Robert Seshie
New York,NY
Summary
Experienced Compliance Team Lead in financial technology with 6 years in regulatory compliance management. Skilled in policy development, cross-functional collaboration, and risk mitigation. Proven leadership in fostering compliance excellence and ensuring regulatory adherence. Seeking to contribute expertise to a dynamic team.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Compliance Team Lead
Current
2022.09 - Current
- Developed and maintained a robust compliance database to track all activities, documents, and deadlines. Ensured compliance with evolving regulations and provided employee education on procedures.
- Assisted in internal and external audits, confirming compliance with laws and regulations. Additionally, reviewed and updated compliance policies.
- Identified, investigated, and documented compliance violations, recommending and implementing corrective actions. Collaborated with stakeholders, auditors, and legal counsel to ensure compliance.
- Conducted risk assessments in operational processes and contributed to the expansion of the internal compliance testing program. Regularly monitored practices to identify and address gaps.
- Collaborated with cross-functional teams, including Fraud and AML management, and coordinated investigations with law enforcement. Proficiently conducted transaction monitoring, utilizing Unit 21 for enhanced accuracy, and employed complaint investigations to identify potential compliance issues. Demonstrated strong KYC knowledge to ensure adherence to regulatory requirements
- Managed all regulatory responses for consumer complaints with various agencies
- Proactively managed and nurtured relationships with partner banks, facilitating seamless communication and collaboration on compliance-related matters, inquiries, and reporting, ensuring compliance alignment with external financial partners.
Client Retention Conference Manager
National Debt Relief
2015.01 - 2022.09
- Developed Innovative Client Experience Strategies: Spearheaded the creation of alternative methods that significantly enhanced the client experience, resulting in a notable reduction in client complaints and heightened overall satisfaction levels.
- Regulatory Response Management: Expertly navigated and managed regulatory responses to industry organizations such as AFCC, BBB, AG, and state regulators. Ensured stringent compliance standards were met while fostering positive relationships with regulatory bodies.
- Conducted Comprehensive Internal Audits: Led thorough internal audits, optimizing the client experience from initial contact to program completion. Identified key areas for improvement and implemented effective solutions, enhancing overall program efficiency.
- Dispute Resolution Specialist: Provided in-depth program analysis and resolution strategies for disputes on platforms like BBB and other consumer review sites. Successfully mitigated potential reputation risks by resolving client issues efficiently and effectively.
- Client Retention Improvement: Demonstrated exceptional client management skills by increasing the quarterly average client retention rate from 37% to 45%. Implemented strategic initiatives that resulted in a significant boost in client loyalty and long-term engagement.
- Proficient in Salesforce: Utilized Salesforce to efficiently manage consumer portfolios, ensuring accurate data tracking and facilitating streamlined communication processes, contributing to improved organizational efficiency.
- Contingency Planning: Implemented and managed contingency plans, effectively addressing last-minute changes and unforeseen events. Ensured seamless operations, minimizing disruptions and maintaining a high level of service quality.
Education
BA - Economics
St John's University
Jamaica, NYSkills
- Business Policies and Procedures
- Risk Management Strategies
- Compliance Management
- Industry Trend Assessments
- Team Leadership
- Audit Facilitation
- Training Initiatives
Certification
- ABA Certificate in Compliance Essentials
- ABA Certificate in Lending Compliance Core Concepts for Compliance Professionals
Timeline
Compliance Team Lead
Current
2022.09 - Current
Client Retention Conference Manager
National Debt Relief
2015.01 - 2022.09
BA - Economics
St John's University
- ABA Certificate in Compliance Essentials
- ABA Certificate in Lending Compliance Core Concepts for Compliance Professionals
Similar Profiles
Jake BirnbaumJake Birnbaum
Senior Creative Producer at CurrentSenior Creative Producer at Current
Tara McVicarTara McVicar
Freelance Photographer Content Creator at CurrentFreelance Photographer Content Creator at Current
Jasleen KaurJasleen Kaur
Personal Support Worker at CurrentPersonal Support Worker at Current