Compliance Analyst Resume Samples

Description :

1. Completed analysis of transactional information to identify risk, trends and potential wary activity.
2. Performed the required KYC screenings on customers documenting the information obtained on the client's as required by global KYC procedures.
3. Ensuring compliance with all AML laws, regulations, guidelines, written procedures; OFAC, CIP, KYC, customer/transaction monitoring.
4. Effectively conducted AML /KYC formality reports on questionable accounts and transactions.
5. Improved and implemented customer risk rating criteria with KYC management and procedure for both consumer and corporate customer.
6. Assisted in the handling of informational requests submitted under the USA Patriot Act Identified accounts for high risk or negative information using World-Check and OFAC.
7. Collected and documented data including SAR history KYC information and Transaction data.

Experience

10+ Years

Level

Senior

Education

Master's In Accounting

Description :

1. Served as the primary contact for Wealth Management Administration, Client Services, Finance, Legal and Compliance, Marketing, Client Experience, Operations, and Mid-America Branch employees through constant written and verbal communication with internal employees and outside brokerage Firms.
2. Reviewed and processed Wealth Management employee's outside brokerage account, outside activity and private security transaction disclosures.
3. Performed surveillance for violations in the holding period and window period of company securities.
4. Provided guidance on various Employee Trading policies.
5. Generated 407 letters pursuant to NASD Conduct Rule 3050 and/or NYSE Rule 407.
6. Responsible for compiling monthly metrics for the Employee Investing and Activities Compliance (EIAC) group.
7. Generated various reports, including late statements and account pending transfers in support of EIAC.
8. Reviewed and processed requests for fiduciary or beneficiary appointments.

Experience

2-5 Years

Level

Executive

Education

Bachelor Of Science In Accounting

Description :

1. Researched and analyzed state laws, regulations, and insurance department guidelines, applying policy text, company practices, filings, and hypothetical / factual situations.
2. Drafted new and revised policy text and related contract forms to comply with state laws.
3. Prepared, submitted, and responded to any objections from insurance departments regarding product filings.
4. Submitted new products for approval for multiple states, meeting project deadlines consistently.
5. Cultivated effective working relationship with state and federal regulators.
6. Prepared and submitted state required regulatory reports, verifying company compliant with state requirements, avoiding unnecessary fines.
7. Researched and analyzed new state laws and regulations; produced summaries and / or action plans for updated regulations, ensuring new requirements applied.
8. Selected as trainer for compliance analysts and troubleshooter for electronic filing system and System for Electronic Rate and Form Filings (SERFF); assisted new hires in understanding compliance policies and procedures.

Experience

10+ Years

Level

Senior

Education

Technical In Practical Nursing

Description :

1. Perform confidential research and analysis of alerted financial transactions generated by more complex monitoring rules in a timely manner.
2. Conducts all regulatory submissions within the timelines and guidelines of the Bank Secrecy Act and country regulatory requirements.
3. Evaluate fraudulent, suspicious and/or unusual activity for regulatory reporting and/or escalation to management and/or other departments.
4. Provides information on trends or patterns to be used for potential control or rule enhancements to MoneyGram's Compliance program.
5. Gathers proper documentation to support analytical findings as part of investigation and or regulatory filing.
6. Ensure appropriate records and files are maintained accurately and are properly reconciled per all recordkeeping requirements (MGI and Regulatory).
7. Supports the data and development of weekly and monthly reports.

Experience

2-5 Years

Level

Junior

Education

M.D In Business Administration

Description :

1. Collected data and performed trend analysis to preemptively address potential state and federal regulatory compliance deficiencies.
2. Reviewed, investigated, and responded to consumer complaints made to various state and federal regulatory agencies such as the Better Business Bureau and Consumer Financial Protection Board.
3. Drafted and implement policy and procedure manuals for recently developed internal processes.
4. Reviewed and assisted Loss Prevention investigations.
5. Drafted and implement policy and procedure manuals for recently developed internal processes.
6. Developed company procedures for reviewing and analyzing compliance-related complaints and deficiencies found in field operations.
7. Consulted and provided data and documentation for federal investigatory review(s).
8. Skills Used Legal background was used to research, analyze, and respond to identified deficiencies.

