Prioritized, organized and completed special projects for the Homeowners Assistance Team (HAT)
- Evaluated pay stubs, credit history, tax information and bank statements for financial status to determine loan modification assistance
- Pre-analyzed credit, income, compliance, title documents and appraisals in preparation for the underwriting process and help customers navigate options to maintain homeownership
- Remained updated with latest information related to mortgage products and services being offered through HARP.
Business Development Banker
US Bank
Tucson, Arizona
04.2007 - 02.2009
- Received Pinnacle & The Kokopelli Club Awards for top scores in bank loyalty and top sales performer.
- Communicated strategic objectives effectively with team to exceed bank sales expectations as US Bank entered new territory.
- Coordinated innovative strategies to accomplish marketing objectives and boost long-term profitability through ancillary consumer banking financial products.
- Streamlined operations by delivering recommendations for knowledge-based processes and procedures.
Education
Bachelor of Science - Management
07.2021
Skills
- Teamwork and collaboration
- Problem-solving
- Time management
- Multitasking Abilities
- Reliability
Timeline
Compliance Team Lead - Guglielmo & Associates PLLC
10.2023 - Current
Senior Compliance Analyst - NOVA Financial & Investment Corporation
06.2014 - 08.2022
Senior Personal Banker - National Bank of Arizona, Zions Bancorporation
11.2010 - 11.2013
Loss Mitigation Specialist - Citi Bank
01.2010 - 11.2010
Business Development Banker - US Bank
04.2007 - 02.2009
University of Phoenix - Bachelor of Science, Management