Compliance Analyst Resume Samples

A Compliance Analyst will coordinate the organization’s operations and ensures that they adhere to government regulations. The job description and duties listed on the Compliance Analyst Resume are – planning and coordinating operational activities of the company, guaranteeing compliance with governmental regulations and ordinances, making sure the policies and procedures are implemented and documents, executing occasional internal reviews, identifying compliance issues which need formal attention, developing risk management strategies, filing compliance reports with the regulatory bodies.

Some of the best resumes for the post depict the following skills – working knowledge of compliance issues, familiarity with computers, and the ability to maintain a strong working relationship, strong researching and reporting skills, a good understanding of risk assessment and mitigation; and relevant field experience. The minimum educational requirement needed for this employment is a Bachelor’s degree. Some companies even necessitate a fair amount of work experience.

 

Compliance Analyst Resume

Summary : More than 15 years' successful experience in administrative and customer support with recognized strengths in account maintenance and problem-solving Possess solid computer skills. Proficient use of Microsoft Excel, Microsoft Word and Outlook. Ability to train and motivate employees Effective communication skills both oral and written.

Skills : Excel, Tableau, Talent Acquisition, Powerpoint, Analytics, Investigation, Compliance.

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.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Master's In Accounting


Lease Compliance Analyst Resume

Objective : Ability to conduct internet-based research for fixing several issues Ability to read, understand, interpret and comprehend business data Absolute attention to detail and acutely organized Ability to effectively present findings and recommendations; recognizes when matters require escalation to management. Strong time management skills, including the ability to effectively prioritize work assignments with changing priorities.

Skills : Analytical, Excel, Computer Skills, Organizational, Detail Oriented, Time Management, Time Management, Internet Research, Client Services.

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.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
Bachelor Of Science In Accounting


Import/Export Compliance Analyst Resume

Summary : Well-versed in monitoring implementation and evaluating Federal programs for the Department of Homeland Security and local State Government. Managed and provided financial assistance to State and local government for the repair and replacement of public facilities.

Skills : Microsoft Office, Data Entry.

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.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Technical In Practical Nursing

Product Compliance Analyst Resume

Objective : Ability to conduct internet-based research for fixing several issues Ability to read, understand, interpret and comprehend business data Absolute attention to detail and acutely organized Ability to effectively present findings and recommendations; recognizes when matters require escalation to management. Strong time management skills, including the ability to effectively prioritize work assignments with changing priorities.

Skills : Microsoft Office, Fluent in English and Korean, Quick and efficient learner, Ability to work in a fast-paced environment handling multiple tasks.

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.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
M.D In Business Administration

Audit Compliance Analyst Resume

Summary : Proficient in providing analytical support for diverse business projects. Track record of improving productivity, reducing costs and tuning cycle speed as per market requirements. Proven skills in achieving cost effective and high quality production targets.

Skills : Legal Research, French, Legal Terminology.

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.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Juris Doctor In Law

Legal Compliance Analyst Resume

Summary : Experience in sales of banking products and services; analysis of financial statements, outstanding debt collections, insurance policy processing. Detail oriented, strong team player, Ability to work under pressure to meet goals. Ability to learn products, services and procedures quickly and accurately to contribute to the goals of the team. Authorized to work in the US. (Permanent Resident).

Skills : Microsoft Office.

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.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Master of Science

IT Compliance Analyst Resume

Objective : Experienced educating stakeholders on policy issues, and the impact of public policy on business. Legislative Research: Experienced in monitoring regulation and legislation, and providing comprehensive analysis to others. Political Campaigns: Experienced working on local, state, and national campaigns, in United States and United Kingdom. Non-Profits: 20 years of experience designing complex programs, volunteer management, outreach, and financial development.

Skills : Government Affairs, Compliance, International Business, Marketing, Public Policy, Leadership, Relationship Building, Government Relations, Presentations, Strong Communications.

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.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
Master In International Business And Law

Claims QI Compliance Analyst Resume

Summary : Microsoft Word, Excel, Power Point, fluent navigation of all Windows 95,98, 2000, XP, ME, 8.1 Encompass, Universal Credit, FHA Connection, 411 Connection, Whitepages, The Work Number, Verify.

