Tim Swope
Fort Worth,TX
Summary
Dynamic Compliance Analyst with a proven track record at Fidelity Investments, specializing in regulatory compliance and nondiscrimination testing. Expert in 5500 filings and adept at training and mentoring teams. Recognized for effective communication and attention to detail, driving continuous improvement in compliance initiatives across diverse markets.
Overview
25
25
years of professional experience
Work History
Compliance Analyst
Fidelity Investments
10.2007 - Current
- Collaborated with teams for the successful implementation of new compliance initiatives.
- Served as a subject matter expert on compliance matters, providing guidance and support to colleagues to newer associates.
- Preparing Nondiscrimination testing across multiple markets and product type of defined benefit plans
- Preparing 5500 filings for defined benefit plans.
- Stayed current with latest changes to applicable regulatory standards and company procedures.
Compliance Associate
Merrill Lynch
09.2000 - 10.2007
Preparation of Nondiscrimination Testing for small to midsize markets
Preparation of From 5500 for the small to mid sized markets
Preparations and Regulatory updated to volume submitter plan documents for defined benefit plans.
Education
Bachelor of Arts - Accounting
Temple University
Philadelphia, PA09-1995
Skills
- Regulatory compliance
- Nondiscrimination testing
- 5500 filings
- Compliance monitoring
- Data analysis
- Team collaboration
- Effective communication
- Attention to detail
- Problem solving
- Training and mentoring
- Adaptability
- Documentation skills
- Documentation review
- Continuous improvement
Timeline
Compliance Analyst
Fidelity Investments
10.2007 - Current
Compliance Associate
Merrill Lynch
09.2000 - 10.2007
Bachelor of Arts - Accounting
Temple University
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