As a Regulatory Compliance Analyst, the professional is tasked with the duty of planning, and coordinating the operational activities of the company and make certain that the government regulations and ordinances are satisfactory. The job responsibilities associated with the role are mentioned on the Regulatory Compliance Analyst Resume as – reviewing regulatory bulletins and other sources of information; coordinating rate deviation filings, providing an overview of product disclosures, establishing and enforcing organizational standards, and to maintain quality of service; revising forms and rates; collecting and summarizing information to prepare informative reports, and performing internal reviews.
The nature of the job demands the following core competencies – working knowledge of compliance issues; familiarity with computers; the ability to maintain strong working relationships, a good understanding of risk assessment and mitigation; and the ability to implement comparative analysis and to deliver logical recommendations or conclusions. A Degree in the field of accounting or business is commonplace among job applicants.
Headline : As a Regulatory Compliance Analyst, responsible for Providing follow-up to Business Unit until agreed corrective action plans are implemented and review them and ensure they strengthen the Banks processes and controls.
Skills : MS Office, Communication Skills, Multitasking.
Description :
Responsible for the day-to-day management of regulatory compliance as it relates to workers' compensation aspect of the business.
Monitored proposed amendments to statutes and regulations, and determine potential organizational impact.
Prepared rate, rule, and form filings.
Submitted to state regulatory insurance agencies as required.
Responded to objections and requests for clarification in order to ensure approval from state agency.
Researched and reviewed statutes and regulations affecting product lines.
Recommended revisions to rates, rules, forms, procedures, and practices to ensure compliance.
Experience
5-7 Years
Level
Junior
Education
Bachelor In Computer Science
Regulatory Compliance Analyst Resume
Headline : Regulatory Compliance Analyst will be responsible for managing internal and external compliance requirements, including regulatory and industry standards. This includes maintaining and updating the regulatory compliance documentation library and assisting with the development of compliance programs.
Skills : Microsoft Office, OFAC, Fraud Investigations, Knowlege Of FINCEN, BSA, Training, Sales.
Description :
Prepared Agency Releases with information that will affect the credit union and or its membership from the top regulatory agencies.
Responsible for Special Accounts (HAS/Education) Responsible for reviewing Notary/Signature Guarantee Responsible for reviewing any changes or updates to the Children's Online Privacy Protection Act (COPPA).
Quarterly Website Reviewed for non-lending Preparation of the weekly Regulatory Report & Roundup Report Review telephone scripts for contact center.
Prepared and analyzed reports on compliance activities.
Recommended and helped implement corrective action plans.
Conducted store training and internal audits where 4473s, A&D logbooks, and required employee training materials are reviewed for accuracy.
Organized Monthly Firearms Inventory and Record review, analyze all inventory data and report findings to corporate and field management.
Experience
5-7 Years
Level
Executive
Education
GED
Regulatory Compliance Analyst Resume
Headline : Attain a Compliance Regulatory Compliance Analyst position by utilizing my exceptional analytical, researching, evaluating, multitasking and technical skills, in conjunction with my outstanding attention to detail, extensive compliance experience and project and data management skills.
Skills : Draft and Review Contracts, Settlement Negotiations, Prepare Pleadings and Motions, Interview Witnesses, Legal Research.
Description :
Able to work with our IT department and reduce our workload by 40% 2.
Reviewed and determined that state required signage is posted along with fees.
Conducted import compliance audits for CBP programs, including Customs-Trade Partnership against Terrorism (C-TPAT) security requirements, Importer Self-Assessment (ISA), and Intellectual Property Rights (IPR).
Developed, coordinated, and conducted customs compliance training in compliance with regulatory requirements.
Developed training program and trained corporate subject matter experts in processes for corporate regulatory projects, operations specifications, and manual revisions.
Implemented Risk Management Process for Manual Revisions to assure that Vice Presidents are informed of risks associated with poor processes and can act to correct as required.
Assisted with Bank Secrecy Act/Anti-Money Laundering research and completion of Currency Transaction Reports and Suspicious Activity Reports.
Experience
5-7 Years
Level
Executive
Education
MS
Regulatory Compliance Analyst Resume
Headline : Highly qualified Regulatory Compliance Analyst with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and I would excel in the collaborative environment on which your company prides itself.
Skills : Microsoft Office, Multitasking, Analyst.
Description :
Verified financial standings as well as business licenses.
Successfully underwrote each new agent and determine the risk for the company.
Contacted high-risk agents for annual review and collect items for auditing purposes.
Updated KYC information on all existing customers when needed.
Reviewed bank statements for specific state-required non-comingling purposes.
Tracked and recorded all audits.
Reviewed reports for suspicious activity and file SARs for all findings.
Experience
5-7 Years
Level
Executive
Education
BS
Regulatory Compliance Analyst Resume
Objective : Seeking a promising career emphasizing skills acquired through work and school in the realm of regulatory compliance, market research and analysis, industry communication, and involving leadership, problem-solving, and business planning.
Skills : Compliance, Retail, Team Leader.
Description :
Reviewed new governmental regulations and requirements and worked with the compliance team to ensure compliance.
Researched and implemented Conflict Minerals/Dodd-Frank/Rule 1502.
Educated both internal and external customers of the new rules and regulations.
Created and conducted compliance training.
Conducted enhanced due diligence information gathering and initial reviews for high-risk customers.
Monitored the information gathering process in conjunction with customer due diligence procedures to ensure employees are gathering all required information.
Examined Bank policies, procedures, and practices to ensure compliance with laws and regulations.
