Compliance Consultant Resume Samples

Compliance Consultants help clients all the way through their compliance processes. These consultants demonstrate their job responsibilities like analyzing clients’ vulnerability scans or questionnaires, recommending appropriate actions, remedy steps and giving feasible solutions. This position also helps the clients in their network architecture, review policies, procedure documentation and delivering recommendations through technical deliverables. The compliance consultant also has to develop a strong client base by interacting with client personnel and understanding the client’s business to prepare a report at the operator, executive and manager level. These professionals also coordinate with cross-functional teams to perform all SME tasks.

The ideal candidate should project a thorough understanding of industry regulations, computer literacy, and be a technical-savvy with outstanding relationship building capacity and be up-to-date of IT management techniques. Compliance Consultant Resume lists a bachelor’s degree of four years in Business Administration, Accounting or Insurance Studies the minimum requirement.

Compliance Consultant Resume example

Junior Compliance Consultant Resume

Objective : Performance-driven Junior Compliance Consultant with four years of experience in affordable housing communities, management, and occupancy reviews and vast knowledge of the United States Department of Housing and Urban Development (HUD) and Federal regulations and guidelines. Possesses experience in environments that demand organizational, technical, and interpersonal skills.

Skills : Management, InDesign, Adobe Creative Suites, Microsoft Office, Community Engagement, Compliance

Description :

    1. Performed external audits and consulted Project-Based Section 8 clients on HUD and Federal regulations and operated as a liaison among client and the Contract Administrator.
    2. Conducted a 100% file review of property manager procedures in maintaining tenant files and facilitated required corrective action in computerized report form.
    3. Constructed and provided compliance material to the owner/agent within the required 1-3 day time frame.
    4. Assisted clients with annual Management and Occupancy Review and accomplished the goal of submitting a response to the HUD office before the 30-day deadline.
    5. Created client annual Operating Cost Adjustment Factor rent increase for HUD approval within 120 days of a contract expiration date.
    6. Reviewed and evaluated legal documents to determine and ensured compliance with departmental and other federal, state, and local regulations, requirements, statutes, and policies.
    7. Setup Service Bureau and Back Office client engagement letters/contracts for initial service and renewal.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Bachelor Of Science


Insurance Compliance Consultant Resume

Summary : Insurance Compliance Consultant is intuitive, adapts quickly and efficiently and is able to communicate with all levels of management. Recognized for being proactive in areas related to education and training. Highly proficient in leading and directing initiatives to achieve on-going company requirements and goals.

Skills : Analytical Skills, Programming, Web Design, Technical Writing, SQL, Computer Skills, Microsoft Office Suite, Analysis, Case Briefing, Problem Solving.

Description :

    1. Maintained and reviewed policies, procedures, and practices to ensure compliance with all laws and regulations for insurance based limited broker-dealer.
    2. Built relationships with regulatory and key individuals to facilitate communication to effortlessly communicate and gain the cooperation of all parties.
    3. Initiated sensitive or complex investigations to resolve and mediate allegations with all levels of corporate personnel, customers, registered representatives, and carriers.
    4. Methods used achieved efficient and successful outcomes.
    5. Investigated complaints, regulatory inquiries, AML or Fraud activity derived from exception report analysis and risk reviews.
    6. Championed the integration of the Identity Theft Prevention Program within current firm processes prior to the regulatory effective date.
    7. Worked with Special Investigations Unit on an enterprise-level of the companies and subsidiaries to determine the scope and depth of items and products utilized in allegations.
    8. Became knowledgable in tracing transactions through multiple products.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Senior
Education
Education
Certificate


Regulatory Compliance Consultant Resume

Headline : Trusted and driven Regulatory Compliance Consultant with 6 years of hands-on experience in human resources, recruitment, diversity, and inclusion. Diverse academic background, with practical knowledge of and experience in change management and marketing. Highly trustworthy, ethical, and discreet; committed to superior client and customer service.

Skills : Policy Analysis, Project Management, Regulatory Compliance.

