Andrea Andre
- Role
- Chief Compliance Officer and General Counsel, Secretary at Axcess Financial
- Location
- Cincinnati, OH, US
- LinkedIn followers
- 500 followers
About Andrea Andre
I’m a business attorney who built my career inside regulated financial services, not…
Experience
Chief Compliance Officer and General Counsel, Secretary
Aug 2019 — Present
Oversee and manage company wide compliance and legal functions Manage Corporate Governance over various entities Work cross functionally and departmentally on strategic and business initiatives providing business, legal, and compliance support Manage AML/BSA program Manage Corporate Litigation and determine litigation strategy Advise the business on state and federal data privacy requirements. Manage and review regulatory compliance programs, including preparing for / assisting with / follow up on regulatory exams.Advise management on the legal impact of any operational changes or new product introduction and impact of government regulations on the business.Perform due diligence for financing and banking relationships.Responsible for identifying and analyzing legal issues, drafting key documents, interpreting contracts, and assuring legal compliance. Manage and oversee state and federal regulatory audits in 28 states for retail and online operations Draft key template agreements relating to the business. Advise business teams regarding legal issues relating to product matters. Negotiate and draft complex commercial agreements.Establish regulatory compliance guidelines for online and retail operations.Provide counsel on new product development / product changes and assist with new product roll out to ensure compliance with regulatory guidelines.Review and provide feedback on marketing material. Track changes and conduct research and analysis on laws, rules, regulations, regulatory interpretation, best practices and examination findings in order to ensure regulatory requirements are met and communicated. Run and report out on compliance and legal matters as the Chair of the internal Compliance Committee.Report out on compliance and legal matters to the Board of Directors.
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