Compliance Administrator Resume Samples

The Compliance Administrators are responsible for overseeing and managing the corporate compliance programs which will review and evaluate all compliance issues within the organization. Some common tasks mentioned on the Compliance Administrator Resume include – assisting Chief Compliance Office in designing and implementing the administrative policies, providing training to employees, managing communication with legal and regulation department, administering internal audit processes, and managing all new security paperwork.

The most sought-after qualification for this post includes – the ability to assess business and operations risk, audit conducting skills, the potential to identify compliance issues, assessing and interpreting skills, and a good knowledge about security and vulnerability. Knowledge about the latest business technologies and IT requirements is like climbing the career ladder. The Compliance Administrators are supposed to have at least a Bachelor’s degree although advanced qualification represents an advantage. Relevant work experience is also needed.

Compliance Administrator I Resume

Summary : Compliance Administrator I with a strong technical base and significant experience interacting with all levels of firm management and external regulatory authorities. Excellent communication skills, both verbal and written, and the ability to present technical information and influence decision making. Possess strong problem-solving skills and the ability to develop and implement innovative solutions for resolving compliance issues.

Skills : Expert Navigation Of FINRAs Web CRD And Gateway, WebEx, Capital IQ, Big Dough, CRM, ShareFile, Microsoft Office Word, Excel, Powerpoint, Outlook

Description :

  • Organizing and leading firm5wide annual compliance meetings and sales meetings with approximately 50 representatives.
  • Saved firm thousands of dollars in fees by building cases for fee removal.
  • Built relationships with FINRA regulators in NYC, Los Angeles and Denver resulting from 4 cycle exams.
  • Facilitating conference calls with FINRA regulatory personnel and ascendiant principal representatives.
  • Educating all departments and respond to inquiries on compliance related matters to assist in comprehending regulatory obligations.
  • Monitoring compliance education requirements as determined by regulations and the firm, managing training and certification completion.
  • Registering personnel with FINRA, performing onboarding and offboarding processes including disclosure requirements and initial review of outside business activities and outside securities accounts according to firm policy.
  • Requesting duplicate statements and confirmations, ensuring disclosure and managing the review of all registered representatives personal.
Years of Experience
Experience
10+ Years
Experience Level
Level
Management
Education
Education
BA

Compliance Administrator Resume

Summary : Accomplished Compliance Administrator with 12 years of experience and with a consistent record of advancement in fast-paced, confidential, high pressure, dynamic, deadline-driven settings. Recognized as a quick learner who enjoys learning new things, with strong skills in meeting challenging deadlines with quality, multi-tasking, conflict management, communication skills (verbal and written), interpersonal relationships, working well independently and in a team, as well as a sense of humor.

Skills : Office Administration, Compliance Monitoring, Supervision And Training, Audit Preparation. Writing, Editing, Reports, Scripts, Correspondence

Description :

  • Managing all HR functions, including new hire screening and onboarding, annual training, benefits administration.
  • Ensuring operational compliance with contracts, industry standards, and government regulations.
  • Directing and leading the onsite assessments performed by major banks, and major accounting firms.
  • Executing the delivery of time-sensitive due diligence questionnaires requested by major banks and major accounting firms.
  • Managing corporate contracts through the entire life cycle and implementing the annual review process.
  • Reporting directly to CEO and key stakeholders on corporate compliance status.
  • Responsible for supporting compliance with the account management requirements associated with the contracts between the company and its various clients.
  • Communicating with clients on the status of routine questions, projects, or issues, and supporting specific projects as assigned.
Years of Experience
Experience
10+ Years
Experience Level
Level
Management
Education
Education
Certification


Compliance Administrator Resume

Summary : Dedicated and focused Compliance Administrator who excels at prioritizing, completing multiple tasks and following through to achieve company project goals. Answer incoming calls while handling in-person inquiries from members, PCAs and colleagues. Maintain client and employee confidentiality in accordance with Health Insurance Portability and Accountability (HIPPA) Law.

Skills : 70 Wpm Proficient In MS Word, Excel, Access, PowerPoint, Publisher, Corel Word Perfect, And Timeslips Proficient In Legal Research And Writing

Description :

  • Assisting the Vice President of compliance in the maintenance of all aspects of compliance.
  • Executing and adhering to local and state statutes, rules and regulations relative to the college.
  • Implementing and adhering to accrediting standards, national statutes, rules and regulations relative to the college.
  • Assisting with initial licensing and licensing renewals for all appropriate state agencies and boards in appropriate states, to include allied health, cosmetology, massage therapy and all other proprietary/career programming of the college.
  • Assisting in coordinating and preparing applications to relevant state and accrediting agencies for new and revised programs.
  • Assisting in the preparation of the college's responses to on-site and state accreditation visits.
  • Assisting in the preparation of submissions relative to new programs, substantive and non-substantive modification for state and accreditation bodies in areas including, but not limited to, changes in location, changes of ownership, changes of name and changes in program curriculum offerings, and complaints.
  • Serving as a liaison between all appropriate boards and commissions relative to program approval, revision, implementation, licensing and basic inquiries as well as communicating with subject matter experts and the legal team.
Years of Experience
Experience
10+ Years
Experience Level
Level
Management
Education
Education
MS

Junior Compliance Administrator Resume

Objective : Dedicated and focused Junior Compliance Administrator who excels at prioritizing, completing multiple tasks and following through to achieve company project goals. Answers incoming calls while handling in-person inquiries from members, PCAs, and colleagues. Maintains client and employee confidentiality in accordance with Health Insurance Portability and Accountability (HIPPA) Law.

