The Chief Compliance Officer is responsible for overseeing compliance within the organization and ensuring compliance with laws, and regulatory policies, procedures, and requirements. The job position is accountable for undertaking varied job duties, some of which are mentioned on the Chief Compliance Officer Resume as follows – developing annual compliance work plan, periodically revising the compliance plans, guiding the management and the compliance team in a productive way, overseeing and monitoring compliance program implementations; providing strategic direction to the team, and monitoring external review process.
As the CCO is one of the important members of the management team, the following skills are expected – knowledge of risk management and assessment; familiarity with regulatory compliance, filings and audits; thorough knowledge of industry regulations, and excellent organizational skills. While a bachelor’s degree in compulsory, Employers prefer an advanced qualification and work experience.
Objective : Office Management professional with operations and compliance experience in the financial industry. Accomplished individual highly skilled in implementing processes that reduce error.
Skills : Health License, Management.
Description :
Reviewed and approved transactions/trades coming through the B/D for suitability prior to them being released for execution.
Directly supervised all facets of the compliance department, including advertising, surveillance, branch office examination.
Assisted FIN/OP in gathering and interpreting documents required to file FINRA Focus Reports.
Developed and drafted procedures for the AML programs. Additionally drafted policies for B/D self Audits.
Reviewed and approved Account Information Forms, new direct business applications, and trading activity blotters.
Reviewed and approval of advertising and marketing material in order to comply with FINRA regulations.
Provided information on health programs and CRIHB leadership regarding the impact of the laws and regulations.
Experience
2-5 Years
Level
Junior
Education
BBA
Chief Compliance Officer I Resume
Objective : Dynamic examiner able to coordinate and direct all phases of project-based solutions while managing and motivating project teams to achieve optimal results.
Responsible for the due diligence process and transition to the Quest compliance program.
Managed the compliance audit team, reporting outcomes to Executive Management as well as the Audit Committee of the Board of Directors.
Developed, maintained and supported the implementation of updates to the Compliance Program and Plan.
Routined interaction with the Audit Committee of the Board of Directors through quarterly presentations as well as ad hoc discussions.
Investigated reports of alleged non-compliance.
Performed compliance education for corporate and operational employees.
Communicated and work with company general counsel as well as outside counsel regarding compliance issues.
Experience
2-5 Years
Level
Junior
Education
Public Policy
Chief Compliance Officer/Representative Resume
Summary : Experience in the financial services industry and currently holds series licenses. Knowledge spans from Chief Compliance Officer to owning and operating a full service.
Skills : Management, Health Information Management.
Description :
Promoted from Regional Director of Student Services and Compliance Provide leadership in student services planning and student operational support systems.
Managed student services policies and procedures. Built and maintained the firm's Rule 206(4)-7 COE.
Coordinated and supervised student retention and placement.
Developed, implemented, and monitored institutional effectiveness outcomes assessment program.
Ensured compliance with DOE, BON, CIE, and ABHES requirements.
Supervised campus Student Service Coordinators. Oversaw all aspects of the company's compliance and supervisory functions.
Obligated in addition to directing and enhancing the firm's training program.
Experience
7-10 Years
Level
Management
Education
Management
Chief Compliance Officer Resume
Summary : As a Chief Compliance Officer, responsible for Monitoring and testing the Firm’s policies and procedures to determine the adequacy and effectiveness of the Firm’s compliance program, Reporting results to, and work with, business unit management to implement improvements as required.
Acted as a liaison between business units and compliance attorneys. Reporting events that pose a threat to the Company.
Communicated regulatory changes to operations staff and senior management.
Tested and monitored due to diligence systems to ensure accuracy in determining findings.
Protected assets from unauthorized access, disclosure, modification, destruction, and interference.
Prepared and executed training for all applicable laws and regulations.
Provided timely response to compliance issues for files undergoing due diligence review.
Managed Compliance Process System Development and Quality Control Departmental Compliance Support.
Experience
7-10 Years
Level
Management
Education
Summer Program
Chief Compliance Officer/Analyst Resume
Summary : To be considered for the Staff Development position. Acquired through working three years with the Office of Inspector General, as the Director of Nursing for four and a half years in a long term care facility.
Skills : Microsoft Office, Excel.
Description :
Responsible for the implementation of the Bank Secrecy Act and Anti-Money Laundering Compliance Program.
Ensured application of Know Your Customer (KYC) procedures for new customers.
Monitored and investigate customer transaction activity for the required internal and external reporting.
Worked with the Compliance Committee to arrange required BSA/AML training for staff.
