Compliance Analyst Resume Samples

Description :

1. Conducted comprehensive analyses of transactional data to identify risks and trends, enhancing compliance protocols.
2. Executed KYC screenings, ensuring accurate documentation in line with global standards.
3. Monitored compliance with AML laws, OFAC, and KYC regulations, mitigating potential risks.
4. Prepared detailed reports on suspicious activities, facilitating timely investigations.
5. Enhanced customer risk rating criteria, improving KYC management for diverse client profiles.
6. Managed information requests under the USA Patriot Act, identifying high-risk accounts using World-Check.
7. Documented and maintained SAR history and KYC information, ensuring data integrity and compliance.

Experience

10+ Years

Level

Senior

Education

Master's In Accounting

Description :

1. Acted as the primary liaison for compliance-related inquiries, ensuring effective communication across departments.
2. Reviewed and processed compliance documentation for employee trading and outside activities.
3. Conducted surveillance for compliance violations, ensuring adherence to holding and window periods.
4. Provided expert guidance on compliance policies and procedures to employees.
5. Generated compliance reports in accordance with regulatory requirements, enhancing transparency.
6. Compiled and analyzed monthly compliance metrics to identify trends and areas for improvement.
7. Reviewed requests for fiduciary appointments, ensuring compliance with internal policies.

Experience

2-5 Years

Level

Executive

Education

Bachelor Of Science In Accounting

Description :

1. Conducted comprehensive compliance audits, identifying and mitigating risks to ensure adherence to regulations.
2. Developed and implemented compliance policies and procedures, enhancing operational efficiency.
3. Collaborated with cross-functional teams to ensure compliance with federal and state regulations.
4. Prepared and submitted regulatory reports, ensuring timely compliance and avoiding penalties.
5. Trained staff on compliance policies, improving overall understanding and adherence.
6. Monitored changes in regulations, updating policies to maintain compliance.
7. Facilitated communication with regulatory agencies, fostering positive relationships and ensuring compliance clarity.

Experience

10+ Years

Level

Senior

Education

Technical In Practical Nursing

Description :

1. Conduct comprehensive compliance audits to ensure adherence to regulatory standards and internal policies.
2. Analyze financial transactions for suspicious activity, ensuring timely reporting to regulatory bodies.
3. Prepare and submit regulatory filings in compliance with the Bank Secrecy Act and other regulations.
4. Collaborate with cross-functional teams to enhance compliance protocols and address potential risks.
5. Maintain accurate records and documentation to support compliance investigations and audits.
6. Monitor industry trends and regulatory changes to update compliance strategies accordingly.
7. Generate detailed reports on compliance metrics for senior management review.

Experience

2-5 Years

Level

Junior

Education

M.D In Business Administration

Description :

1. Conducted comprehensive compliance audits to identify regulatory gaps and ensure adherence to state and federal laws.
2. Analyzed compliance-related data to preemptively address potential deficiencies and mitigate risks.
3. Developed and implemented robust compliance policies and procedures to enhance operational integrity.
4. Reviewed and responded to consumer complaints, ensuring timely resolution and compliance with regulatory standards.
5. Collaborated with cross-functional teams to ensure compliance with internal policies and external regulations.
6. Provided training and guidance to staff on compliance best practices and regulatory requirements.
7. Prepared detailed compliance reports for management and regulatory agencies, ensuring transparency and accountability.

Experience

7-10 Years

Level

Management

Education

MBA

Description :

1. Facilitated annual compliance training for over 2,500 employees, enhancing awareness of regulatory requirements.
2. Reported training completion to department heads and Corporate Compliance, ensuring accountability.
3. Documented training outcomes in HR databases for compliance tracking.
4. Compiled training materials and led biweekly orientations for new hires, fostering a culture of compliance.
5. Coordinated internal audits, analyzing data from multiple systems to identify compliance violations.
6. Utilized data analytics to assess the impact of compliance violations on reimbursement processes.
7. Collaborated with billing teams to address trends in refunds and implement corrective actions.

Experience

7-10 Years

Level

Management

Education

MBA

Description :

1. Conducted comprehensive compliance audits to ensure adherence to federal and state regulations, identifying areas for improvement.
2. Developed and maintained a compliance monitoring system to track regulatory changes and assess business impact.
3. Collaborated with cross-functional teams to implement compliance policies and procedures, enhancing operational efficiency.
4. Prepared detailed reports for senior management on compliance status, risks, and recommendations for improvement.
5. Trained staff on compliance protocols and best practices, fostering a culture of compliance within the organization.
6. Reviewed and analyzed business practices to mitigate legal and regulatory risks, ensuring compliance with industry standards.
7. Engaged with regulatory bodies to stay updated on compliance requirements and best practices.