Skills : Microsoft Outlook, Microsoft Word, Data Entry, Data Analysis, Customer Service, Writing, Microsoft Excel, Microsoft PowerPoint, Editing

Description :

  • Assisting the HR Director and corporate compliance administrator with all company compliance pertaining to all employees, understanding the rules and regulations of all programs serviced.
  • Conducting new employee/new member orientations, as well as re-orientations for the office.
  • Assisting the corporate office with daily electronic visit verification validation for all caregivers time reporting.
  • Responsible for time and attendance report for the office this includes EVV reporting, adjusting daily claims in Authenticare, maintaining missed and late visits for the office.
  • Responsible for all records in reference to caregiver training and documentation updates such as drivers licenses, vehicle insurance cards and CPR/FA certifications and all other pertinent information.
  • Responsible for maintaining and updating all employee files per rules/regulations and Inteli-Care, LLC policies.
  • Reviewing and evaluating the PCI related controls, including audit testing and documentation of PCI compliance activities.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Associates


Compliance Administrator Resume

Objective : Motivated Jr. Compliance Administrator, quality improvement specialist, and a former case manager with strong skills in communication, assessment, service planning, coordination of care, housing coordination, and specialty in co-occurring disorders. Strong compassion and commitment to providing the highest quality of care in meeting the needs of behavioral health members.

Skills : 65 Wpm, Acrobat, Adobe Acrobat, Excel, Goal-oriented,Microsoft Office, Human Resources, HRIS, E2 - ShopTech

Description :

  • Overseeing the training of new staff to ensure they meet competency standards.
  • Ensuring the staff complete all required training, certifications, and TB and fingerprint clearances within required timeframes.
  • Promoting the development of staff skills by participating in, and encouraging all staff to engage in optional training and development opportunities.
  • Ensuring the staff report patient information, compliance, behavioral changes, and therapeutic issues, to the Clinical Director, Executive Director, and other appropriate departments.
  • Monitoring the staff to ensure ADLs and rounds are conducted hourly or as ordered by the practitioners.
  • Reviewing all clinical documentation daily to ensure it is complete, accurate, and submitted within the required time frames.
  • Monitoring quality control inspections to ensure they are completed in a timely manner.
  • Monitoring the staff to ensure they are meeting food standards and logging all information in appropriate logs.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
MS

Compliance Administrator Resume

Summary : Multi-faceted, efficient & reliable administrative, marketing and compliance professional with 11+ years of experience supporting executives, salespeople, managers, and co-workers to improve internal operations. Proficient in all of the standard office desktop software, Adobe design software, and MS SharePoint. Diversified skill sets covering administrative support, marketing, compliance, client relations, writing, human resources, account management and project management.

Skills : Microsoft Word, Outlook, Excel, PowerPoint, One Source, Adobe Acrobat, Windows XP, Windows 7

Description :

  • Performing know your client research to determine the identity of prospective and existing clients to comply with the firms AML policy and USA patriot act policy.
  • Performing an ongoing monitoring of existing clients to ensure compliance with the firms AML policy.
  • Reviewing AML files to ensure proper identification of clients is maintained.
  • Providing analysis and coordinating securities trading approval with the deputy general counsel.
  • Preparing and maintaining the compliance requirements of the European Union market abuse directive.
  • Maintaining the firm's global restricted security list of issuers with respect to nonpublic material information.
  • Researching the business transactions and corporate family structures for new business intake and legal conflicts.
  • Creating and maintaining the ethical screens and information barriers in the firms document management system.
  • Collaborating with vendors, firm management and department staff in identifying research sources to meet risk management objectives.
Years of Experience
Experience
10+ Years
Experience Level
Level
Management
Education
Education
BS

Compliance Administrator Resume

Objective : Compliance Administrator with excellent organizational skills. Strong background in Accounting, Compliance, and Anti-money Laundering in the Financial Services Industry. I have over 3 years in the Broker/Dealer side of the business. Experienced working as a team member and as an individual contributor. Consistently received the highest job ratings.

