Financial Services Professional
Phoenix, Arizona Area
Financial Services Professional
Phoenix, Arizona Area
Detail oriented, self-motivated Quality Assurance and Compliance professional with more than 20 years in mortgage lending. Possess analytical skills, interest in research, and development of policies, procedures and training materials. Experienced in chairing committees, collaborating with co-workers to improve processes, reporting and budget management.
Credit and appraisal review, financial analysis, investigative skills, problem solving skills, process improvement, team player and leader, results oriented, researcher, budget manager
(Financial Services industry)
June 2008 — Present (1 year 2 months)
Responsible for quality assurance and compliance.
(Public Company; 501-1000 employees; Real Estate industry)
September 2005 — July 2007 (1 year 11 months)
• Managed Quality Assurance / Regulatory Compliance Audits and Special Investigations
• Developed Policies, Procedures, Training Materials, and Management Reporting
• Fostered team spirit and open communication
• Analyzed Early Payment Defaults and Early Foreclosures and other audits
• Chaired Policy and Procedures and Quality Assurance Executive Committee
• Worked with internal and external entities to resolve issues or procedures
(Privately Held; 201-500 employees; Financial Services industry)
March 2003 — September 2005 (2 years 7 months)
• Conducted Quality Assurance / Compliance / Branch / Broker Audits and Investigations
• Developed Policies, Procedures, Training Materials, and Management Reporting
• Compiled Data and Responses for State and Agency Examinations
• Assisted Licensing Coordinator and other Branch, Corporate or External personnel
(Public Company; 201-500 employees; Financial Services industry)
July 2002 — February 2003 (8 months)
• Completed Quality Assurance / Compliance / Branch / Broker Audits and Investigations
• Created Fraud Investigation Procedures, Databases and Questionnaires
• Established Policies, Procedures, Training Materials, and Management Reporting
• Assisted Licensing Coordinator and other personnel through Helpdesk
• Managed State & Agency Examinations and Responses
(Public Company; Financial Services industry)
January 2000 — June 2002 (2 years 6 months)
• Set up Fair Lending Department, Questionnaires, Policies and Procedures
• Collaborated with Statisticians, Legal Counsel and Senior Management
• Reviewed HMDA, Pricing Analysis, and completed Comparative File Reviews
(Privately Held; 501-1000 employees; Financial Services industry)
June 1991 — December 1999 (8 years 7 months)
• Worked with Operations and Compliance Officer in Development / Distribution of Policies / Procedures, and Training materials / presentations
• Applied cooperative teaming and project budget analyses to determine avoidable costs
• Managed Quality Assurance / Compliance, Branch, Investigations and Management Reports, working with Personnel throughout the company
B.A. , Education , 1968 — 1972
investigations, writing policies and procedures, hiking, movies
MBA Best Practices Subcommittee of MBA Fraud and Ethics Committee