Rebecca McCormick
Spout Spring,VA
Summary
Operations and Compliance Specialist with significant experience in insurance and financial services. Expertise in complaint resolution, regulatory compliance, and agent investigations. Demonstrated ability to manage complex escalations and collaborate with Legal and Compliance teams to drive process improvements. Recognized for delivering compliant, customer-focused solutions while mentoring team members and prioritizing tasks effectively.
Overview
21
21
years of professional experience
1
1
Certification
Work History
Customer Advocate
MoneyLion
New York
04.2022 - Current
- Manage a high volume of customer escalations and complaints, acting as a single point of contact through resolution while meeting SLA requirements.
- Conduct in-depth investigations into customer claims, including fraud, identity theft, and unauthorized charges, determining fair and compliant outcomes.
- De-escalate complex situations by clearly communicating investigative findings and next steps via phone and email.
- Document investigative findings and resolutions in CRM and case-management tools including Kustomer, QDS, Jira, Delighted, and Asana.
- Partner closely with Compliance, Legal, Product, and Marketing teams to resolve escalated issues and address emerging complaint trends.
- Proactively identify process gaps using customer feedback and complaint themes, contributing to SOPs and training materials.
- Own all NPS-related complaints, producing weekly, monthly, quarterly, and annual reporting to leadership.
Compliance – Complaint Specialist
DXC Technologies
Remote, Tyson’s, VA
06.2016 - Current
- Acknowledge, evaluate, investigate, and resolve consumer complaints and grievances in compliance with regulatory requirements and internal timelines.
- Coordinate with internal departments, legal counsel, external attorneys, the BBB, and multiple state Departments of Insurance.
- Identify and escalate complaint trends and potential compliance risks through detailed reporting and metrics analysis.
- Provide complaint data and analytics to support monitoring, audits, and regulatory inquiries.
- Contribute to continuous improvement initiatives focused on process optimization and operational efficiency.
- Develop and maintain Standard Operating Procedures (SOPs) for the Complaint Specialist team.
- Train and mentor new team members to ensure consistent, compliant complaint handling.
Compliance Specialist
Genworth Financial
Lynchburg, VA
01.2014 - 01.2016
- Conduct due diligence reviews of prospective agents and agencies seeking appointment.
- Make appointment decisions and process agent declines and terminations.
- Perform monthly Compliance Management System (CMS) metric reviews and present findings to management.
- Analyze and report compliance trends to identify potential regulatory or market conduct risks.
- Collaborate with Licensing & Commissions teams to ensure compliance with regulatory requirements.
- Conduct audits and compliance reviews of licensing and commission processes.
- Consult with leadership to develop corrective action plans addressing compliance and market conduct issues.
- Research and provide guidance on new laws and regulatory changes.
- Create and maintain audit routines and analytic review procedures for the Compliance Department.
Administrative Assistant to Chief Compliance Officer / Compliance Coordinator
Genworth Financial
Lynchburg, VA
01.2008 - 01.2014
- Managed purchase requisitions, accounts payable reconciliation, and vendor management.
- Coordinated meeting planning and logistics for executive leadership.
- Performed quality-check audits on agent screening and appointment requests.
- Maintained Legal Information Management System databases with current legislation.
- Conducted viatical settlement reviews and resolved policyholder complaints.
- Performed annual reviews of premium and lapse notices for compliance.
- Tested company processes designed to identify compliance and market conduct risks.
- Reviewed and submitted advertising materials for regulatory approval.
Customer Service Representative
Genworth Financial
Lynchburg, VA
01.2005 - 01.2008
- Maintained and updated customer account information across multiple systems.
- Responded to customer inquiries via phone, email, and written correspondence.
- Researched and resolved escalated complaints to support customer satisfaction and retention.
- Processed policy service requests, including projections and policy updates.
- Assisted with training and mentoring new hires.
Education
Bachelor of Applied Business -
National American University
05-2014
Associate of Arts - Business Administration Management
National College
05-2001
Skills
- Regulatory & Consumer Complaint Management
- Compliance Audits & Compliance Management Systems (CMS)
- Agent Screening
- Investigation & Licensing
- FINRA & Background Reviews
- Fraud & Identity Theft Investigations
- SOP Development & Process Improvement
- Customer Advocacy & Escalation Management
- Cross-Functional Collaboration
- Reporting & Metrics
- Administrative & Financial Management
- Training & Mentoring
Certification
Virginia Life & Health Insurance License, Insurance Bureau of Virginia, 01/04
Timeline
Customer Advocate
MoneyLion
04.2022 - Current
Compliance – Complaint Specialist
DXC Technologies
06.2016 - Current
Compliance Specialist
Genworth Financial
01.2014 - 01.2016
Administrative Assistant to Chief Compliance Officer / Compliance Coordinator
Genworth Financial
01.2008 - 01.2014
Customer Service Representative
Genworth Financial
01.2005 - 01.2008
Bachelor of Applied Business -
National American University
Associate of Arts - Business Administration Management
National College