Tony Roberts
Ocean Springs,MS
Summary
Insightful Manager with experience directing and improving operations through effective employee motivational strategies and strong policy enforcement. Proficient in best practices, market trends and regulatory requirements of industry operations. Talented leader with analytical approach to business planning and day-to-day problem-solving.
Overview
11
11
years of professional experience
1
1
Certification
Work History
Manager of Compliance Consulting Services
League of Southeastern Credit Unions
10.2022 - Current
- Increased Compliance Consulting usage among affiliated credit unions by 15%.
- Developed and executed compliance programs for credit unions with compliance services contracts. Researched and addressed compliance inquiries from credit unions.
- Provided comprehensive support and expert guidance to credit union management on all compliance-related matters.
- Assisted in the creation of new compliance products, enhancing Compliance Consulting Services revenue streams.
- Collaborated with the advocacy department to analyze the impact of proposed laws and regulations on credit union operations.
Compliance Consultant
League of Southeastern Credit Unions
02.2021 - 10.2022
- Supported the implementation of an enterprise-wide risk management program, identifying key risk areas and developing mitigation strategies. For assigned credit unions.
- Reduced the potential for fines and penalties by proactively monitoring changes in regulatory requirements and updating policies accordingly.
- Advised senior leadership on emerging trends in regulatory enforcement, enabling proactive planning and strategic decision making.
- Improved compliance processes by conducting comprehensive risk assessments and implementing internal controls.
- Conducted regular reviews of existing policies and procedures, ensuring continued alignment with evolving industry standards and best practices.
- Implemented ongoing monitoring systems to detect potential non-compliance incidents promptly, minimizing negative impacts on business operations.
- Managed relationships with external auditors and regulators during examinations or investigations, effectively addressing their concerns or inquiries.
Independent Insurance Agent
Roberts Insurance Group
01.2018 - 01.2021
- Enhanced client satisfaction by providing personalized insurance solutions and excellent customer service.
- Developed and maintained professional relationships with other industry professionals, such as financial advisors and real estate agents, to provide a well-rounded approach to client service.
- Organized regular client outreach initiatives such as seminars and workshops to educate potential customers on insurance products and services offered.
- Managed a diverse portfolio of accounts, consistently meeting or exceeding sales targets while maintaining high levels of customer satisfaction.
BSA Officer
Navigator Credit Union
07.2016 - 12.2017
- Implemented process improvements that streamlined workflows, reducing redundancies and increasing operational efficiency.
- Developed, implemented, and maintained the credit union’s BSA/AML compliance program in accordance with regulatory requirements and industry best practices.
- Oversaw the monitoring of transactions for suspicious activity and ensure timely and accurate reporting of suspicious activity reports (SARs) and currency transaction reports (CTRs).
- Conducted risk assessments to identify potential areas of vulnerability and implement strategies to mitigate these risks.
Risk Officer
Singing River Federal Credit Union
03.2013 - 07.2016
- Implemented compliance policies and procedures, ensuring adherence to regulatory requirements and minimizing operational risks.
- Collaborated with cross-functional teams to develop a robust risk management framework tailored to the organization''s unique needs.
- Developed insightful reports for senior management that highlighted key findings from risk assessments and compliance reviews.
- Provided expert guidance on regulatory changes, helping the company adapt quickly and maintain compliancy.
Education
Bachelor of Science - Finance
University of South Alabama
Mobile, AL12.2009
Skills
- Team Leadership
- Time Management
- Verbal and written communication
- Complex Problem-Solving
- Strategic Planning
- Policy Implementation
- Sales management
Certification
- CUCE - Certified Credit Union Compliance Expert
- BSACS - Bank Secrecy Act Compliance Specialist
- CUERME - Credit Union ERM Expert
Timeline
Manager of Compliance Consulting Services
League of Southeastern Credit Unions
10.2022 - Current
Compliance Consultant
League of Southeastern Credit Unions
02.2021 - 10.2022
Independent Insurance Agent
Roberts Insurance Group
01.2018 - 01.2021
BSA Officer
Navigator Credit Union
07.2016 - 12.2017
Risk Officer
Singing River Federal Credit Union
03.2013 - 07.2016
Bachelor of Science - Finance
University of South Alabama
- CUCE - Certified Credit Union Compliance Expert
- BSACS - Bank Secrecy Act Compliance Specialist
- CUERME - Credit Union ERM Expert
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