Peggy Pratt
Washington,PA
Summary
Seasoned Senior Compliance Manager adept at developing and implementing regulatory compliance programs within financial institutions. Demonstrated prowess in risk assessment, internal auditing, and team leadership, ensuring adherence to business standards and industry regulations. Successfully implemented strategies that enhanced operational efficiency while mitigating risk exposure.
Overview
13
13
years of professional experience
1986
1986
years of post-secondary education
Work History
Senior Compliance Manager
DLEM Holdings LLC
Washington, Pa
04.2013 - Current
- Reviewed compliance policies to ensure alignment with regulatory standards.
- Assisted in developing training materials for staff on compliance procedures.
- Conducted audits to identify potential compliance risks within the organization.
- Supported documentation of compliance activities and maintained accurate records.
- Collaborated with cross-functional teams to address compliance-related issues.
- Monitored changes in regulations and communicated updates to relevant stakeholders.
- Participated in compliance meetings to discuss strategies and improvements.
- Provided guidance on best practices for maintaining regulatory compliance processes.
- Set and monitored division-wide policies, procedures and cultural standards.
- Provided subject matter expertise regarding regulatory strategies and applications.
- Coordinated with external auditors regarding audit plans, findings, issues, and recommendations.
- Compiled data from various sources into meaningful reports for review by executive leadership teams.
- Developed and implemented comprehensive compliance programs to ensure adherence with applicable laws and regulations.
- Analyzed existing systems and procedures to identify opportunities for improvement in terms of compliance objectives.
- Ensured that all reporting deadlines were met in accordance with applicable laws and regulations.
- Conducted internal audits, investigations and risk assessments to identify areas of non-compliance and recommend corrective actions.
- Collaborated with senior management teams to develop solutions for complex compliance issues.
- Performed periodic reviews of vendor relationships including due diligence checks as necessary.
- Managed day-to-day operations relating to the organization's overall compliance function.
- Investigated suspicious activity or allegations of violations of company policy or code of conduct.
- Formulated processes to track progress of corrective action plans identified during audits or investigations.
- Reviewed contracts for potential conflicts of interest or other risks from a compliance perspective.
- Provided training and guidance on the organization's policies and procedures related to compliance activities.
- Organized initiatives, drafted documentation and enforce compliance with best practices.
- Executed successful compliance monitoring and risk assessment programs.
- Built and strengthened relationships with regulatory representatives, vendors and company customers.
Education
Penn Foster Career School - HR
Human Resources Management
12.2014 - 12.2015
Trinity High School
Washington, PaSkills
- Compliance auditing
- Risk management
- Policy development
- Regulatory reporting
- Leadership and Managed a team
Empathy Training
- How to be a strong leader.
Active Shooter Training
- How to spot an active shooter and how to handle the situation.
References
References available upon request.
Timeline
Penn Foster Career School - HR
Human Resources Management
12.2014 - 12.2015
Senior Compliance Manager
DLEM Holdings LLC
04.2013 - Current
Trinity High School