Description :

    1. Selected and interviewed the firm's candidates and provided recommendations to the management team.
    2. Documented compliance review findings in manual and provided feedback to client management.
    3. Developed and implemented a loan and hardship withdrawal training program for six associates, thus increasing project knowledge by 100% and customer satisfaction by 30% in six months.
    4. Advised clients on corrective methods for benefit plan administration.
    5. Designed process improvements for Fortune 500 clients, reducing client team processing costs by 20%.
    6. Reviewed client administrative procedures for compliance with legal requirements by reviewing Plan documents, Summary Plan Descriptions, and the client's processing procedures.
    7. Administered client employee benefits nondiscrimination testing.
    8. Resolved complex human resources plan provision questions from clients and their employees by creating hypothetical examples of their inquiries and explaining the provision requirements over the phone and mailing copies of the examples to the interested parties.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Certificate

Compliance Consultant - Entry Level Resume

Objective : Compliance Consultant excels at conveying company processes to both internal and external auditors, GIPS verifiers and examiners. Experienced in performing internal audits of bank-related operations. Capable of managing multiple projects that require strong analytical and problem-solving skills.

Skills : Microsoft Office Suite, Analysis, Case Briefing, Problem Solving.

Description :

    1. Reviewed and audited large volumes of mortgages randomly selected for internal audit to ensure identified loans were within guidelines.
    2. Analyze findings that measured the application's adherence to regulatory requirements and documented these findings in a centralized database.
    3. Performed detailed post-closing analysis and testing of guideline adherence, which included; HMDA, ECOA, HOEPA, NMS, MHA, GSE's and state guidelines.
    4. Reviewed adverse action notices verifying the accuracy, submitting responses in a timely manner according to regulatory requirements.
    5. Completed counterparty risk assessment assignments for large mortgage servicers based upon a forensic audit of programs and processes.
    6. Analyzed the Home Mortgage Disclosure Act (HMDA) applicant and borrower characteristic data to ensure reporting compliance with Federal Financial Institutions Examination Council.
    7. Established and maintained communication services across business units from the project team to the organization.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Bachelor Of Arts

Compliance Consultant - Temp Resume

Headline : Compliance Consultant with current Life, Accident and Health licenses and a unique combination of managerial and hands-on program creation and implementation. Business acumen includes the ability to lead a team toward a common outcome, build consensus in very diverse circumstances, breakdown complicated systems into simple terminology to communicate to peers as well as management.

Skills : Microsoft Office, Word, Excel Outlook, Peoplesoft, Associate Profile System software, FINRA web, Rightfax.

Description :

    1. Conducting and/or coordinating required research for lawsuits.
    2. Researching Department of Insurance inquiries concerning customer complaints 
    3. Interpreting or obtaining legal definitions of Compliance Bulletins and determining potential impacts to Service Operations to include recommendations & implementation of required procedural/technology changes.
    4. Serving as a liaison for legal/compliance questions concerning business processes and practices.
    5. Representing the department on security breaches as determined by the Security Governance Council, coordinating research and briefing the Council and senior management team.
    6. Coordinating department security efforts for the protection of customer privacy as set forth from the Security Governance Council and ensuring that the department is in compliance with all security and privacy regulations.
    7. Coordinating Department of Insurance Examinations.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Bachelor Of Science

Senior Compliance Consultant Resume

Summary : Senior Compliance Consultant with a strong background in banking operations. Proven record in improving transaction monitoring efficiency and regulatory reporting turnaround time at a $7 billion financial institution. Strong interpersonal skills for a collaborative and inclusive approach

Skills : Analytical Skills, Programming, Web Design, Technical Writing, SQL

Description :

    1. Partnered with Wholesale Banking and Wealth Management units with support to ensure risk was sufficiently mitigated.
    2. Completed commercial lending regulatory integration risk assessments for the combined organization (Wachovia & Wells Fargo), which identified risks.
    3. As a result, management established a testing plan for the upcoming year.
    4. Completed on-site reviews with the Wholesale lending line of business that resulted in increased knowledge of the compliance issues.
    5. These reviews enhanced relationships and provided a better understanding of the line of business and how to most effectively assist them to comply.
    6. Integrated tools including job aids and test scripts to enhance the effectiveness of compliance reviews.
    7. Enhanced Bank Secrecy Act EDD process to mitigate the risk of the commercial lending reducing costs incurred by vendors.
    8. Coordinated research and provided feedback to the Anti-Money Laundering group on 314a reports.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Senior
Education
Education
Bachelors of Science

Compliance Consultant - Full Time Resume

Headline : Result-focused and quality-driven Compliance Consultant with 5+ Years of total experience in Risk and Compliance, Investment Banking Operations, Systems Support, and Data management & Reporting. To utilize the skills in a challenging and diverse position that also allows for growth and development.

Skills : Computer Skills, Microsoft Office Suite, Analysis, Case Briefing, Problem Solving.

