Legal Compliance Officer

Legal Compliance Officer — Aegis Corporate Solutions

Atlanta, GA | August 2023 – Present

• Led 4 internal audits of multi-state regulatory compliance frameworks, identifying and remediating 22 high-risk compliance gaps across 6 business units.
• Standardized 35+ corporate policy documents using NAVEX PolicyTech, reducing policy review cycle times by 28% and ensuring 100% alignment with state laws.
• Managed the resolution of 48 compliance helpline reports, utilizing EthicsPoint to investigate allegations and reducing investigative cycle times by 32%.
• Coordinated with external counsel to prepare 15+ SEC and FINRA regulatory filings, achieving a 100% on-time submission rate over 2 consecutive fiscal years.

Compliance Associate — Beacon Capital Advisors

Atlanta, GA | July 2021 – July 2023

• Monitored 250+ active client portfolios for compliance with FINRA and SEC rules, identifying and resolving 14 regulatory discrepancies within 48 hours.
• Designed and delivered training on anti-money laundering (AML) protocols to 850 employees, raising annual test passing rates from 82% to 98% in 60 days.
• Reviewed 180+ marketing campaigns and product advertisements, optimizing disclosure statements and reducing legal revision turnarounds by 24% using Workfront.
• Conducted 12 risk assessments of third-party vendors using OneTrust, ensuring compliance with data privacy regulations and reducing vendor risks by 30%.

Regulatory compliance, Policy auditing, Risk assessment, GRC systems, SEC and FINRA disclosures, Anti-money laundering (AML), Data privacy, Ethics investigations, Internal controls design, Contract compliance, NAVEX PolicyTech, OneTrust, EthicsPoint, Workfront

Global GRC Platform Integration

Role: Legal Compliance Lead

Tools: NAVEX PolicyTech, LogicGate Risk Cloud, Slack

Directed the migration of 45+ legacy policy databases into a unified GRC platform, decreasing policy dissemination timelines by 35% and automating audit tracks.

Data Privacy Initiative

Role: Legal Compliance Officer

Tools: OneTrust Privacy, Microsoft 365 Compliance, SharePoint

Led comprehensive privacy impact assessments for 14 operational platforms, reducing potential regulatory non-compliance liabilities by 40%.

• Certified Compliance & Ethics Professional (CCEP) (2023)
• Certified Anti-Money Laundering Specialist (CAMS) (2022)
• Certified Regulatory Compliance Manager (CRCM) (2024)

• Languages: English (Native), Spanish (Conversational)
• Volunteer Work: Legal compliance advisor for regional environmental non-profits (2022-present)
• Availability: 3 weeks notice