
Compliance Officer at Arizona Regional Multiple Listing Service, Inc.
Phoenix, Arizona Area

Compliance Officer at Arizona Regional Multiple Listing Service, Inc.
Phoenix, Arizona Area
• Manages the Compliance Department and provides supervision and direction to the department employees.
• Author’s new and edits existing rules and policies as needed.
• Overall responsibility for administering and improving the ARMLS Compliance Monitoring Program.
• Periodically reviews and updates various contracts and agreements to ensure relevance to current services.
• Acts as an independent review and evaluation body to ensure that compliance issues/concerns are being appropriately evaluated, investigated, and resolved.
• Identifies potential areas of compliance vulnerability and risk. Develops/implements corrective action for resolution of problematic issues and provides general guidance on how to avoid or handle similar situations in the future.
• Acts as consultant to the Board of Directors, as well as to other standing or ad hoc committees as appointed by the Board of Directors and/or the CEO.
• Represents the company through various media regarding its rules and policies.
• Ensures proper reporting of violations or alleged violations to authorized personnel.
• Monitors and provides reports on the performance of the Compliance program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
• Attend meetings and make presentation on rules and compliance issues.
• Performs other duties as requested by the CEO.
Compliance, operations management, multi-unit management, policy and procedure formulation, process engineering, staff management and direction, customer service, dispute resolution
(Real Estate industry)
April 2006 — Present (3 years 4 months)
(Public Company; 1001-5000 employees; AEA; Financial Services industry)
2003 — 2005 (2 years)
(Public Company; 5001-10,000 employees; AEA; Financial Services industry)
February 2002 — January 2004 (2 years)
Performed comprehensive operational, policy, legal and fraud audits on hundreds of stores around the country. Developed Auditor's manual for the company. Assisted in creation of policies.
MBA , e-Business , 2001 — 2002
Paralegal Certificate , Paralegal , 1998 — 1998
BS Teaching , Physical Education , 1986 — 1991
1982 — 1986
Honorary membership into Sigma Iota Epsilon. This membership is only given to the top 5% of graduating MBAs.