Kimberly Swackhammer

Overall responsibility of Operational and Compliance activities ensuring compliance with consumer product fulfillment.

• Clarified roles, responsibilities and expectations of staff.
• Developed and implemented new strategies and policies to establish long-term business objectives and provide strong and sustainable organizational leadership.
• Managed financial, operational and human resources to optimize business performance.
• Established performance goals for department and outlined processes for achievement.
• Transformed customer experience by designing and executing comprehensive service improvement initiatives aimed at enhancing satisfaction levels.

Oversight of State Filings, Licensing, Market Conduct, Regulatory Complaints, Entity Registrations and Compliance Implementation teams.

• Evaluated product development strategies and prepared alternative approaches to goal achievement.
• Ensured regulatory compliance at all times by implementing robust internal controls systems coupled with proactive monitoring mechanisms.
• Created succession plans to provide continuity of operations during leadership transitions.
• Identified opportunities to improve business process flows and productivity.
• Aligned organizational objectives with company mission to increase business growth and integrate work strategies.

Responsible for Corporate Compliance Training, Code of Ethics, OFAC, Anti-Money Laundering and Records and Information Management programs.

• Identified and resolved issues between employees, promoting better collaboration and mutual respect.
• Collaborated with legal, accounting and other professional teams to review and maintain compliance with regulations.
• Leveraged technology to automate workflows and streamline processes, resulting in increased productivity and cost savings across the organization.
• Directed technological improvements, reducing waste and business bottlenecks.
• Ensured regulatory compliance at all times by implementing robust internal controls systems coupled with proactive monitoring mechanisms.
• Established a culture of continuous improvement, fostering innovation and driving sustainable growth across the organization.