Jason Strockis
Grand Rapids,MI
Summary
Dynamic Compliance Manager with over 15 years of experience in compliance monitoring and risk assessment. Expertise in developing regulatory frameworks and leading comprehensive training initiatives to enhance organizational adherence. Committed to fostering a culture of compliance and continuous improvement.
Overview
28
28
years of professional experience
1
1
Certification
Work History
Compliance Manager
NPF Investment Advisors
06.2011 - 05.2026
- Developed compliance frameworks aligning with regulatory requirements and industry standards.
- Conducted thorough risk assessments to identify compliance gaps and recommend corrective actions.
- Led training sessions for staff on compliance policies, enhancing awareness and adherence across the organization.
- Prepared records and data for regular audits.
- Streamlined compliance processes by implementing efficient monitoring systems and tools.
- Analyzed regulatory changes, ensuring timely updates to company policies and practices to maintain compliance.
- Managed internal audits, evaluating processes for efficiency and identifying opportunities for improvements in compliance efforts.
- Fostered a culture of compliance through ongoing communication and support for employees at all levels.
- Managed compliance efforts, reporting and audits.
- Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
Assistant Vice President
Macatawa Bank
07.1998 - 06.2011
- Streamlined processes to improve workflow efficiency and reduce operational costs.
- Developed and implemented financial strategies to optimize profitability and growth.
- Increased efficiency by streamlining processes and implementing new software tools for the team.
- Implemented and developed operational standards, policies and procedures.
- Enhanced collaboration between team members by implementing innovative communication tools and fostering an open dialogue culture.
- Mentored and trained staff on compliance regulations and risk management practices.
- Oversaw project management efforts, ensuring alignment with organizational goals and deadlines.
Education
Bachelor of Science - Economics
Grand Valley State University
Allendale, MI05.1995
Bachelor of Arts - French
Grand Valley State University
Allendale, MI05.1995
Skills
- Compliance monitoring
- Problem-solving
- Internal audits
- Training and education
- Analytical problem solving
- Compliance documentation
- Risk assessment
- Regulatory examinations
- Analytical thinking
Certification
Investment Advisor Certified Compliance Professional
Timeline
Compliance Manager
NPF Investment Advisors
06.2011 - 05.2026
Assistant Vice President
Macatawa Bank
07.1998 - 06.2011
Bachelor of Science - Economics
Grand Valley State University
Bachelor of Arts - French
Grand Valley State University