Lisa Johnson
Akron
Summary
Senior Compliance Analyst with 27 years of experience in the retirement plan industry, currently seeking to continue my career in a challenging and dynamic environment.
Overview
27
27
years of professional experience
Work History
Senior Compliance Analyst
Charles Schwab & Co
Richfield, OH
01.1997 - 01.2024
- Enhanced regulatory compliance by developing and implementing comprehensive policies and procedures.
- Developed customized training programs for staff members
- Collaborated with cross-functional teams to ensure consistent application of compliance standards across all business units.
- Responded to employee inquiries regarding compliance regulations and procedures.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Prepared and submitted regulatory filings in timely manner.
- Prepared detailed reports on investigative findings, presenting recommendations for corrective action to senior leadership.
- Established strong working relationships with regulators, fostering a positive image for the company within the industry.
- Identified, investigated and documented compliance violations and recommended corrective measures.
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Streamlined internal audit processes for improved efficiency and risk mitigation.
- Processed payroll files for employee and employer contributions.
- Reconciled 401k daily value plans.
Education
Bachelor of Science - Accounting
University of Akron
Akron, OH05.1995
Skills
- More than 27 years of experience in reconciling DV Plans, compliance testing and 5500 forms for retirement plans
- QKA since 2002
- Able to calculate employer contributions
- Worked with software such as ASC and FT Williams
- Experienced in interpreting and understanding plan documents and Summary Plan Descriptions
- Excellent written and verbal skills
- Detail oriented with the ability to multi-task
- Team collaboration
- Process improvements
- Adaptability
- Auditing Processes
- Skilled in analyzing and evaluating options to make effective decisions
Timeline
Senior Compliance Analyst
Charles Schwab & Co
01.1997 - 01.2024
Bachelor of Science - Accounting
University of Akron