Compliance Associate Resume Samples

Working under a Senior Professional the Compliance Associate will review the internal policies and procedures of the company to ensure that the controls are as per the specified regulations. The major responsibilities that can be seen listed on the Compliance Associate Resume include – partnering with internal auditors and tax compliance specialists to perform various duties, ensuring that the employees abide by the regulations, making sure that the legal elements in corporate transactions are on par with the regulatory guidelines; researching and reporting on regulatory changes.

The most sought-after qualifications needed for this role are – a very good knowledge of internal audit and bookkeeping; the ability to follow regulatory guidelines, staying updated with changes and amendments in the respective field and the ability to review and verify data accuracy. A Bachelor’s degree in finance, accounting or a related field is normally required for this position.

 

Compliance Associate Resume example

Compliance Associate Resume

Summary : Political Activity Attorney with 13 years of legal, government affairs, and compliance experience. Experience includes lobbying registration and reporting, PAC reporting, legislative research, issue tracking, campaign finance consultation, pay-to-play regulation, ethics and regulatory compliance, gift and entertainment compliance.

Skills : Microsoft Office Programs.

Description :

    1. Advised clients on permissible lobbying activity including expenditure and gift limits.
    2. Counseled clients on campaign contribution limits and reporting requirements for corporations, political action committees, lobbyists, and individuals at the state and federal levels.
    3. Assigned internal and external research projects from beginning through completion.
    4. Researched lobbying, campaign finance, ethics, and procurement law; researched pending legislation pertaining to lobbying, campaign finance, ethics, and procurement law.
    5. Co-authored procurement lobbying publication from inception through first publishing and provided monthly updates thereafter.
    6. Wrote monthly updates for three on-line publications covering lobbying, campaign finance, and procurement law.
    7. Maintained quality control and service and implemented any ongoing compliance changes with personnel.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
JD


Sr. Compliance Associate Resume

Summary : Detail oriented with demonstrated record of results-oriented accomplishment as well as a willingness to take on new challenges and responsibilities. Strong research and troubleshooting skills, good mathematical aptitude, excellent verbal and written communication skills.

Skills : Microsoft Office, Word, Excel, Outlook, Type 50 words per minute, Answering Phones, Balancing cash drawers.

Description :

    1. Worked on ongoing compliance-related projects including third-party service provider due to diligence review, updates to the compliance manual, marketing material review and annual testing of compliance procedures.
    2. Assisted General Counsel/Chief Compliance Officer with research into relevant regulations under applicable regulators and state law.
    3. Assisted with trading compliance oversight and portfolio monitoring as well as employee personal trade monitoring.
    4. Drafted third party sub-advisor agreements and solicitor referral agreements.
    5. Assisted in updating the firm's risk matrix, cybersecurity policies as well as working on the firm's ADV updates and Schedule 13d filings.
    6. Conducted AML review for international exempt adviser status.
    7. Developed CPV program and procedures to monitor process variation.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
JD In Law


Jr. Compliance Associate Resume

Headline : Compliance and providing guidance and attention to the companies launching and conducting their Republic campaigns by helping to guide founders and their teams through the legal filing process necessary to offer securities (run a campaign) on Republic.

Skills : Microsoft Office, Data Entry, Typing, Project Management.

Description :

    1. Monitor fingerprint submission reports, to ensure compliance with both the firm and regulator policies.
    2. Provide e-mail and telephone support to firm employees regarding Compliance policies and procedures.
    3. Identify and provide solutions to internal system queries based on phone calls and email requests.
    4. Review disclosure records for prospective and current employees to ensure compliance with current Federal Regulations (FINRA & NFA) Manage projects for Outside Business Activity audit reviews.
    5. Manage Registration records for registered and non-registered employees.
    6. Monitor Continuing Education and General Security Exams reports, to ensure employees are compliant with federal, state laws and company regulations.
    7. Conduct background checks of potential new hires and provide Managers with information that allows them to make hiring decisions in compliance with labor laws.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Certificate

Compliance Associate III Resume

Summary : Resourceful and innovative, proven to adapt quickly to all challenges. Enjoy organizing projects efficiently to get the job done safely and correctly. Meticulous at multi- tasking and working under pressure.

