Halie Smith
The Wealth Consulting Group
WICHITA,KS
1
Certification
8
years of professional experience
Results-driven compliance specialist with a strong focus on compliance monitoring, internal auditing, and policy development. Proven ability to enhance compliance processes and mitigate risks effectively.
Work History
Compliance Specialist
9 Months- Conducted thorough reviews of documents to ensure adherence to financial regulations.
- Assisted in monitoring compliance with regulatory requirements and internal policies.
- Collaborated with teams to identify potential compliance risks and recommend solutions.
- Supported development and implementation of compliance training programs for staff.
- Documented compliance findings and maintained accurate records for audits.
- Maintained up-to-date knowledge of industry regulations and best practices.
- Participated in internal audits to evaluate compliance processes and enhance efficiency.
- Provided administrative support to the compliance team, ensuring timely communication of updates.
- Implemented robust record-keeping systems that ensured accurate documentation was maintained according to regulatory requirements at all times.
- Assisted in the preparation of regular reports for senior management, detailing compliance activities and progress towards established goals.
Compliance Officer
3 Years 7 Months- Conducted regular audits to identify compliance gaps and recommend corrective actions.
- Developed and implemented compliance policies to ensure regulatory adherence across all departments.
- Facilitated training sessions for staff on compliance protocols and best practices.
- Collaborated with cross-functional teams to streamline compliance processes and enhance efficiency.
- Monitored regulatory changes and updated internal policies accordingly to maintain compliance standards.
- Prepared detailed reports on compliance status for management review and decision-making purposes.
- Investigated potential compliance violations, documenting findings and proposing solutions for resolution.
- Established strong relationships with regulatory bodies to foster open communication and collaboration on compliance issues.
- 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.
- Enhanced regulatory compliance by developing and implementing comprehensive policies and procedures.
- Evaluated new regulations for potential impact on business operations, taking proactive measures to ensure readiness for implementation.
- Reduced the risk of financial penalties by conducting thorough internal audits on a regular basis.
- Demonstrated adaptability in response to evolving industry standards, maintaining best practices in a dynamic regulatory environment.
- Provided expert guidance on complex regulatory matters, enabling informed decision-making within the organization.
- Spearheaded investigations into potential violations, promptly addressing issues to maintain company reputation and avoid sanctions.
- Streamlined reporting processes for improved efficiency in submitting data to regulatory agencies.
Chief Compliance Officer
4 Years 5 Months- Developed and implemented compliance programs to ensure adherence to regulatory requirements.
- Led cross-functional teams in conducting risk assessments and audits for operational integrity.
- Established policies and procedures to mitigate compliance risks across business operations.
- Monitored changes in legislation, adapting corporate guidelines accordingly to maintain compliance.
- Provided training sessions for staff on compliance protocols and ethical standards to enhance awareness.
- Collaborated with executive leadership to align compliance strategies with organizational goals and objectives.
- Analyzed compliance data and reports, identifying trends and areas for improvement in processes.
- Fostered relationships with regulatory agencies, ensuring transparent communication regarding compliance issues.
- Implemented robust monitoring systems to identify areas of concern and ensure timely resolution of identified issues.
- Reduced potential legal exposure by conducting thorough investigations into alleged misconduct and recommending appropriate corrective actions.
- Collaborated with legal counsel on matters related to enforcement actions, litigation, or settlement negotiations, protecting company interests.
- Managed a high-performing team of compliance professionals, setting clear expectations and providing ongoing support for career growth.
- Provided expert guidance on complex compliance issues, enabling informed decision-making at the executive level.
- Conducted performance reviews against key metrics to evaluate the effectiveness of the compliance program and identify any areas requiring attention.
- Led successful audits and examinations, demonstrating the company's commitment to transparency and accountability.
- Streamlined internal processes for increased efficiency in risk management and regulatory reporting.
- Advised senior leadership on strategic initiatives from a compliance perspective, ensuring alignment with organizational values and objectives.
- Established effective communication channels between functional departments to facilitate information sharing related to regulatory requirements and best practices.
- Leveraged data analytics tools for improved trend identification and risk assessment capabilities within the compliance program.
- Developed customized training programs to educate employees on essential compliance topics, promoting ethical behavior across the organization.
- Consistently updated knowledge of relevant laws, regulations, standards to ensure continuous alignment with current guidelines.
- Implemented a culture of continuous improvement within the compliance department by regularly reviewing processes, policies, and systems for potential enhancements.
- Ensured timely completion of all regulatory filings, maintaining a strong reputation with governing bodies.
- Established and maintained strong relationships with customers, vendors and strategic partners.
- Evaluated emerging risks in the industry to proactively address potential challenges and maintain business continuity.
Education
Master of Science - Business Administration
Skills
Regulatory monitoring
Compliance monitoring
Regulatory oversight
Compliance reporting
Compliance training
Internal auditing
Auditing processes
Anti-money laundering
Policy development
Training delivery
Project management
Reporting management systems
Audit processes
Ethics management
Financial regulations
Compliance documentation
Certification
- S24, S7, S63, S65
- AIF
- Investment Advisor Certified Investment Professional (IACCP)
- Health & Life Insurance License
Timeline
Compliance Specialist
The Wealth Consulting Group
07.2023 - 04.2024Read More
Compliance Officer
V Wealth
09.2020 - 04.2024Read More
Chief Compliance Officer
IMA Wealth, Inc.
02.2016 - 07.2020Read More
Wichita State University
Master of Science from Business Administration
Read More