Experience

7-10 Years

Level

Management

Education

Juris Doctor In Law

Description :

1. Scheduled and facilitated annual compliance training sessions for all Southern California employees.
2. Collected certifications at the end of each session and reported completion of training for each individual employee (over 2,500) to department heads, local human resources and Corporate Compliance.
3. Documented training completion in human resources database.
4. Compiled training materials and facilitated biweekly new hire orientation compliance training.
5. Documented training completion in human resource database and submitted required signed certifications for each new hire to the human resources department for employee files.
6. Scheduled, facilitated and compiled information for internal audits from various sources including lab systems QDSS, QBS, QLS and various decentralized systems.
7. Used data to determine if there had been a violation of Compliance Policy and how the violation may have affected reimbursement by any payer.
8. Analyzed required refunds to determine any trends or system weaknesses, and worked with billing and other functions to implement fixes.

Experience

7-10 Years

Level

Management

Education

Master of Science

Description :

1. Functions: Legislative Analysis, Government Relations, Relationship Management, Monitoring, Marketing, Contracts, and Policy Using Lexis, StateSide's iStateLink, and other tools monitored legislation and regulations, and analyzed them for business impact.
2. Ensured compliance with federal and state legislation and regulations, and corporate policies.
3. Developed and maintained database used to monitor legislation within federal and state governments.
4. Increased collaboration with trade associations and DC Govt Relations team on proposed federal legislation and regulations.
5. Represented Experian with the Merchant Risk Council, the Direct Marketing Association, the Irvine Chamber of Commerce, the Los Angeles Electronic Crimes Task Force, and other city, national, and regional boards and committees.
6. Prepared key memos for executives on highly-sensitive situations, state and federal legislation, compliance concerns and issues.
7. Implemented new and complex business policies and led cross-functional teams to comply with regulations, policies, and contracts.
8. Reviewed business decisions to prevent legal, contractual, and/or regulatory hazards from impacting the business.

Experience

2-5 Years

Level

Executive

Education

Master's

Description :

1. Planned and coordinated operational activities, while ensuring that all policies and procedures were implemented, well documented and developed risk management strategies to avoid non-compliance.
2. Communicated with sales force and management to ensure proper company guidelines.
3. Monitored expired products/signature audits/compiled data of sales reps trends, records and disbursements.
4. Directed reps to the proper channels of adjusting inventory.
5. Reviewed violations monitoring & storage inspection of samples.
6. Ensured sales management PDMA testing process according to pharma guidelines.
7. Assisted the company in meeting regulatory expectations.

Experience

10+ Years

Level

Senior

Education

Associate's Of Arts

Description :

1. Conducting client audits by selecting the audit participants, preparing the documentation, analyzing HIPAA language in each authorization and reporting the results to each client.
2. As part of pre-audit work, audit selection queries, analysis must be conducted, spreadsheets, and analytical tools should be utilized.
3. Work closely with clients to identify and remediate control weaknesses in order to improve the quality of HIPAA compliance.
4. Work aggressively with clients to resolve open Audit issues.
5. Maintain the Department's audit history.Participate in due-diligence updates to be reported to our data vendor.Contribute to the development and implementation of Best Practices for authorization compliance and audits.
6. Proactively communicate to the Business team of any significant concerns.
7. Frequent client and consumer interaction by phone and email.
8. Provide low-level support to clients for business issues.

Experience

7-10 Years

Level

Management

Education

Associates Of Applied Science

Description :

1. Monitored and communicated with internal and external customers regarding regulatory changes that impacted the client's product and services.
2. Interfaced with legal counsel and federal, state, and local agencies, as needed to resolve regulatory issues.
3. Participated in internal education sessions promoting compliance awareness.
4. Additional duties include: Conducts compliance assessments and provides direction on any deficiencies resulting from scheduled product reviews.
5. Analyzed and collected all pertinent information needed to asses the risk to meet proper company and federal guidelines.
6. Participates in development of compliance sessions/presentations.
7. Monitors and ensures timeline check-points are met for compliance projects.
8. Directs and approves internal and customer communications covering compliance issues (bulletins, position statements, monthly reports, etc.).