Worked with outside consultants on risk assessing the company's products and services.
Arranged and conducted the required BSA/AML training for staff.
Monitored and coordinated compliance activities of others to remain abreast of the status of all compliance activities and to identify trends.
Experience
7-10 Years
Level
Management
Education
Business Administration
Chief Compliance Officer III Resume
Summary : Highly qualified Chief Compliance Officer with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and would excel in the collaborative environment.
Skills : Leadership Derivatives, Options Training and Development.
Description :
Implemented the firm's policies and procedures for both the RIA and the affiliated broker-dealer.
Ensured compliance with such via testing and internal audits.
Developed the curriculum for the firm's continuing education program.
Prepared and submitted all regulatory filings and respond to all regulatory inquiries.
Supervised compliance staff and all branch offices of the firm.
Registered all new employees and new branch offices with FINRA via the Web CRD and IARD system and amend U4's as necessary.
Reviewed as approved principle all advertising, sales literature and sales correspondence.
Experience
10+ Years
Level
Senior
Education
Political Science
Chief Compliance Officer III Resume
Summary : To secure a position in the organization that offers challenge and opportunity for career development. At the same time serves the organization to the best of capabilities.
Skills : Registered Para planner, Research, Compliance reviews.
Description :
Supervised all staff and ensure they are in compliance with the NC Approving Agency, NC Barber & Cosmetic Arts Board, NACCAS Accreditation.
Created a database system for safe record-keeping and database entry.
Developed new partnerships & educational platforms for the institute.
Ensured website development & site optimization is effective.
Responsible for budget planning, yearly objective identification.
Oversaw Accounts Payable, Accounts Receivable, Payroll allocations, Corporate Billing/Allocation, and General Accounting.
Extensive knowledge of broker dealer and investment adviser compliance and regulations.
Experience
10+ Years
Level
Senior
Education
Business Administration
Asst. Chief Compliance Officer Resume
Objective : Responsible for Maintaining well organized systemic records of the Firm’s compliance program in the event of an outside audit and/or regulatory examination.
Skills : Technical Skills, Management.
Description :
Provided leadership to identify, evaluate, mitigate and report on all firm compliance based on SEC regulatory requirements.
Cultivated an environment of continual improvement and performance.
Created and updated compliance policies and procedures for operation and financial standards for direct SEC compliance.
Worked with outside accounting firm supporting GIPS compliance.
Supplied records, documented information and performance history.
Supported the verification process for accurate marketing.
Identified and resolved cases with discrepancies and compliance issues.
Experience
2-5 Years
Level
Junior
Education
Associate In Arts
Associate Chief Compliance Officer Resume
Objective : Organization is imperative when executing work in a timely and efficient manner. Organizational skills include but are not limited to staying on task with a project, keeping a written record of all procedures.
Skills : Technical Skills, Good Work Efficiency.
Description :
Handled and processed confidential client information. Directly supported the CEO in managing an operation workflow.
Developed more efficient filing systems and customer database protocols.
Increased meeting efficiency by developing meeting agendas.
Improved communication efficiency as the primary liaison between departments, clients, and vendors.
Standardized department filing system to increase efficiency.
Provided support for the CEO and sales team in managing operation workflow.
Scheduled and confirmed appointments for the entire management team.
Experience
2-5 Years
Level
Junior
Education
Psychology
Lead Chief Compliance Officer Resume
Headline : Experienced with investment firms offering private and public investment products. Extensive experience with the Investment Advisers with respect to SEC, state, CFTC and NFA requirements.
Skills : Problem Solving Skills, MS-Excel.
Description :
Ensured acquiescence with compliance standards and regulatory requirements.
Identified compliance risks from Prop Trading and manage them by providing training, advice, testing, and monitoring.
Carried out compliance planning for proprietary trading.
Presented the firm in communication and interaction with regulatory bodies.
Supervised all operations for firms relating to WSP's.
Processed meets the requirements of regulatory.
Carried out as hoc projects and prepared period reports to management.
Experience
5-7 Years
Level
Executive
Education
Finance
Chief Compliance Officer Resume
Headline : Accomplished compliance, finance and audit professional with extensive experience developing and implementing compliance and internal audit programs for academic medical centers.
Skills : Technical Skills, MS-Office.
Description :
Monitored principal trading account activity in the U.S.
Treasury securities, collateralized mortgage obligations, and corporate debt instruments.
Reviewed client account activity to ensure adherence to federal laws and self-regulatory organization rules.
Worked with Trading Desk in determining internal mark-up policy.
Oversaw state registration requirements for the firm's licensed individuals.
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