Miguel Monterde
Lithonia,GA
Summary
Versatile Compliance Auditor with an understanding of operations in Compliance auditing industry. Proficient in reading, interpreting and implementing legal rules and regulations. Excellent multitasking and coordination abilities. Resourceful Compliance Auditor offering 4-years background conducting Banking Compliance audits and thoroughly reviewing records to verify compliance to state and federal regulations. Systematic and moral professional with expertise identifying and documenting internal strengths and weaknesses and developing recommendations and corrective action plans. Strong communicator possessing clear, concise writing skills and proficiency in word and excel.
Overview
4
4
years of professional experience
1
1
Certification
Work History
Compliance Auditor
Bank Compliance Services
02.2020 - Current
- Enhanced regulatory compliance by conducting thorough audits and identifying areas for improvement.
- Reduced financial risks through meticulous analysis of financial statements, internal controls, and operational procedures.
- Strengthened overall corporate governance with comprehensive audit findings and actionable recommendations.
- Collaborated with cross-functional teams to ensure timely implementation of corrective actions, mitigating potential compliance issues.
- Streamlined internal processes by identifying inefficiencies in the existing control systems and recommending improvements.
- Provided expert guidance on compliance requirements, ensuring informed decision-making across the organization.
- Developed robust risk assessment frameworks to systematically identify, evaluate, and prioritize organizational risks.
- Prepared working papers, reports and supporting documentation for audit findings.
- Collaborated with accounting manager to comply with governing bodies and limit regulatory risks.
- Analyzed all audit results and resolved all compliance issues.
- Participated in various training and development programs.
- Performed over 10 compliance audits per month.
- Championed a proactive approach to risk management by identifying emerging trends, potential threats, and areas of opportunity for strengthening organizational resilience.
- Evaluated the effectiveness of existing enterprise-wide risk management strategies in safeguarding organizational assets from potential threats or liabilities.
- Conducted regular follow-up audits to verify that previously identified issues were effectively resolved or mitigated.
- Maintained up-to-date knowledge of regulatory changes affecting the business landscape, proactively adapting audit strategies as needed.
- Delivered comprehensive training programs for employees on key compliance topics, fostering a sound understanding of relevant regulations and best practices.
Education
High School Diploma -
Georgia Cumberland Academy
Calhoun, GA05.1997
Skills
- Regulatory Knowledge
- Strong Computer Skills
- Excellent Risk Assessment Abilities
- Industry Expertise
- Understanding of Contracts
- Business Terms Interpretation
- Data Analytics
- Audit Planning
- Auditing Experience
- Decision making
- Attention to detail
- Software knowledge
- Fraud detection
- Report writing
- Risk assessment
- Risk Management
- Compliance Reporting
Certification
American Bankers Association Professional Certification - Certified Regulatory Compliance Manager - Presented 10-2022.
Timeline
Compliance Auditor
Bank Compliance Services
02.2020 - Current
High School Diploma -
Georgia Cumberland Academy
American Bankers Association Professional Certification - Certified Regulatory Compliance Manager - Presented 10-2022.
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