Summary:
After two
years of working in a variety of roles at First Capital Group, Inc it was decided that due to recent changes
in state and federal regulations the company and the office would benefit by
having a Compliance Manager. The Vice President, Tim Stephenson trusted me and thought I was a
natural fit to take on this role and develop this position.
Details:
- Reviewed state and federal guidelines to create and develop process for compliance.
- Created policies and procedures for file flow and tracking of all files.
- Created a company handbook and manual for new employees.
- Developed on-boarding procedures for new employees.
- Maintained all records for employees.
- Maintained compliance for all advertising and lead generation.
- Audited all files, dis-positioned files correctly scrubbed filed for compliance.
- Ensured that all files were stored and protected correctly.
- Overhauled and set up software and password protections on electronic files to meet compliance with regulations.
- Managed the federal Do Not Call Lists.
- Created documents and procedures for maintaining compliance.
Achievements:
- The policies and procedures and manuals enacted in the Portland office were distributed and used as a model for 14 offices in Hawaii, Washington, California and Oregon.
- Company successfully passed state audits with both the Oregon and Washington Division of Finance under my tenor.
- The file system I enacted and the policies I started were carried forward when Tim Stephenson left First Capital Group, Inc. and became a branch owner at Alliance Capital Group, Inc.