Experience

2-5 Years

Level

Junior

Education

Diploma

Description :

1. Developed and maintained knowledge of corporate policies and procedures, laws and regulations, industry trends and developments.
2. Communicated agency/investor requirements to staff and implemented necessary procedural changes.
3. Conducted audits of loans to ensure investor/regulatory compliance.
4. Audited collateral documents in accordance with investor requirements using internal audit systems WinCMSS.
5. Acted as the subject matter expert regarding agency/investor delivery/auditing requirements to ensure compliance.
6. Created and maintained quarterly compliance folders on all audit findings and responses.
7. Supervised facilitation of audits with Fannie Mae, Freddie Mac, Ginnie Mae, OCC and Private Investors Auditors.
8. Ensured system integrity is maintained via input of loan/pool data.

Experience

0-2 Years

Level

Entry Level

Education

Degree

Description :

1. Monitored and audited the Countrywide Insurance Group, which included Commercial, Product, Underwriting, Field Agents, Call Center, Operations, Marketing, Life Sales and Specialized Insurance Group to ensure compliance with State and Federal Regulations and Corporate policies and procedures.
2. Provided internal orientation, consultation and training in the application of policy development/implementation and regulatory compliance.
3. Collaborated with Enterprise Privacy in the development and implementation of effective internal operating polices and best practices.
4. Performed testing and analyses for Personal Lines Compliance, to ensure all business partners were in compliance.
5. Validated all operational risks and internal controls had been properly identified.
6. Evaluated the adequacy of designed controls and assigned areas of responsibility.
7. Monitored and followed up on internal control gaps within each Line of Business for Countrywide Insurance Group.
8. Summarized and presented analysis and findings to senior management for assessment of each LoB's performance and remediation steps as needed.

Experience

0-2 Years

Level

Entry Level

Education

B.S. In Business Administration

Description :

1. Submitted rate and form submissions per assigned States.
2. Reviewed all rates, forms and operating procedures to ensure they're in compliance with state laws and regulations per assigned States.
3. Licensed and appointed agents for the company and ensured that service of process agents were appointed and maintained for all states.
4. Appointed Directors and Officers with applicable company changes.
5. Assisted with testing of new rates in the systems before rating plans were put into production.
6. Drafted policy forms and endorsements, and prepared regulatory submissions of new and revised rates and forms to the State Insurance Department.
7. Prepared the regulatory submissions of new and revised rates and forms to the State Insurance Departments.
8. Reviewed new, proposed and regulations to determine the impact to the company and established procedures to notify the affected areas.

Experience

0-2 Years

Level

Entry Level

Education

Bachelor Of Arts In Sociology

Description :

1. Responsible for reviewing loan files to assess the completeness and accuracy of documents relating to federal consumer compliance regulations including: RESPA, TILA, HMDA, FCRA and ECOA.
2. Assisted with implementing the mortgage division's compliance program and ensuring that the day-to-day mortgage operations were conducted in compliance with regulatory requirements in addition to company policies and procedures.
3. Developed a comprehensive compliance program to meet regulatory standards that include, policies and procedures, annual risk assessments, training, and a system of monitoring and reporting.
4. Gather and research current industry trends.
5. Coordinated internal and external compliance audits; reviewed regulators' examinations, provided response to audit findings, and monitored corrective actions, and prepared responses to findings and reports.
6. Prepared and presented monthly progress reports including regulatory changes and its impact to senior management.
7. Validated controls processes and implement compliance regulatory policies and procedures.
8. Responsible for accurate pipeline reporting including settlement dates and loans that were cancelled.

Experience

5-7 Years

Level

Executive

Education

Diploma

Description :

1. Supported a proactive regulatory compliance program mitigating brand risk.
2. Ensured regulatory compliance with applicable regulations and tax and banking laws through regular compliance monitoring.
3. Developed, implemented and monitored compliance systems.
4. Ensured all disclosures, statements, software applications, advertising, policies, procedures, and controls meet regulatory requirements.
5. Decreased training time by creating an automated compliance training course and by creating an internal compliance website for over 120,000 tax professionals.
6. Reduced overall cost of client-facing documents by identifying more efficient paper choices and distribution channels.
7. Mitigated brand risk by creating a website for clients to self-opt out of arbitration, ensured data integrity and reduced work-hour resources.

Experience

2-5 Years

Level

Executive

Education

AA In Liberal Arts