Jason Moore
Waterville,OH
Summary
Detail-oriented Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven, take a quality-focused and proactive approach to work. With over 20 years of experience in brokerage and advisory compliance, I bring a wealth of knowledge and expertise to ensure regulatory compliance and mitigate risks effectively.
Overview
18
18
years of professional experience
Work History
General Manager
Marcos Pizza
03.2024 - Current
- Prepared detailed reports on renewal activities, analyzing trends for insights into improving departmental processes or strategies.
- Streamlined renewal process with improved communication and collaboration across departments.
- Implemented strategies to reduce churn rates among existing customers by proactively addressing attrition risks.
- Continuously self-motivated, seeking opportunities for professional development and skill enhancement within the field of renewal management.
- Maximized efficiency by coaching and mentoring a staff of 20 personnel on management principles, industry practices, company procedures, and technology systems.
- Developed and executed comprehensive employee training program, elevating staff skills and improving service delivery.
Senior Compliance Officer
Optivise Advisory Services, LLC
04.2016 - 12.2023
- Developed and implemented control policies to mitigate risks while enhancing compliance with regulatory agencies
- Compiled data from internal sources to identify areas of weakness requiring immediate compliance remediation
- Organized and led compliance meetings with management staff and stakeholders to discuss emerging risks
- Reviewed corporate policies and initiated new processes to improve objectives
- Facilitated business continuity, negotiating contracts and agreements with partners
- Executed policies and mandates to achieve organizational goals and objectives.
- Served as an internal subject matter expert on all aspects of industry-specific compliance requirements, acting as a trusted resource for colleagues seeking advice or clarification on complex issues.
Chief Compliance Officer
Virtue Capital Management
04.2014 - 04.2016
- Compiled data from internal sources to identify areas of weakness requiring immediate compliance remediation
- Organized and led compliance meetings with management staff and stakeholders to discuss emerging risks.
- Enhanced regulatory compliance by developing and implementing comprehensive policies and procedures.
- Mentored junior staff members by offering insights into complex compliance-related problems while promoting professional development opportunities.
Compliance Officer
LPL Financial
04.2006 - 04.2014
- Organized and led compliance meetings with management staff and stakeholders to discuss emerging risks
- Developed and implemented control policies to mitigate risks while enhancing compliance with regulatory agencies
- Compiled data from internal sources to identify areas of weakness requiring immediate compliance remediation.
Education
Bachelor of Science in (B.S.) - Criminal Justice -
North Georgia College and State University
Dahlonega, GA05.1999
Skills
- Auditing Processes
- Internal Controls
- Risk Management
- Project Coordination
- Stakeholder Meetings
- Internal Audits
- Regulations Enforcement
- Operations Management
- Strategic Planning
- Leadership
- Conflict management
- Team management
- Project management
- Budgeting
- Analysis skills
- Supervising experience
- Financial acumen
- Presentation skills
- Negotiation
- Relationship management
- Profit & loss
- Root cause analysis
- Business development
- Forecasting
- Customer relationship management
- Mentoring
- Customer service
- Continuous improvement
- Sales management
- Account management
- Human resources
- Data analysis skills
- Data collection
- Marketing
- Analytics
- Sales
- Research
- Recruiting
- Business continuity planning
- Program design
- Risk management
- Store management
- Project management software
- Technical writing
- Accounting
- Financial services
- Interviewing
- Training & development
- Operations management
- Product management
- CRM software
- Office management
- Financial auditing
- Wills, trusts, & estate law
- Wealth management
- Tax experience
- Investment management
- Communication skills
- Microsoft Excel
- Pivot tables
- QuickBooks
- SharePoint
- Leadership and team building
- Problem Resolution
Accomplishments
Served as a US Army Ranger retired sergeant (E5) AFCOM JSOC. Received a Silver Star, two Purple Hearts, an Air Medal with Valor, an Army Achievement Medal, and a Good Conduct Medal.
Successfully designed and implemented multiple missions.
Managed and trained 8 combat military personnel, developing and executing detailed team and objective SOPs under sometimes stressful conditions
Timeline
General Manager
Marcos Pizza
03.2024 - Current
Senior Compliance Officer
Optivise Advisory Services, LLC
04.2016 - 12.2023
Chief Compliance Officer
Virtue Capital Management
04.2014 - 04.2016
Compliance Officer
LPL Financial
04.2006 - 04.2014
Bachelor of Science in (B.S.) - Criminal Justice -
North Georgia College and State University
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