Jackie Miller
Helena
Summary
Versatile Compliance and Risk Management professional with a strong focus on regulatory adherence and operational risk management. Expertise includes overseeing compliance in financial services, implementing privacy law protocols, and executing risk control processes. Proven ability to collaborate cross-functionally to uphold quality standards and mitigate legal risks.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Complex Claims Attorney
Epiq Global
Beaverton
11.2025 - Current
- Handle product liability class action and mass tort matters in a high-volume legal environment, supporting accurate claim review, issue spotting, and compliance with client and project requirements while maintaining a 99% quality rating.
- Reviewed claim documents for completeness and accuracy, ensuring consistent case handling and adherence to quality standards.
- Prepared timely written responses to claimant and counsel inquiries, facilitating clear communication and disciplined workflow.
- Collaborated with project directors, managers, and coordinators to align case processing with project requirements and compliance expectations.
Document Review Attorney
Consillo Services
10.2024 - 11.2025
- Conduct comprehensive first-level and second-level reviews of electronically stored information (ESI) for large-scale complex civil and class action litigation including assessment of documents for responsiveness, relevance, privilege, confidentiality, and legal compliance.
- Perform privilege reviews, identifying and tagging documents protected by attorney-client privilege or work product doctrine.
- Identified and protected sensitive information, including PII, PHI, and proprietary data, in alignment with legal standards to uphold confidentiality and legal compliance.
- Applied redactions per project protocols, ensuring compliance with court orders, protective agreements, and discovery rules to mitigate legal risks.
- Collaborated with project managers, review leads, and co-reviewers to maintain consistency and accuracy while meeting project deadlines and quality standards.
Compliance Administrator
Regions Bank
Birmingham
03.2017 - 03.2023
- Provided direct legal oversight and accountability for regulatory findings and remediation plans, ensuring timely resolution and regulatory compliance across Wealth Management operations.
- Monitored and enforced compliance with Regulation 13G requirements for Trust accounts, including periodic reporting and documentation.
- Conducted ongoing compliance reviews under Regulation O, Regulation W, and Regulation R, focusing on insider lending, affiliate transactions, and fiduciary responsibility within Wealth Management.
- Acted as the Corporate Privacy Liaison for all Wealth Management divisions, ensuring adherence to internal and external data privacy and information security standards.
- Led compliance efforts for Trust Account monitoring in line with Money Market Reform Act mandates, validating investment eligibility and account structure.
- Acted as Risk Control Owner for Wealth Management Trust and Private Wealth Banking, implementing and maintaining effective risk and control processes.
- Reviewed ERISA accounts to confirm 12b-1 fee rebates were correctly credited back to qualified retirement plan clients.
- Conducted quarterly reviews of Internal Associate Securities Transaction Reports to ensure compliance with internal policies and federal securities regulations.
- Collaborated with business partners across Regions Bank to ensure compliance alignment with business objectives.
- Maintained audit and oversight activities for key functions, including Trust Trading Authority, Private Wealth Banking Medallion Stamp Review, fiduciary project assessments, and quarterly and annual risk reviews, ensuring compliance and risk management.
- Evaluated training effectiveness and performance of Financial Advisors, drafting assessment reports and providing feedback to leadership for continuous improvement.
- Collaborated with executive management and directors on compliance initiatives and risk mitigation, enhancing alignment with regulatory standards and business objectives.
- Reviewed and approved advertising and marketing materials for compliance with regulatory standards, safeguarding brand integrity and mitigating legal risks.
- Provided final review and sign-off for content posted on internal and external websites related to Wealth Management and Private Banking services.
- Acted as Wealth Management Liaison for corporate BSA/AML initiatives.
Compliance Officer
ProEquities, Inc.
Birmingham
04.2014 - 03.2017
- Ensured brokerage and retirement-plan compliance with FINRA, SEC, ERISA, and DOL regulations.
- Built SOPs for brokerage and retirement plan operations to align with FINRA, SEC, ERISA, and DOL requirements.
- Led compliance training programs and maintained qualified retirement plan databases to support consistent regulatory adherence.
- Monitored high-risk transactions and BSA/AML alerts, collaborating with Legal to escalate issues and implement remediation strategies.
- Performed risk analysis and surveillance by tracking investor transactions and reviewing monthly risk-based reports for BSA/AML compliance.
Education
Master of Laws (LL.M.) - Risk Management
Texas A&M University School of Law
Fort Worth, Texas04-2023
Skills
- Regulatory compliance
- Privacy Law & Compliance
- Consumer Protection & Fair Lending Practices
- BSA/AML compliance
- Audit Management & Remediation
- Regulatory Audits and Inspections
- Compliance and risk leadership
- Regulatory and Risk Oversight
- Operational risk management
- Data Privacy and Compliance Reporting
- Surveillance Monitoring/Testing
- Project Management
- Policy development and training
- Cross-Functional Collaboration & Leadership
- High-performance leadership
- Banking & Financial Institution Partnerships
- Document Retention Adherence
Certification
- Series 7, FINRA
- Series 24, FINRA
- Series 66, FINRA
- CRPS, College for Financial Planning
- ASB-9284-J71M, Alabama State Bar
Accomplishments
- Acted as Project Lead in collaboration with IT to streamline digital infrastructure: Designed and implemented a consolidated shared drive system for Wealth Management business units. Defined user access roles, established risk controls, and completed a document retention and cleanup project across numerous legacy systems.
- M&A Compliance and Regulation: Led M&A compliance alignment with Wealth Management protocols.
- Data Infrastructure Optimization: Reduced redundant data by 40% through consolidated access controls.
- OBA Compliance Redesign: Lowered compliance breaches by 20% through updated oversight.
- Coordinated pandemic response and remote-work compliance across 14 states to support business continuity and regulatory alignment.
- Co-led the redesign of the fund-review system, reducing review time by 85% and improving operational efficiency.
- Led the review and reconciliation of over 210,000 mutual fund transactions to identify and validate investor refunds tied to Breakpoint Sales violations; uncovered and corrected disbursement discrepancies resulting in $57,000 in financial savings for the firm.
- Partnered with IT to automate backend mutual fund trade reviews, reducing time and errors previously associated with manual account reconciliation and reporting.
- Streamlined mutual fund trade reviews, reducing processing time from two weeks to three days through process redesign and automation.
- Achieved a significant reduction in exception rates from 12% to 3% by identifying root causes, applying targeted compliance strategies, and reinforcing adherence to regulatory standards.
Timeline
Complex Claims Attorney
Epiq Global
11.2025 - Current
Document Review Attorney
Consillo Services
10.2024 - 11.2025
Compliance Administrator
Regions Bank
03.2017 - 03.2023
Compliance Officer
ProEquities, Inc.
04.2014 - 03.2017
Master of Laws (LL.M.) - Risk Management
Texas A&M University School of Law