Description :

    1. Conduct onsite and offsite compliance reviews of regulatory requirements, including BSA, HMDA, Fair Lending, Deposit, and Lending.
    2. Prepare reports on related reviews and present findings and recommendations to Senior Management and Board of Directors.
    3. Assist Banks with developing Compliance programs, Risk Assessments, policies, and procedures.
    4. Analyze and communicate the impact of changing regulations to Bank staff, including Senior Management and Board of Directors.
    5. Participate and present in national training events relating to BSA.
    6. Compose and publish articles related to hot topics or trends in the Compliance industry.
    7. Assist calls and emails from client Banks related to all areas of Compliance.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
High School Diploma

Lead Compliance Consultant Resume

Summary : Lead Compliance Consultant responsible for developing, implementing and monitoring risk-based programs to identify, assess and mitigate any operational risk that arises from inadequate or failed internal processes, people, systems or external events, while maintaining a balance between risk mitigation and operational efficiency.

Skills : Policy Analysis, Project Management, Regulatory Compliance.

Description :

    1. Review client accounts provided by the CPACS system to determine if they are politically exposed.
    2. Verify the client's Social security numbers via Lexis-Nexis.
    3. Review client account documentation to verify the account due diligence was satisfied.
    4. Disposition accounts in the CPACS system to escalate or to close the review of the client.
    5. Restrict accounts that are high risk to avoid the possibility of money laundering.
    6. Update database with current due diligence processes.
    7. Update spreadsheets of client risk determination. Develop a standardized, recurring process to review and update policies and program documents.
Years of Experience
Experience
10+ Years
Experience Level
Level
Management
Education
Education
Bachelors of Science

Compliance Consultant/Specialist Resume

Summary : To contribute the knowledge and skills in a competitive position with a progressively managed organization where talents, employee commitment, and productivity are valued and which provides stability and performance-oriented growth. To utilize the skills, knowledge, and experience to achieve specific property goals.

Skills : Microsoft Office, Word, Excel Outlook, Peoplesoft, Associate Profile System software

Description :

    1. Provide direct support, training, auditing and report submission for all clients.
    2. Communicate with and lead support staff team members to achieve optimum productivity.
    3. Prioritize all work in conjunction with regular processing deadlines and coordinate the distribution and completion of work.
    4. Develop and revise procedures and ensure understanding and compliance.
    5. Maintain control systems to ensure accurate and complete files.
    6. Respond to and resolve complex issues as needed; locate and research file history.
    7. Coordinate the initial lease-up function of new construction projects.
Years of Experience
Experience
10+ Years
Experience Level
Level
Management
Education
Education
Bachelor Of Science

Compliance Consultant - Part Time Resume

Objective : Enthusiastic, knowledgeable, highly motivated, hands-on, and results-driven Compliance Consultant with 3 years of progressive compliance experience with expertise in creating, managing, and maintaining clinical trials, quality, and regulatory compliance and systems domestically and internationally. Work efficiently with extremely tight timelines to meet stringent deadlines.

Skills : Management, InDesign, Adobe Creative Suites, Microsoft Office, Community Engagement, Compliance

Description :

    1. Educated colleagues and customers about affordable housing initiatives and program requirements.
    2. Collaborated with regional management teams.
    3. Monitored properties to ensure compliance with regulations and government standards and provided training to colleagues about updates to requirements.
    4. Completed and submitted reports required by state agencies, lenders and owners.
    5. Maintained files of historical compliance efforts.
    6. Provided updates to properties on maximum rent and income limits.
    7. Worked with property staff to establish correct utility allowances.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Bachelor Of Science

Compliance Consultant Resume

Objective : Accountable and result oriented Compliance Consultant with strong leadership capabilities; adaptable and accustomed to the integration of new health care delivery systems. A passionate leader with excellent organizational, oral, analytical, strategic planning, conflict resolution and problems solving skills.

Skills : Microsoft Office, Word, Excel Outlook, Peoplesoft, Associate Profile System software

Description :

    1. Amended qualified retirement plan documents to comply with pension legislation and regulations.
    2. Prepared determination letter applications.
    3. Analyzed retirement plan legislation and regulations.
    4. Reviewed and drafted summary plan descriptions and other communication materials.
    5. Provided research and technical support for complex compliance issues.
    6. Consulted with actuaries and benefits administrators regarding plan design.
    7. Presented ongoing compliance issues to the retirement practice.
    8. Conduct self-assessments related to assigned Compliance subject areas and perform risk control assessments as required by law and corporate policy management.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
J.D In Law