Skills : Customer Service, Data Entry, Microsoft Office, Switchboard, Outlook, Administrative Assistant, Microsoft Office, Microsoft Visio, TrackWise, Adobe Acrobat Pro, Compliance, Process

Description :

  • Oversaw and managed the corporate compliance program while concurrently reviewing and evaluating the compliance issues within the organization.
  • Ensured that the board of directors, management of the company, and employees were in compliance with the rules and regulations of regulatory agencies.
  • Developed, initiated, maintained, and revised policies and procedures for the general operation of the compliance program and its related activities to prevent illegal or improper conduct.
  • Ensured that company policies and procedures were being followed and that behavior in the organization met the minimum company standards of conduct and disposition.
  • Implemented a lost shareholder policy which resulted in the prevention of the escheatment process.
  • Created and maintained the company's quarterly newsletter which streamlined and improvised the communication of hot topics relevant to the industry.
  • Maintained the company's training program by selecting courses relevant to industry rules, products, and services.
  • Created a policy that ensured the timeliness and completion of required training.
  • Implemented a compliance policy that assured products, services, and vendors aligned with clients needs.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Associates

Compliance Administrator III Resume

Summary : Compliance Administrator III with 23 years of experience and who goes above and beyond administrative tasks and takes on multiple projects at one time. Excellent work ethic and strength in boosting company morale. Quality focused and committed to approaching administrative tasks with tenacity and attention to detail. Technically adept with advanced knowledge of MS Office Suites and experience creating Excel databases and PowerPoint presentations for top executives.

Skills : Microsoft Office Suite, Customer Service, Filing, Community Relations, Documentation, Legal Research, Programming

Description :

  • Providing as-needed or daily reports to funding advisers to report and/or resolve potential compliance issues.
  • Reviewed negative share and overdraft positions on a daily basis, researching and resolving any potential.
  • Monitoring and maintaining the data coverage and quality necessary for the integrity of compliance monitoring.
  • Creating customer service relations with homeowners of managed communities to promote self-compliance.
  • Reviewing the credit union advertisements, policies, procedures, and new products and services to ensure compliance with state and federal regulations.
  • Reviewing the cash transaction information generate and e-file currency transaction reports.
  • Investigating, researching, and analyzing the system generated cases to determine if activity warrants filing a Suspicious Activity Report (SAR).
  • Communicating with other compliance teams, departments, and branch office personnel.
Years of Experience
Experience
10+ Years
Experience Level
Level
Consultant
Education
Education
Associates

Compliance Administrator II Resume

Summary : A highly driven, detailed-oriented Compliance Administrator II with over 20 years of combined experience in banking, finance and customer service seeking to obtain a challenging and rewarding position that will enable and support my highly professional attributes.

Skills : Financial Reporting, Financial Statement, Finance, Accounting, SAP, ManMan, PeopleSoft, Vantive, US GAAP Standard, Microsoft Excel, Adobe Photoshop, AutoCAD

Description :

  • Served on the implementation team for new CRM system and trainer/point person for the business lending area.
  • Assessed risk of the department on annual basis and rewrote procedures as regulations or policies are changed.
  • Provided origination personnel with requirements to fund loans within specifications of approval/requirements of credit policy, working closely with attorneys to produce and quality control loan documents, and preparing loan closing accounting transactions.
  • Evaluated each loan application or adverse action for HMDA, small business or community development reporting and do database management for government transmission.
  • Managed applications in process and ensuring that all submissions were approved timely working closely with chief credit officer.
  • Authored procedures for and supervise business resumption program for commercial loan administration and loan operations.
  • Represented commercial lending on compliance/technology related committees.
  • Responded to sampling requests prior to regulatory examinations and interacted with regulators onsite to answer inquiries.
Years of Experience
Experience
10+ Years
Experience Level
Level
Consultant
Education
Education
BA

Compliance Administrator Resume

Summary : A well-rounded Compliance Administrator with hands-on experience of 13 years with U.S. import and export operations and regulations, general compliance, Anti-money laundering (AML) and OFAC sanctions. Committed to employee and company education on compliance and enacting a proactive approach in preventing compliance violations.

Skills : Microsoft Office, Microsotf Visio, TrackWise, Adobe Acrobat Pro, Compliance, Process Improvement

Description :

  • Managing the company satisfactory rating in compliance with the department of transportation.
  • Training all commercial drivers on accident prevention, and compliance to all state, local, and federal dot regulations.
  • Conducting and documenting the audits of pre-trip/ post trip inspections, driver qualification files, vehicle maintenance records, and required training documentation.
  • Conducting ongoing training for managers, and drivers on dot and hours of service regulations, CSA scoring, and hazardous material compliance.
  • Overseeing, evaluating, and updating the facility compliance policies including Hazmat, DOT, insurance, as well as company and industry-wide regulations and standards.
  • Investigating all company accidents, incidents, and roadside inspections, and maintaining FMCSA records, and accident register as required by DOT.
  • Auditing the company driver hours of service logs and time records to ensure compliance.
  • Traveling independently to each facility to build team rapport, trust, and working relationships.
  • Develop, oversee, and implement streamlined administrative processes to monitor compliance activities and reduce administrative burden.
Years of Experience
Experience
10+ Years
Experience Level
Level
Consultant
Education
Education
BS