John Ferguson
Fortville,IN
Summary
Proven Compliance Manager with expertise in compliance monitoring, training development, and internal audits. Focused on regulatory adherence and risk management to enhance operational efficiency and foster a culture of accountability.
Overview
26
26
years of professional experience
Work History
Compliance Manager
NPS LLC
Indianapolis, IN
07.2000 - Current
- Developed and implemented compliance programs to ensure adherence to regulations and internal policies.
- Conducted regular audits and assessments to identify compliance gaps and recommend corrective actions.
- Collaborated with cross-functional teams to establish best practices in risk management and regulatory adherence.
- Led training sessions for staff on compliance standards, fostering a culture of accountability and integrity.
- Analyzed regulatory changes and communicated impacts to relevant stakeholders for informed decision-making.
- Oversaw the preparation of compliance reports for senior management, highlighting key findings and recommendations.
- Managed relationships with regulatory bodies, ensuring timely responses to inquiries and compliance reviews.
- Enhanced existing compliance processes through continuous improvement initiatives, increasing operational efficiency.
- Managed compliance efforts, reporting and audits.
- Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
- Reduced risk exposure for the company by identifying and addressing areas of noncompliance.
- Prepared records and data for regular audits.
- Streamlined compliance processes by implementing efficient monitoring systems and tools.
- Consulted with clients on best practices and served as project manager for all process improvements and regulatory initiatives.
- Developed and delivered training programs to inform new and current employees about compliance issues.
- Collaborated with cross-functional teams to establish clear compliance guidelines and expectations for all departments.
- Supported the implementation of new regulations within the organization by developing strategic plans and action items for each department.
- Improved communication channels between departments by establishing regular meetings and reporting structures related to compliance matters.
- Enhanced overall business operations by continuously improving policies, procedures, and controls related to compliance requirements.
- Strengthened company-wide awareness of relevant laws, regulations, and industry standards through targeted trainings, presentations, and ongoing communication efforts.
- Evaluated customer complaints, processes, and all other aspects of operations to assess compliance.
- Evaluated third-party vendors'' adherence to applicable laws/regulations before engaging them as partners or service providers for the company''s projects.
- Developed comprehensive training programs for employees, fostering a culture of compliance throughout the organization.
- Collaborated with HR and IT to develop and implement code of business and ethics and anti-harassment policies and related personnel training.
- Played instrumental role in company-wide risk assessment efforts, supporting enhancements in business processes and controls.
- Achieved optimal results during external audits by diligently preparing documentation and providing evidence of strong internal controls.
- Delivered and tracked program training for associates and supervisors to safeguard continuing business relationships.
- Backed data security and information privacy efforts.
- Supported marketing team in review and submission of regulatory articles and newsletters.
Education
No Degree - Business
Imperial Valley College
Imperial, CA06-1979
Skills
- Compliance monitoring
- Training development
- Internal audits
- Training and education
Timeline
Compliance Manager
NPS LLC
07.2000 - Current
No Degree - Business
Imperial Valley College