John Turner-Bloss
Huntsville,TX
Summary
Seasoned Director of Compliance with deep understanding of regulatory requirements and compliance issues. Experience overseeing corporate compliance programs, managing staff, and implementing compliance strategies effectively. Strengths include strong leadership abilities, sound judgement, decisive action in risk management situations, exceptional interpersonal skills and an unwavering commitment to organizational ethics. Past roles have seen significant improvements in operational efficiency and adherence to industry standards through strategic planning and policy development efforts.
Overview
16
16
years of professional experience
Work History
Director of Compliance
Flex Revolution LLC
Boca Raton , Florida
2022.12 - 2024.07
- Developed and implemented strategies to ensure compliance with applicable laws and regulations.
- Provided guidance to management on compliance-related issues or concerns.
- Investigated complaints concerning non-compliance with established rules and regulations.
- Participated in meetings with senior management regarding new initiatives that may have an effect on corporate compliance obligations.
- Assisted in preparing responses to inquiries from regulators relating to ongoing investigations.
- Drafted new policies and procedures designed to prevent future non-compliances.
- Monitored internal activities to identify any compliance related issues or violations.
- Collaborated with external auditors during annual financial statement audits.
- Developed training materials for employees regarding legal requirements related to job duties.
- Created reports summarizing findings from investigations into compliance violations.
- Identified and evaluated compliance risks associated with operations, policies, procedures and regulations.
- Reviewed contracts, documents, products and services for potential legal risks or liabilities.
- Maintained accurate records of all compliance activities including audits, investigations and corrective actions taken when needed.
- Conducted periodic reviews of existing processes for effectiveness, accuracy and completeness in meeting regulatory requirements.
- Assessed potential regulatory changes to determine their impact on the organization's current practices.
- Provided recommendations on ways to improve existing systems or processes related to compliance matters.
- Liaised with government agencies such as the SEC or FTC when necessary.
- Ensured company's adherence to all relevant federal, state and local laws as well as industry standards.
Director of Compliance
Revolution Financial Inc.
Hurst , TX
2019.03 - 2022.12
- Developed and implemented strategies to ensure compliance with applicable laws and regulations.
- Provided guidance to management on compliance-related issues or concerns.
- Investigated complaints concerning non-compliance with established rules and regulations.
- Participated in meetings with senior management regarding new initiatives that may have an effect on corporate compliance obligations.
- Liaised with government agencies such as the SEC or FTC when necessary.
- Assisted in preparing responses to inquiries from regulators relating to ongoing investigations.
- Drafted new policies and procedures designed to prevent future non-compliances.
- Monitored internal activities to identify any compliance related issues or violations.
- Developed training materials for employees regarding legal requirements related to job duties.
- Created reports summarizing findings from investigations into compliance violations.
- Identified and evaluated compliance risks associated with operations, policies, procedures and regulations.
- Reviewed contracts, documents, products and services for potential legal risks or liabilities.
- Maintained accurate records of all compliance activities including audits, investigations and corrective actions taken when needed.
- Conducted periodic reviews of existing processes for effectiveness, accuracy and completeness in meeting regulatory requirements.
- Managed a team responsible for ensuring that all areas are compliant with applicable laws.
- Assessed potential regulatory changes to determine their impact on the organization's current practices.
- Provided recommendations on ways to improve existing systems or processes related to compliance matters.
- Maintained compliance frameworks, policies and documentation to support audits.
- Monitored compliance risk controls to identify deviations and offer recommendations.
- Analyzed data to provide insights and recommendations for mitigating conduct risk.
- Stayed abreast of applicable laws and state or federal regulation to report violations.
- Developed systems to track and monitor compliance with regulatory requirements and internal policies.
- Established working relationships with regulatory agencies.
- Participated in networking and learning opportunities to remain current with evidenced-based practices.
- Liaised between regulatory agencies and internal departments to facilitate regulatory and related matters.
Chief Compliance Officer/ Director of Licensing
Infinity Loans
Dallas , TX
2008.07 - 2019.03
- Filed all licensing applications and renewals in paper and NMLS formats.
- Researched individual state licensing requirements for multiple financial services and loan products.
- Monitored changes in relevant legislation and advised management on required actions.
- Conducted internal investigations into possible violations of rules or policies and reported findings to senior management.
- Maintained records of all complaints received from customers or other stakeholders related to legal or policy violations.
- Evaluated vendors' contractual agreements for legal risks prior to entering into contracts with them.
- Reviewed existing procedures for accuracy and completeness as well as identified opportunities for improvement.
- Assisted in developing strategies for mitigating risks associated with non-compliance activities.
- Provided guidance on legal compliance matters, including corporate governance, anti-corruption and bribery laws, data privacy regulations, consumer protection laws.
- Collaborated with departments across the company to ensure that new products, services, or initiatives comply with all applicable laws and regulations.
- Acted as a liaison between the organization and outside agencies such as government regulators or law enforcement entities when needed.
- Created training programs for employees to increase awareness of legal requirements related to their roles within the organization.
- Coordinated with external auditors regarding regulatory requirements.
- Responded promptly to inquiries from regulatory bodies pertaining to any aspect of the organization's compliance program.
Education
High School Diploma -
Conroe High School
Conroe, TX1990-05
Skills
- Legal Research
- Quality controls
- Hazard analysis
- Audit Coordination
- Compliance Monitoring
- Internal Controls
- Risk Management
- Internal Audits
- Controls evaluations
- Compliance reviews
- Trend Monitoring
- Regulatory knowledge
Affiliations
- Fishing
- Singing
- Taking my daughter on new adventures.
Timeline
Director of Compliance
Flex Revolution LLC
2022.12 - 2024.07
Director of Compliance
Revolution Financial Inc.
2019.03 - 2022.12
Chief Compliance Officer/ Director of Licensing
Infinity Loans
2008.07 - 2019.03
High School Diploma -
Conroe High School
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