Steven Shore
- Role
- Director, Compliance at MetLife
- Location
- Cranford, NJ, US
- LinkedIn followers
- 500 followers
About Steven Shore
Experienced Regulatory Compliance Officer in the Financial Services industry. Expertise…
Experience
Director, Compliance
Nov 2017 — Present
Responsible for the testing, risk assessment and issues management components of the enterprise Compliance Risk Management (CRM) program to manage and help mitigate compliance risks for a Fortune 500 company. • Proactively manage the Compliance Testing program, establishing guidelines for the development and execution of annual testing plans in over 40 countries. Create a quality review and challenge program to ensure consistent standards throughout the enterprise. • Direct the transition from a traditional approach to a risk-based testing program, resulting in the reduction of activities by 24% while improving the focus of testing and overall quality of results. • Led the Issues Management program for Compliance, developing of standards, reporting and training for domestic and international teams. Improved metric reporting to senior management while reducing the number of issues that were completed outside of standard by over 50%. • Manage a team of agile associates in the corporate office and across the globe and charged with building and maintaining the team and their development. • Oversee offshore resources in the completion of several compliance functions, including centralized monitoring, correspondence and sanctions reviews, resulting in improved efficiency and reduced overall costs. • Subject matter expert in compliance testing; create and assist in training company end users in compliance systems. • Consult with compliance executives and partners to continually evaluate and generate ideas to enhance the compliance testing program
Skills
- Financial Risk
- Trading
- Project Management
- Kyc
- Series 63
- Sec
- Investment Advisory
- Due Diligence
- Finra
- Financial Services
- Risk Management
- Series 7
- Aml
- Securities Regulation
- Series 24
- Reverse Mentoring
- Equities
- Risk Assessment
- Anti Money Laundering
- Mentoring
- Insurance
- Securities
- Asset Management
- Investments
- Series 6
- Mutual Funds
- Hedge Funds
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