Shelby N Patterson
Smyrna,TN
Summary
Detail-oriented Compliance Manager offering 18 years of expertise in risk management, policy development and strategic planning. Advanced knowledge of regulatory compliance with proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.
Overview
17
17
years of professional experience
Work History
Director of Compliance
Harpeth Financial Services, LLC
Nashville, Tennessee
09.2017 - Current
- Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
- Managed compliance efforts, reporting and audits.
- Verified consistency in quality planning, quality control, quality insurance and quality improvement.
- Played instrumental role in company-wide risk assessment efforts, supporting enhancements in business processes and controls.
- Managed full life cycle of assigned audits in alignment with departmental procedures, delivering progress as well as closing reports to senior management.
- Structured programs, produced working documentation and implemented best practices.
- Defined and developed policies and procedures for consumer reporting and privacy practices.
- Formulated detailed recommendations based on audit findings to support annual planning and definition of goals.
- Maintained effective working relationships with regulatory authorities.
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
- Gathered, organized and evaluated data to make accurate assessments of current operations.
- Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
- Managed practical action plans to respond to audit discoveries and compliance violations.
- Wrote and presented reports outlining findings and recommendations from compliance audits.
- Improved company policies and standards to outline ethical and efficient procedures.
- Monitored data export from internal and external systems, identifying and reporting potential risks.
- Created policies and programs to encourage managers and employees to report suspected fraud and other improprieties without fear of retaliation.
- Built 8-person compliance team to address compliance program quality and provide operational support to management.
Director of Operations
Harpeth Financial Services, LLC
Nashville, Tennessee
02.2005 - 09.2017
- Oversaw day-to-day production activities in accordance with business objectives.
- Worked collaboratively with functional leaders to implement new procedures and corrective actions to improve quality.
- Defined, implemented and revised operational policies and guidelines.
- Monitored office workflow and administrative processes to keep operations running smoothly.
- Monitored budget and utilized operational resources.
- Achieved team goals through formalized training plans, coaching and performance management.
- Kept up-to-date with industry trends and identified areas of opportunity to drive improvements.
- Set team and individual KPIs and provided regular, actionable feedback.
- Assisted in recruiting, hiring and training of team members.
- Directed management meetings to enhance collaboration and maintain culture based on trust and group problem-solving.
- Trained new employees on proper protocols and customer service standards.
- Managed 300 team members across 60 departments.
- Handled problematic customers and clients to assist lower-level employees and maintain excellent customer service.
- Promoted positive customer experience through day-to-day supervision and management of retail facility.
Skills
- Program Requirements
- Compliance Reporting
- Regulatory Requirements
- Audit Coordination
- Anti Money Laundering (AML)
- Privacy and Confidentiality
- Policy and Procedure Development
- Policy Development and Enforcement
Timeline
Director of Compliance
Harpeth Financial Services, LLC
09.2017 - Current
Director of Operations
Harpeth Financial Services, LLC
02.2005 - 09.2017
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