Experience

2-5 Years

Level

Executive

Education

BSc Finance

Description :

1. Planned and coordinated compliance activities, ensuring policies and procedures were documented and risk management strategies were developed to mitigate non-compliance.
2. Collaborated with cross-functional teams to ensure adherence to company guidelines and regulatory requirements.
3. Monitored compliance audits and compiled data on trends, records, and disbursements to identify areas for improvement.
4. Guided teams on compliance-related issues and directed them to appropriate resources for inventory adjustments.
5. Reviewed compliance violations and conducted inspections to ensure adherence to regulatory standards.
6. Managed compliance testing processes in accordance with industry guidelines, ensuring all protocols were followed.
7. Provided training and support to staff on compliance policies and procedures, enhancing overall compliance culture.

Experience

10+ Years

Level

Senior

Education

MBA

Description :

1. Conduct comprehensive audits to assess compliance with regulatory standards and internal policies.
2. Utilize analytical tools to prepare audit documentation and analyze compliance data.
3. Collaborate with stakeholders to identify compliance gaps and implement corrective actions.
4. Manage audit findings and ensure timely resolution of compliance issues.
5. Maintain detailed records of audit history and compliance activities for reporting purposes.
6. Communicate significant compliance concerns to management and recommend improvements.
7. Engage with clients to provide guidance on compliance-related inquiries and issues.

Experience

7-10 Years

Level

Management

Education

MSc Compliance

Description :

1. Monitored regulatory changes and communicated impacts to internal and external stakeholders.
2. Collaborated with legal counsel and agencies to resolve compliance issues effectively.
3. Conducted compliance assessments and provided actionable recommendations for improvement.
4. Analyzed data to assess risks and ensure compliance with federal guidelines.
5. Developed and delivered compliance training sessions to enhance awareness.
6. Ensured compliance project timelines were met through effective monitoring.
7. Reviewed and approved internal communications regarding compliance updates and issues.

Experience

2-5 Years

Level

Junior

Education

BSc Finance

Description :

1. Developed and maintained comprehensive knowledge of compliance regulations and industry standards.
2. Communicated regulatory requirements to staff and implemented necessary procedural changes.
3. Conducted audits of processes to ensure adherence to compliance standards.
4. Reviewed documentation to verify compliance with internal policies and external regulations.
5. Acted as the subject matter expert on compliance issues, providing guidance to teams.
6. Created and maintained compliance documentation, including audit findings and corrective actions.
7. Coordinated audits with external regulatory bodies to ensure compliance with standards.

Experience

0-2 Years

Level

Entry Level

Education

B.S. in BA

Description :

1. Monitored compliance with state and federal regulations, ensuring adherence to corporate policies.
2. Conducted training sessions on regulatory compliance and policy implementation for staff.
3. Collaborated with teams to develop and implement effective compliance policies and best practices.
4. Performed compliance testing and analysis to identify and mitigate risks across business units.
5. Assessed operational risks and ensured internal controls were effectively identified and managed.
6. Evaluated compliance controls and assigned responsibilities to ensure accountability.
7. Presented compliance findings and recommendations to senior management for strategic decision-making.

Experience

0-2 Years

Level

Entry Level

Education

B.S. in BA

Description :

1. Reviewed and submitted compliance documentation to ensure adherence to state regulations.
2. Analyzed operational procedures to identify compliance gaps and recommend improvements.
3. Maintained accurate records of licensed agents and ensured compliance with state requirements.
4. Assisted in the development and implementation of compliance training programs.
5. Drafted and submitted regulatory filings to state insurance departments.
6. Monitored changes in regulations and assessed their impact on company operations.
7. Collaborated with cross-functional teams to enhance compliance processes and reporting.

Experience

0-2 Years

Level

Entry Level

Education

B.S. Finance

Description :

1. Reviewed loan files for compliance with federal regulations including RESPA, TILA, and HMDA.
2. Implemented compliance programs ensuring mortgage operations adhered to regulatory requirements.
3. Developed comprehensive compliance policies, annual risk assessments, and training programs.
4. Conducted research on industry trends to inform compliance strategies.
5. Coordinated internal audits, responded to findings, and monitored corrective actions.
6. Prepared monthly reports on regulatory changes and their impact for senior management.
7. Validated control processes and implemented compliance policies effectively.

