Louis Greenfield
Phoenix
Summary
Dynamic IT Compliance Officer with a proven track record at LandAmerica Financial Group, excelling in compliance frameworks and regulatory policies. Skilled in data analysis and effective communication, I successfully identified compliance gaps and implemented corrective actions, enhancing operational integrity and achieving a 100% compliance rate during audits.
Seasoned in navigating complex regulatory environments, with a strong background in ensuring compliance across diverse sectors. Possess deep understanding of legal codes, ethics, and corporate governance, complemented by skills in risk management and policy development. Known for effective communication and analytical abilities, facilitating proactive solutions to compliance challenges. Demonstrated impact through streamlining compliance processes, enhancing operational efficiency, and fostering robust internal controls.
Overview
2005
2005
years of professional experience
Work History
Regional West Coast, IT Compliance Officer
LandAmerica Financial Group
Phoenix
09.1999 - 12.2004
- Issued clear warnings to violators, outlining infractions, penalties and remediation steps.
- Conducted regular internal audits to ensure compliance with established standards.
- Maintained compliance frameworks, policies and documentation to support audits.
- Provided guidance on legal requirements related to the organization's operations.
- Performed fact-finding research by investigating, collecting and analyzing data and compiling in report format.
- Issued official approvals in instances of achieved or exceeded compliance standards.
- Identified gaps in existing controls and recommended corrective actions as needed.
- Enforced regulatory policies and procedures across different teams and programs.
- Created and managed action plans to mitigate audit discoveries and compliance concerns.
- Provided guidance on regulatory requirements for business operations.
- Assessed the effectiveness of existing processes and procedures related to compliance.
Stock Broker / Sofware Support Analyst
Charles Schwab Corporation
Phoenix
01.1997 - 03.1999
- Acted as buyer or seller representative when arranging sales.
- Completed sales order tickets and processed client-requested transactions.
- Worked closely with team members to ensure timely completion of tasks or projects.
- Provided technical support when needed for online trading platforms or software applications.
- Analyzed customer requirements and recommended efficient investment products.
- Provided advice and recommendations to clients regarding stocks, bonds, mutual funds, and other investments.
- Executed buy and sell orders for clients based on their individual needs and objectives.
- Developed and maintained relationships with customers and assisted in generating sales opportunities.
Project Engineer
American Express Co
PHOENIX
02.1985 - 07.1997
- Performed testing to determine functionality or optimization.
- Developed project plans, budgets, and timelines to ensure successful completion of projects.
- Maintained project schedule by monitoring project progress, coordinating activities and resolving problems.
- Contributed innovative ideas and solutions to enhance team performance and outcomes.
- Assisted with customer requests and answered questions to improve satisfaction.
National Accounts Rep
America Express Co.
PHOENIX
- Collaborated with internal departments such as marketing, finance and operations to ensure customer satisfaction.
- Developed strategies to meet and exceed sales targets within established timeframe.
- Researched and provided management with reports regarding customer needs and competitor activities.
- Maintained an up-to-date database of customer information including contact details, preferences, orders and delivery information.
- Reached out to customers to assess satisfaction levels and current needs.
Fraud Analyst
American Express Co
PHOENIX
- Conducted detailed analysis of transactional data to identify and investigate suspicious activities and potential fraud patterns.
- Performed detailed analysis of financial transactions to identify suspicious activity.
- Served as primary contact for fraud claim inquiries.
- Responded quickly to customer inquiries about possible fraudulent activity on their accounts.
- Participated in group discussions with team members to develop new ways to combat fraud.
Credit Athorizations Analyst
American Express Co
PHOENIX
- Maintained positive working relationship with fellow staff and management.
- Analyzed key performance indicators to identify effective strategies.
- Assessed company operations for compliance with safety standards.
- Identified needs of customers promptly and efficiently.
- Assisted with customer requests and answered questions to improve satisfaction.
- Utilized various software and tools to streamline processes and optimize performance.
- Promoted high customer satisfaction by resolving problems with knowledgeable and friendly service.
- Demonstrated strong problem-solving skills, resolving issues efficiently and effectively.
Education
Associate of Arts -
Maricopa Community Colleges, Scottsdale Community College
Scottsdale, AZ01-1984
High School Diploma -
Saguaro High School
Scottsdale, AZ05-1980
Skills
- Compliance frameworks
- Regulatory policies
- Internal audits
- Fraud detection
- Data analysis
- Customer relationship management
- Technical support
- Project management
- Problem resolution
- Effective communication
- Attention to detail
- Innovative thinking
- Federal and state regulations
- Auditing processes
- Project coordination
- Data privacy
- Risk management
- Document review
- Influencing skills
- Compliance monitoring
- Investigations skills
- Goal setting
- Application evaluation
- Communication skills
- Interpersonal communication
- Decision-making
- Professional demeanor
- Change management
- Policy enforcement
- Team leadership
Timeline
Regional West Coast, IT Compliance Officer
LandAmerica Financial Group
09.1999 - 12.2004
Stock Broker / Sofware Support Analyst
Charles Schwab Corporation
01.1997 - 03.1999
Project Engineer
American Express Co
02.1985 - 07.1997
National Accounts Rep
America Express Co.
Fraud Analyst
American Express Co
Credit Athorizations Analyst
American Express Co
Associate of Arts -
Maricopa Community Colleges, Scottsdale Community College
High School Diploma -
Saguaro High School