Compliance Assistant Resume Samples

Description :

1. Researched and analyzed case decision, drafted documents on issues relating to cases or issues relating to ELD 
2. Prepared cases for agency hearings and litigation before federal courts. Assisted in drafting case file documents such as Conversation Records.
3. Worked on cases requiring extensive legal research, brief writing, as well as other duties necessary for the handling of pending litigations matters.
4. Researched evidence to support law enforcement decisions for ongoing criminal cases.
5. Worked with law enforcement sensitive data in ongoing criminal, civil, and administrative cases.
6. Organized and maintained thousands of files in an electronic file system and SharePoint.
7. Created a new intuitive architecture plan for the office's SharePoint: drafted and presented a plan to senior management.

Experience

2-5 Years

Level

Junior

Education

Master Of Arts

Description :

1. Verifies and works with various insurance companies to ensure contractors are in compliance with State Laws.
2. Maintains relationships with various insurance representatives to assist contractors with Compliance.
3. Contact contractors to assist with their renewal of insurance policy and provide any related updates that need to be made.
4. Assists the Claims Specialist with all liability claims that come in from customers that file incident reports.
5. Enters all claims into the HMS System in order to maintain a record of the claim.
6. Submits the claim to the contractor's insurance company and then contacts Sedgwick to report.
7. Maintains all the files for contractors and completes all necessary contact updates.
8. Responsible for assigning contractors audits to various team members.

Experience

7-10 Years

Level

Management

Education

BA

Description :

1. Maintain work orders for compliance inspections and testing.
2. Handled all distributions of permits and certificates. Ordered general office supplies and other purchases.
3. Maintained a standard supply inventory and monitored supply levels timely.
4. Prepared highly confidential material and information concerning acquisitions, mergers and personnel matters; maintained current records on officers and directors.
5. Reviewed all incoming correspondence; determined significance and appropriate action to be taken.
6. Updated and maintained business and social calendars; arranged board meetings and corporate luncheons; received guests.
7. Screened and handled telephone calls; coordinated and set up conference calls.

Experience

5-7 Years

Level

Executive

Education

BS

Description :

1. Responsible for evaluating the circumstances of suspected fraud and make recommendations about future measures.
2. Assisted with the review and audit compliance with policies, plans, procedures, laws, and regulations.
3. Interviewed witnesses, complainants, suspects and research transactions and records to present investigation results.
4. Gathered financial documents and other evidence for presentation in court.
5. Developed and maintain vendors and business partner databases.
6. Assisted external auditors as and when required.
7. Required Was instrumental in uncovering serious schemes of fraud such as inventory schemes, vendors.

Experience

5-7 Years

Level

Executive

Education

Finance

Description :

1. Achieved a Performance Award and raise for creating four excellent and successful E-Learning training courses.
2. Recognized for exemplary work in training coordination and planning.
3. Performed formal new account training on Overdraft Protection Programs.
4. Review commercial and consumer loans for compliance with company procedures and Federal laws.
5. Review the company website quarterly for compliance with FDIC guidelines and Federal laws.
6. Audit network and program access quarterly for compliance with company procedures and network security.
7. Monitor high-risk accounts and report any unusual activity.

Experience

10+ Years

Level

Senior

Education

Software Engineering

Description :

1. Reported to the Vice President of Internal Controls.
2. Responsible for managing the Sarbanes-Oxley (SOX) quarterly certification process, provided administrative support and editorial assistance.
3. Start a position as a temporary employee and hired as a permanent employee.
4. Developed and maintained database systems.
5. Compiled, organized, input, and maintained Internal control information on Intranet.
6. Developed and managed standards and guidelines for implementation of the Sarbanes-Oxley (SOX) quarterly certification process.
7. Assisted staff with pre- and post-audit planning needed for each phase of testing.

Experience

5-7 Years

Level

Executive

Education

Business Management

Description :

1. Reported directly to the Compliance Officer of National Bank of Canada, an international financial institution.
2. Ensured federal regulations were followed in the collection of client information.
3. Verified and inputted client account information utilizing GIFTS database.
4. Performed annual and semi-annual account testing.
5. Created spreadsheets to monitor information collected to monitor accounts with unusual activity.
6. Ensured proper procedures followed for large amounts of transactions in accordance with Patriot and Bank Secrecy Acts.
7. Handled large amounts of personally identifiable information with the utmost discretion.

Experience

2-5 Years

Level

Junior

Education

Business

Description :

1. Tracked sales representatives' spending to comply with OIG regulations, requiring regular communications with members of the sales team.
2. Provided updates to Chief Compliance Officer.
3. Document management: edited and maintained controlled documents, such as Forms, Work Instructions as directed.
4. Internal document management on Sharepoint. Obtained MSDS documents and created binders.
5. Completed and provided requests for company credentials by potential managed care companies.
6. Oversaw removal of liquid waste from the lab's tank by remover each week and filed manifests.
7. Advised managers on organizational policy matters and recommend needed changes.

Experience

2-5 Years

Level

Junior

Education

Applied Sciences

Description :

1. Processed subpoena requests for company records. Reviewed subpoenas and identified compliance problems.
2. Worked with attorneys, law enforcement, and court officials.
3. Testified on the validity of company records in court or by deposition.
4. Prepared/rendered billings and handled escalated customer issues.
5. Maintained highly sensitive and confidential information on a daily basis.
6. Set and maintained office appointments, court calendars, mediation schedules, discovery calendars, and client files.
7. Reviewed federal and state laws to confirm and enforce company compliance.

Experience

10+ Years

Level

Senior

Education

Office Administration

Description :

1. Supervisor for customer service representatives and airport line staff.
2. Responsible for concierge and catering for pilots and VIP passengers.
3. Managed rental cars and hotel reservations for all customers.
4. Responsible for billing on fuel orders for private and government aircraft.
5. Coordinated daily operations of the business, including the hiring and scheduling of staff.
6. Inventory management and the ordering of merchandise. Organized daily, weekly, and monthly financial reports.
7. Conducted compliance buys at grocery stores to ensure compliance with Wic regulations.

Experience

10+ Years

Level

Management

Education

Diploma

Description :

1. Responsible for getting new hires set up in our operating system.
2. Collect payments and enter into a system using open office and also create codes for accounting.
3. Audit all files received and ensure company compliance.
4. Obtain missing documents from new hires to ensure the file is compliant.
5. Customer Service Representative/ Scheduler Work closely with customers regarding freight.
6. Entered loads into the system then scheduled appointments.
7. Track loads to make sure they are picked up & delivered on time.

Experience

5-7 Years

Level

Executive

Education

BS