Heather Launius
Torrance
Summary
Expertise in audit management, internal controls, and developing strategic objectives. Skilled in database management and fostering teamwork, ensuring a compliant work environment while maintaining meticulous attention to detail.
Overview
20
20
years of professional experience
Work History
Compliance Associate
SageView Advisory Group
01.2010 - 01.2025
- Conducted periodic compliance audits and reviews to identify areas of improvement.
- Took notes on field examinations and specific case details, updated databases and produced reports outlining results of investigations.
- Assisted with development of compliance objectives and strategies.
- Identified gaps in existing compliance processes and recommended updates.
- Created and maintained compliant work environment.
Compliance Associate
Cetera Advisor Networks LLC
01.2005 - 10.2018
- Maintained and updated data across multiple internal systems
- Reviewed and assisted in complaint responses
Education
No Degree -
El Camino College
Torrance, CAHigh School Diploma -
North Torrance High School
TorranceSkills
- Audit management
- Internal controls
- Database management
- Compliance monitoring
- Materials updating
- Policy development
- Internal policy implementation
- Operations management
- Teamwork and collaboration
- Policy enforcement
- Audit coordination
- Data entry
- Attention to detail
- Multitasking Abilities
- Time management
- Records management expert
- Auditing experience
- Field inspections
Timeline
Compliance Associate
SageView Advisory Group
01.2010 - 01.2025
Compliance Associate
Cetera Advisor Networks LLC
01.2005 - 10.2018
No Degree -
El Camino College
High School Diploma -
North Torrance High School
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