Experience
2-5 Years
Level
Junior
Education
G.E.D
Regulatory Compliance Analyst Resume
Headline : Energetic, team-oriented Regulatory Compliance Analyst professional with progressively responsible experience seeking an opportunity to contribute to relationship management, problem-solving, and communication skills at Locus Energy. Proven expertise coordinating cross-functional teams and projects, successfully managing client expectations, developing workflow processes, and implementing programs for telecommunications, life sciences, and non-profit organizations.
Skills : Microsoft Office, Project Management, Database Management, Writing, Training & Development.
Description :
Performed network audits for upgrades to existing sites.
Researched, compiled, and presented comprehensive technical reports to the National AT&T Mobility team for approval.
Applied the most recent national requirements per regulatory standards.
Maintained and tracked accurate records for AT&T and internal databases.
Trainered and in-house subject matter expert on FCC's Antenna Structure Registration (ASR) Environmental Notification Process and Migratory Bird Act and temporary deployment facilities.
Acted as project lead for new market expansion for service in Baltimore, MD, and Washington, DC.
Worked closely with construction teams, RF Engineers, and regional Site Acquisition Manager to deploy 11 temporary cell sites for the Presidential Inauguration in Washington, D.C.
Experience
5-7 Years
Level
Executive
Education
MS
Regulatory Compliance Analyst Resume
Objective : Regulatory Compliance Analyst with 2+ years of experience in designing and implementing policies and procedures to ensure compliance with laws and regulations in support of our federal and commercial business including export control/OFAC, FAR/DFARs, FCPA, CCPA, HIPAA, and GDPR.
Skills : Microsoft Office Power User, Web Design Software, Paperless Workflow Systems Administrator, Task Manager, Critical Thinker.
Description :
Provided project oversight, leadership, and guidance of corporate regulatory projects for all 4 operational divisions (Maintenance and Engineering, Pilots, Flight Attendants, Customer Service), coordinating with management at all levels to ensure compliance.
Reviewed company policy and procedures to ensure the incorporation of System Safety Attributes (the FAA's system-based approach for ensuring safety is incorporated in a process through the inclusion of specific attributes).
Performed special assignment to manage the Internal Evaluation Department when the manager was placed on a temporary special project.
Provided key regulatory and process guidance to the safety and evaluation department during continuous improvement (TapRoot) investigations and internal evaluations.
Developed and authored the corporate regulatory manual for management, which contained processes and procedures for regulatory projects, including the Operations Specifications process.
Developed procedures for the corporate communicable disease response plan to comply with CDC requirements for quarantining flights with suspected communicable diseases.
Initiated and led the project team to tailor the FAA's System Safety Attributes to Frontier, provided training to corporate subject matter experts to ensure consistency across the departments.
Experience
2-5 Years
Level
Executive
Education
Master's Of Science
Regulatory Compliance Analyst Resume
Headline : Highly disciplined, competitive, and driven Regulatory Compliance Analystprofessional with 6 ess analysis, and marketing who is seeking a challenging position that will further enhance my skills and provide professional growth opportunities.
Skills : Microsoft Access, Management, Regulatory Compliance, Forklift Operator.
Description :
Oversaw all ATF, Federal and State compliance regulations company-wide, which includes as many as 100 stores.
Built and maintained strong relationships with Outside Corporations, State, and Federal agencies along with field and store personnel.
Maintained the Responsible Party records for all store level and corporate level management.
Ensured all firearm acquisitions and dispositions were accurately recorded to meet Federal regulations.
Reviewed and updated the AS400/JDA Firearms Inventory Tracking System (electronic Acquisition and Disposition logbook) for all firearm locations.
Corresponded as a point of contact for all field and store personnel in regards to Firearms Inventory Tracking System and compliance issues.
Created monthly newsletter for Sports Authority stores addressing important Firearms Compliance topics and providing helpful tips.
Experience
5-7 Years
Level
Executive
Education
BS
Regulatory Compliance Analyst Resume
Objective : Seeking a Regulatory Compliance Analyst profession, responsible for Collaborating with the product, engineering, operations, people operations, security, and compliance to implement new controls, Conducting risk assessments together with key stakeholders.
Subcontracted-Supply Chain Management, providing advice, approval, and risk analysis to various purchasers, sellers, domestic, international, and the USG.
Sustainment Integration and Regulatory Compliance Analyst advising internally and externally.
Developed & instructed multiple SCA training on Contract Law, Compliance, Terms, Risk, and FAR.
Represented LMA on all F-35 program Supply Chain Contracts (individual values at 900 Million+), import/export compliance, and program partnership agreements with various large DOD contractors.
Provided legal advice, counsel, and service to internal business clients concerning legal rights, obligations, and privileges of corporations.
Maintained current on legislative issues, statutes, decisions, and ordinances of quasi-judicial bodies.
Acted as an agent of the corporation in various transactions.
Experience
2-5 Years
Level
Junior
Education
GED
Regulatory Compliance Analyst Resume
Headline : Seeking a Regulatory Compliance Analyst profession with an outstanding career opportunity that will offer a rewarding work environment along with a winning team that will fully utilize management skills.
Skills : Analyst, Communication SKills, Multitasking, Compliance Analyst.
Description :
Analyzed and responded in writing to high-level complaints from customers who submit through regulatory agencies and state attorneys general.
Assessed the regulatory impact of each complaint to determine whether the company is in regulatory compliance, and report on regulatory impact.
Advised senior officials on compliance issues.
Responsible for handling sensitive information and maintaining privacy.
Edited and proofed content for direct-mail print and web communications products for the company's banking business.
Advised company regarding concerns for risk assessment.
Developed, reviewed, and implemented Contracts, Negotiation, and Procurement Training Programs.
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