Skills : Legal Research, Computer.

Description :

    1. Analyze Power of Attorney documents to make sure they are applicable to current laws and protection of our customers.
    2. Research Federal Reserve regulations, and related legal departments, to stay abreast with compliance.
    3. Monthly audit of the branch's financial records for accuracy and accordance with regulations.
    4. Data entry of wire transfers and random audits on their correct form.
    5. Organize and scan documents into a database.
    6. Answers phone to answer any questions regarding compliance and procedures.
    7. Manage and audit field talent compliance, on-boarding and credentialing Coordinate compliance records in CRM systems such as CareKeeper and TRM.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
BS In Legal Studies

Compliance Associate II Resume

Headline : Analytical, detailed and resourceful business professional poised for a position where extensive experience in project management, technical training, process re engineering, and data management will add immediate and quantifiable value. Recognized as an inquisitive and gifted problem-solver with a quick grasp of complex issues; expert in distilling random data into meaningful formats that allow for strategic action.

Skills : Stand up sit down forklifts, React truck, Order picker, Pallet jacks.

Description :

    1. Served as a resource for Policies and Procedures Manual updates, which included verifying policies and procedures that were up to date with the latest regulatory changes.
    2. Maintained the Code of Ethics for the business after familiarizing myself with the ethical requirements for investment advisors.
    3. Collaborated with state auditors to prepare requested documents.
    4. Implemented and conducted annual compliance reviews, including preparation of the final report.
    5. Developed and performed an internal audit to verify policies and procedures were in compliance with the firm's disclosure document and registration document.
    6. Creating a plan of action and executing the plan.
    7. Created the firm's branch management policy, including the development of a written audit procedure.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
MS In Accounting

Compliance Associate I Resume

Summary : Hard working person that picks things up fast. Warehouse and driving experience. Looking for a Compliance Associate to assist our Legal/Compliance and Deal Operations teams.

Skills : Regulatory Compliance, Suspicious Activity Monitoring, Fraud Investigations.

Description :

    1. Displays critical thinking and analytical skills while researching each specific transaction.
    2. Immediately escalates any suspicious activity that is identified and takes ownership of the resolution.
    3. Monitors and reviews a variety of watch lists for any potential customer matches with great attention to detail.
    4. Owns several projects at one time and successfully balances the responsibility.
    5. Gathers and collects data for complex projects and acts as a subject matter expert for the team.
    6. Identifies and develops solutions for possible business process improvements within the business line.
    7. Ensures that all assigned projects are completed prior to the deadline with accuracy.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
BS In Sociology

Compliance Associate/Consultant Resume

Summary : Excellent verbal and written communication skills Proven problem solving skills. Extensive client service experience Working knowledge of SEC Regulations and registration process.

Skills : Microsoft Office, Word, Excel, Outlook, Type 50 words per minute, Answering Phones, Balancing cash drawers.

Description :

    1. Created time-efficient registration and advisor training procedures substantially reducing the onboarding timeframe by 85%.
    2. Managed transfer to a new email system for 50 team members.
    3. Managed all compliance activities in conjunction with the COO.
    4. Processed registration requirements, U5 terminations and coordinated annual compliance requirements working directly with approximately 250 advisors.
    5. Prepared documentation for SEC Audit and responses to client complaints.
    6. Maintained and provided information to Human Resource Manager to help facilitate payment of advisor fees.
    7. Researched and performed analysis of regulations and their impact on the firm for the Vice President of Compliance and Chief Compliance Officer.
    8. Lead as a Compliance liaison on regulatory issues for ad hoc projects with senior management and other business units.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Bachelor Of Arts

Compliance Associate/Analyst Resume

Summary : Self-motivated and confident in making independent decisions and solving problems in a stressful environment. Personable and persuasive in communicating with others.

Skills : Research, Auditing Skills, Research Analyst.