Experience

5-7 Years

Level

Executive

Education

BSF

Description :

1. Supported a proactive regulatory compliance program, reducing brand risk and enhancing operational integrity.
2. Ensured compliance with regulations through regular monitoring and audits, identifying areas for improvement.
3. Developed and implemented compliance systems, streamlining processes and increasing efficiency.
4. Reviewed disclosures, statements, and policies to ensure alignment with regulatory requirements.
5. Created an automated compliance training course, decreasing training time for over 120,000 professionals.
6. Identified cost-saving opportunities in client-facing documents, optimizing paper usage and distribution.
7. Established a client self-opt-out website, enhancing data integrity and reducing resource allocation.

Experience

2-5 Years

Level

Executive

Education

AA In Liberal Arts

Description :

1. Researched and resolved breaches of security based on specific Government and State regulatory requirements, consulted with corporate legal to ensure compliance.
2. Provided credit monitoring services from our vendor to customers whose information had been compromised.
3. Performed regular reviews of our business units to ensure compliance with company policies involving security and privacy were being followed.
4. Conducted risk assessments of new computer systems being implemented to ensure security was not an afterthought but built into the systems being implemented.
5. Performed quarterly reviews of all mobile devices to ensure that all new devices deployed throughout the company were configured with the security settings.
6. Developed training programs to ensure all employees were aware of corporate security policies and privacy standards.
7. Reviewed and updated security policies, conducted quarterly audits of our business units to ensure individual department procedures were being followed.

Experience

5-7 Years

Level

Executive

Education

Diploma

Description :

1. Ensured guideline adherence in relation to inter-affiliate transfers by monitoring and cataloging Form D limits on behalf of various operational and legal areas.
   
2. Facilitated cross-divisional collaboration and transparency by liaising with Operations, Systems, and Legal Departments on diverse ad hoc and routine compliance matters.
3. Supported IT initiatives as required based on diverse operational and data quality backgrounds.
4. Drove improvements in data accuracy and vendor relationships by identifying data flaws inherent in the trade monitoring system.
5. Exposed vendor and in-house data inefficiencies from which a major firm-wide initiative was subsequently developed to address.
   
6. Responsible for Integral in enhancing processes; introduced the functionality of a new in-house reporting system.
7. Developed reporting tools for use within the department, streamlining ad hoc quarterly reporting tools and greatly reducing the time needed to perform tasks.

Experience

5-7 Years

Level

Executive

Education

BBM

Description :

1. Identifies and analyzes regulatory, financial and operational risks ensuring internal control effectiveness for all channels and functions.
2. Interfaces with all levels of management to analyze and mitigate risk and ensure effective controls.
3. Consistently reviews new regulations and staying current on new developments in policy and procedures within the industry.
4. Monitors and administrators of personal trade activity through the Personal Trading Assistant (PTA) for all Investments access personnel.
5. Manages industry requirements and firm procedures to identify potential deficiencies and coordinates findings with respective reports making recommendations as required.
6. Monitors and reviews email through Autonomy/S6 for adherence to policies and procedures including regulatory rules and for company appropriateness.
7. Manages and administers training via learning for Insider Trading as well as administration of the Code of Ethics program and the new hire onboarding process.

Experience

10+ Years

Level

Senior

Education

BA

Description :

1. Managed and performed IT Advisory and IT Assurance services for 11+ clients to ensured SOX Compliance for the organizations.
2. Performed process walkthroughs and internal controls testing that resulted in the identification of gaps and their remediation efforts.
   
3. Conducted interviews, documented and reviewed client processes and procedures, documented and prepared work papers.
4. Performed audit process and procedures by developing test scripts based on controls including reviewing and analyzing evidence.
5. Identified and documented audit issues and developed recommendations using independent judgment.
6. Prepared planning memo, audit plans test scripts to perform sampling and testing of controls to generate audit reports.
7. Recommended and coordinated IT SOX requirements and supported the Implementation of IT Controls to ensure SOX Compliance.

Experience

2-5 Years

Level

Junior

Education

BS

Description :

1. Review regulatory data and information to ensure compliance guidelines are met within the structure of the bank.
   
2. Gap analysis, risk assessments, regulatory testing, and reviews.
3. Work with stakeholders on compliance-related mandates to ensure overall compliance achievement.
4. Identify and correct discrepancies with day to day functions including mitigation and resolution.
5. Analyze and research potential compliance issues and lead a resolution for appropriate changes.
6. Assist with federal compliance examinations, internal audits and facilitate maintenance of records.
7. Held a critical role in a workgroup that determined and assigned customer risk ratings.

Experience

10+ Years

Level

Senior

Education

MBA