Mary Hortman
Summary
Proficient in compliance regulations, standards and best practices. Analytical and detail-oriented professional focused on making sure products meet all relevant domestic and international regulatory requirements. Methodical and objective with good judgment and sound critical thinking and problem-solving abilities.
Overview
7
7
years of professional experience
Work History
Information Security Compliance Specialist-Remote
Information Security Compliance Specialist-Remote
ADT
11.2022 - Current
- Performs South Regional security assessments.
- Ensure that information security awareness, compliance to security policies and security tasks are initiated, and occur as planned for my areas of duty.
- Maintain a 98% vulnerability compliance rate for the south region.
- Increased vulnerability compliance from 84% to 98% within a year.
- Implement company policies, technical procedures and standards for preserving the integrity and security of data, reports and access.
- Collaborates with management on risk acceptances needed for remedying past, present and foreseeable compliance issues.
Compliance Associate- Remote
Flex Up Direct
11.2021 - 11.2022
- Served as a subject matter expert on compliance-related topics, providing guidance to colleagues and stakeholders as needed.
- Maintained up-to-date HR knowledge of regulatory changes, informing management of any potential impacts on company operations.
- Collaborated with cross-functional teams to ensure timely resolution of compliance issues and promote adherence to industry standards.
- Reduced potential legal exposure by identifying areas of non-compliance and recommending corrective actions.
- Ensured that a company's policies and procedures comply with local, state, and federal labor and employment laws and regulations.
- Managed compliance risk in areas such as hiring, compensation, benefits, working hours, leaves, safety, discrimination prevention, and termination procedures.
Regulatory Compliance Specialist- Remote
Cross Country Mortgage
10.2019 - 11.2021
- Implemented knowledge base of federal regulations including but not limited to HMDA, TILA, RESPA, TRID, AML/BSA
- Executed robust record-keeping systems to ensure accurate tracking and easy retrieval of compliance-related information during inspections or audits.
- Provided guidance on corrective action plans following internal or external audit findings to remediate identified issues promptly effectively.
- Reduced non-compliance risks with proactive monitoring of changes in relevant legislation or industry standards affecting the organization''s operations.
- Performed root-cause analysis to provide feedback for TRID Operations Manager to partner with appropriate line of business to aid in reducing and eliminate bank monetary risk
- Performed reviews on high-risk applicants, using customer risk scoring models in accordance with department process and procedures
- Prepared reports, metrics and research to support fraud initiatives and projects.
- Reviewed loan documents such as loan estimates, contracts, appraisals to ensure accurate tolerance limits per regulatory and compliance guidelines.
- SARs proficient, prepared and submitted Suspicious Activity Reports
OFAC Compliance Specialist-Onsite
UPS
03.2017 - 09.2020
- Reviewing and disposition all high risk transactions for consumer accounts.
- Analyze client's profile and transaction activities to determine the proper and final decision of the customer's account in accordance with various policies and KYC regulations, federal, state and local law requirements.
- Anti-Money Laundering (AML) know your Customer (KYC) Due diligence tickets submitted to ensure sound decision making and risk assessment
- Managed SAR filings as required and documentation of potential SARs not filed
- Maintain OFAC and sanctions screening procedures and desktop procedures
- Review of all compliance to identify risks associated and escalate to the appropriate AML/compliance team.
Education
Business Management- Informational Technology
Colorado Technical University
Colorado Springs, CO05.2018
Skills
- Transaction Risk Analysis
- AML/BSA
- Compliance Monitoring
- Audit management
- Policy analysis
- Sanctions/ OFAC
- Regulatory Compliance
- OSHA compliance
- Fair lending, REG E, Z, EMEA,TCPA
- AI implementation
Timeline
Information Security Compliance Specialist-Remote
ADT
11.2022 - Current
Compliance Associate- Remote
Flex Up Direct
11.2021 - 11.2022
Regulatory Compliance Specialist- Remote
Cross Country Mortgage
10.2019 - 11.2021
OFAC Compliance Specialist-Onsite
UPS
03.2017 - 09.2020
Information Security Compliance Specialist-Remote
Business Management- Informational Technology
Colorado Technical University