Skills : Processing.

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.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Associate's Of Arts In Business Finance

Trade Compliance Analyst Resume

Summary : Responsible and resourceful team player with more than 20 years in healthcare training, clerical and financial administration, including 13 years as a training professional in the clinical research industry.

Skills : Microsoft Office, Sharepoint, Windows, Customer Service, Administrative, Hipaa Compliance, Auditing, Quality Assurance.

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.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Associates Of Applied Science

Compliance Analyst II Resume

Objective : Extensive and Comprehensive Experience in Financial Services; Capital Markets Investing; Portfolio Construction, Management and Monitoring; Compliance and Risk Management; Measuring and Auditing Performance Results; Developing, Growing and Retaining New Business; Customer Relationship Management and Operating in Leadership Roles for Women and Minorities in the Finance and Communications Industries.

Skills : Microsoft Office, heavy telephone contact, analytical and problem solving skills, data entry.

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.).
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Diploma

Compliance Analyst III Resume

Objective : SYNOPSIS Fifteen years of experience in the mortgage industry. Broad understanding of residential mortgage loans. Detailed knowledge of RESPA /TRID guidelines, HMDA, loan processing, underwriting and closing procedures. In-depth knowledge of conventional, government, and portfolio guidelines. Knowledge of federal lending regulations governing residential real estate lending. Excellent organizational skills and great ability to multi-task. Exceptional written and verbal communication.

Skills : ALLREGS Completed Courses:Mortgage Processing, Conventional Mortgage Lending, Elements Of Title Insurance, RESPA Requirements, Truth In Lending Act, Processing And Underwriting Credit, Processing Income And Assets, Revulagory Compliance For Processors,Mortgage Lending Achievement Certificate.

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.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Degree

Regional Compliance Analyst Resume

Objective : Knowledgeable and efficient in Mortgage Servicing, Financial Lending and Regulation with over 10 years of experience. Works exceptionally well in fast-paced environment driven by tight deadlines. Employs a critical eye toward document details.

Skills : Excel, Access, SQL, PowerPoint, Management.

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.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
B.S. In Business Administration

Contract Compliance Analyst Resume

Objective : Business professional experienced working in fast-paced environments demanding strong interpersonal, organizational, technical, and analytical skills. Familiar working in environments with heavy exposure to strict legal and regulatory requirements across multiple organizations both internal and external. Legal and Compliance Sales and Trading Support Training and Development Risk Management Project Management.

Skills : Microsoft, Excel, PowerPoint, Outlook,.

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.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Bachelor Of Arts In Sociology

Business Compliance Analyst Resume

Headline : Broad-based professional with diverse background and 15 years' experience in Securities/Financial industry. Detail oriented with excellent organizational and follow through skills. Known for ability to collaborate and negotiate to accomplish results within team environment. Proficient with Microsoft Word, PowerPoint, Excel; demonstrated skill with Internet research and web publishing tools. Held FINRA Series 6, 63, 7, 9, and 10 Licenses and Federal Communications Commission (FCC) License.

Skills : Sales Force, Microsoft office poructs.

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.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Diploma

Compliance Analyst Resume

Objective : Experienced Leader with a strong background in state and federal regulatory compliance, quality assurance, project management, product analysis, supply chain, procurement, income tax law, banking industry compliance and building relationships with internal and external partners. Skilled in clarifying issues, advocating solutions, mobilizing cross-functional teams, and facilitating decision-making in complex situations.

Skills : Windows, Word, Excel, PowerPoint, Outlook, SAP, Peoplesoft, Salesforce.com, Concordance and Flowserve, Lender Processing Services, Loan Servicing Solution/Black Knight, MSP, SharePoint, IReSS, Mortgagor Assistance Tracking, EasyWebX, Franchise Manager, IBM Lotus Notes.

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. Conducted audits ensuring all retail office activities were performed in accordance with company policies and in compliance with government regulations.
    7. Reduced overall cost of client-facing documents by identifying more efficient paper choices and distribution channels.
    8. Mitigated brand risk by creating a website for clients to self-opt out of arbitration, ensured data integrity and reduced work-hour resources.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
AA In Liberal Arts