Description :

    1. Extensive knowledge of equity transfer and exchange process, Able to effectively assess shareholders understanding of the process and provide a proper response to all relevant inquiries verbally and in writing.
    2. Worked within various databases to ensure that all information is properly recorded in accordance with NASD rule and regulations.
    3. Worked with paying agents to obtain various types of information specific to shareholder inquiry and reconciliation of accounts.
    4. Maintained records of all required filings with the various regulatory bodies.
    5. Demonstrated professional writing skills and able to articulate complex securities concepts in laymen's terms.
    6. Maintained customer satisfaction through resolution of inquiries and concerns.
    7. Maintained all files and specs pertaining to the department.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
BA In Healthcare

Compliance Associate/Coordinator Resume

Headline : Resourceful and innovative, proven to adapt quickly to all challenges. Enjoy organizing projects efficiently to get the job done safely and correctly. Meticulous at multi- tasking and working under pressure.

Skills : Organizational Skills, Relationship Building, Communication Skills, Time Management, Strategic Planning, Teaching, Management, Data Entry.

Description :

    1. Tasked with maintaining client databases, processing and depositing contributions.
    2. Drafted correspondence to donors that sought more information in order to comply with federal law.
    3. Worked alongside senior team members to organize and share information about donors to campaign managers.
    4. Responsible for several multi-million dollar budgets, analyzed cash flow, run payroll, managed vendor and donor relationships to campaigns.
    5. Use Quickbooks Online and Quicken for bookkeeping and to create financial analysis reports.
    6. Compliance: Adhere to federal and state regulations for campaign finance reporting.
    7. Ensure the accuracy of the information that is being reported to the government.
    8. Determine the legality of every dollar in and out of campaign funds.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
B.A. In History

Compliance Associate/Assistant Resume

Summary : Looking to obtain a position as a team player in a people-oriented organization where can maximize extensive experience in a challenging environment to achieve the corporate goals. Highly dedicated and enthusiastic professional with diverse experience. Effective multi-tasker with proven ability to work independently. -Dependable team player with excellent communication and leadership skills.

Skills : Microsoft Office, Data Entry, Typing, Project Management.

Description :

    1. Assist with management of suspect products including the investigation and gaining control of the products.
    2. Oversight and analysis of quality and performance metrics.
    3. Processes any combination of reports which may include: customer complaints, material review board process, supply and equipment problem deficiency reports.
    4. Process department related problems through the problem management system.
    5. Ensures the reports are accurate and complete and written in a clear and concise manner.
    6. Attend root cause meetings as assigned, and respond to procedural questions from staff at blood drives.
    7. Participate in internal and external inspections/evaluations as necessary.
    8. Liaison between operational department and regional management as it pertains to compliance.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Business Management

Lead Compliance Associate Resume

Objective : Responsible for compliance and privacy related issues, and will assist and support implementing and managing the seven elements of an effective compliance program.

Skills : Microsoft Office, Excel, Power point.

Description :

    1. Assisted in current compliance program to prevent, detect and resolve compliance violations.
    2. Monitored and tested firm's compliance policies and procedures.
    3. Implemented Smarsh email archiving solutions.
    4. Maintained updated Code of Ethics and Compliance Manual documents.
    5. Promoted compliance awareness and responsibility through training and regular communication.
    6. Updated and prepared required registrations and disclosure documents.
    7. Assisted Chief Compliance Officer in Annual Compliance Review of the firm.
    8. Assisted Chief Compliance Officer in creating Employee Handbook.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Bachelor Of Business

Compliance Associate Resume

Summary : Over 10 years of experience in several customer service environments. Keen ability to assess ineffective areas of customer service and propose effective solutions. Expertise in customer loyalty, relationship, and value management. Organized and detail-oriented.

Skills : Microsoft Office.

Description :

    1. Conducted front to back fixed income broker dealer examination to determine compliance with applicable rules, regulations and company policy.
    2. Designed and implement an enterprise wide regulatory risk assessment.
    3. Drafted detailed reports summarizing investigative/testing results.
    4. Maintained corrective action program & identify regulatory risks, trends and issues.
    5. Assist in developing Compliance and supervisory testing.
    6. Conducted regulatory net capital and applicable FOCUS related testing.
    7. Conducted email and communications reviews.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Information Systems