Kristin Prell
Valley Village,CA
Summary
Self-motivated and driven Compliance Analyst dedicated to maximizing company compliance with applicable laws and standards. Hardworking and driven with quality-focused and proactive approach. Bringing 18 years of compliance experience, with 7 years solely in the consumer financial services industry.
Overview
19
19
years of professional experience
Work History
Senior Compliance Analyst
United Auto Credit
11.2021 - Current
- Maintain updates of emerging compliance regulations and assigned tasks accordingly.
- Assist with internal and external audits to ensure compliance with applicable laws and regulations.
- Complete annual risk assessments to establish the internal annual audit schedule for the Compliance Department.
- Develop new and updated existing internal audit templates.
- Complete monthly internal audits.
- Identify gaps in existing compliance processes and recommended updates.
- Collaborate with multiple departments and business units to address and remediate internal audit findings.
Senior Compliance Specialist
Wheels Financial
08.2017 - 11.2021
- Regularly reviewed and updated policies and procedures relative to regulatory changes.
- Conducted ongoing review and compliance with applicable state regulatory requirements (e.g. licensing renewals, state corporate compliance).
- Identified gaps in existing compliance processes and recommended updates.
- Performed compliance/regulatory-related research as requested.
- Investigated and resolved consumer complaints received directly or through regulatory agencies (DFPI, AG, BBB, CFPB, etc.).
- Conducted internal audits to assess controls, operational efficiencies and compliance with selected policies, procedures and regulations.
- Conducted vendor due diligence for the onboarding of prospective vendors and the ongoing due diligence of current vendors.
- Reviewed, responded to, and updated (if necessary) credit disputes that consumers sent to the credit reporting agencies.
Manager
Intuit/My Corporation Business Services
05.2005 - 08.2017
- Managed and mentored a team of 5-7 employees to be productive and engaged in work.
- Created and streamlined productivity systems in the Processing Department, resulting in a 28% improvement in productivity.
- Controlled costs to keep business operating within budget and increase profits.
- Defined clear targets and objectives and communicated to other team members.
- Researched, created, implemented and trained staff on new product offerings, resulting in a 10% increase in sales for the company.
- Research each state's laws regularly to ensure all documents utilized company-wide were in compliance with the respective states.
- Research statute updates across all statues and identified and implemented required changes.
- Created and updated Standard Operating Procedure Manuals to assist in training new employees and provide continuing training for current employees.
Education
MBA -
Grand Canyon University
Phoenix, AZ2019
Lean Six Sigma
University of Southern California
Los Angeles, CA2016
Skills
- Internal Controls
- Risk Assessment
- Auditing Processes
- Compliance and Regulatory Reviews
- Microsoft Office Proficient
- Policy Analysis
- Compliance Training
Timeline
Senior Compliance Analyst
United Auto Credit
11.2021 - Current
Senior Compliance Specialist
Wheels Financial
08.2017 - 11.2021
Manager
Intuit/My Corporation Business Services
05.2005 - 08.2017
MBA -
Grand Canyon University
Lean Six Sigma
University of Southern California
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