A Compliance Examiner is hired to ensure that the facility complies with securities regulations, and adheres to all enforceable company policies. A well-drafted Compliance Examiner Resume indicates the following duties and responsibilities – creating the audit schedule, training the staff on compliance issues; conducting announced and unannounced branch inspections of duties and branch offices, determining the compliance with securities regulations and the applicable firm policies and procedures on periodical basis; taking responsibility for developing and maintaining the branch audit schedule, educating and training the field forces as well as the home office staff on compliance and audit-related issues. The job description entails developing and continuously improving audit documents and procedures.
The job required a bachelor’s degree in a business-related field, and relevant experience. The job applicant is expected to possess excellent oral and written communication skills, strong analytical skills, and the ability to meet deadlines in a fast-paced environment.
Headline : Seeking a challenging Compliance Examiner position utilizing education and experience. Strong ability to analyze and edit complex financial data collected from financial institutions. Knowledge and experience in regulatory compliance and accounting guidance to financial institutions. Contribute with excellent communication, leadership, analytical and technical skills.
Determined compliance with applicable laws and regulations.
Researched, compiled, manipulated and evaluated data to prepare a variety of documents, management reports and presentations.
Assessed the quality and scope of internal and external audit procedures.
Assessed the accuracy of information provided to the board of directors and whether institution practices and behaviors correspond with board approved polices.
Evaluated the asset quality of institutions through a review of loan files.
Determined the borrower's capacity to pay; protection; performance; and the institution's underwriting and credit administration practices.
Evaluated compliance with applicable consumer protection, Fair Lending and Civil Rights laws and regulations, Community Reinvestment Act, and related enforcement responsibilities.
Experience
5-7 Years
Level
Junior
Education
MBA
Compliance Examiner Resume
Objective : Discussing examination findings with bank management and provide feedback and recommendations for corrective actions, Producing thorough, well-organized, and researched written examination products to local, regional, and national levels of management.
Skills : Public Speaking, Audit, Compliance.
Description :
Promoted to conduct on-site examinations of member firms and ensure compliance with NASD, SEC, and MSRB regulations.
Analyzed activities of 35 NASD members.
Reviewed accounts for sales practice violations.
Responded to inquiries.
Utilized FOCUS and other filings to monitor conditions.
Identified issues that prevented large-scale violations and dramatic finance sector repercussions.
Assisted member firms resolve issues and maintain compliance through education and citations.
Experience
2-5 Years
Level
Junior
Education
Bachelor Of Arts
Compliance Examiner Resume
Objective : Discussing compliance deficiencies and violations with branch management, elicit corrective action response, Presenting educational compliance materials to financial advisors, staff, and branch management.
Skills : Microsoft Office, Quickbooks, Customer Service.
Description :
Prepared and presented membership proposals for review.
Reviewed existing Community Contact Forms.
Identified and assisted in the selection of potential community contacts.
Performed regulatory compliance audits to determine if line-of-business units or functional areas are in compliance with consumer regulations.
Created accurate, logical work papers that clearly describe the work performed, the results of testing, and analysis.
Participated in consumer compliance control exams and may act as a lead examiner.
Analyzed the consumer compliance risk assessment to determine the scope of control exams.
Experience
2-5 Years
Level
Junior
Education
MS
Compliance Examiner Resume
Objective : Responsible administrative support professional with extensive financial management experience in accounting, income and expense management, general ledger reconciliation, governmental regulation, and financial management oversight environments. Expert in analyzing complex and technical material. Dedicated professional with wide ranging administrative skills including bank transfer, expense report reconciliation, developing internal policies and procedures, and determining goals and objectives.
Skills : Microsoft Word, Facilitation, Microsoft Excel, Microsoft Outlook, Microsoft PowerPoint, Customer Service, Salesforce.
Description :
Performed regulatory compliance analysis with a primary focus on consumer harm during 27 financial institution examinations.
Coordinated examination and internal reviews.
Evaluated the Compliance Management System for a financial institution including policies, procedures, training, monitoring, auditing, and third-party arrangements.
Researched and prepared financial reports, perform analyzes, developed and present recommendations for appropriate corrective actions for identified program/policies weaknesses.
Proficient in evaluating the adequacy of the compliance programs, policies, procedures, internal controls, staff expertise, and training programs.
Gathered, compiled, researched data in order to analyze operations, pricing, and other elements to evaluate the risks to consumers.
Received and analyzed various types of documents to determine propriety, validity, budget, completeness, and correctness of the account data.
Experience
2-5 Years
Level
Executive
Education
Business Administration
Compliance Examiner Resume
Headline : To establish a long-term career in a company where I may utilize my Compliance Examiner professional skills and knowledge to be an effective Associate Program Manager and inspiration to those around me.
Skills : MS Office: Word, Excel, PowerPoint, Access, Outlook SunGard Protegent Surveillance, CA Orchestria, Thompson Systems/Beta, Compliance 11 Front End User On SharePoint, SQL Report Manager, OnBase, Lotus Notes, TOAD For Oracle.
Description :
Reviewed existing Community Contact Forms.
Identified and assisted in the selection of potential community contacts.
Skilled at managing multiple exams, with varying time frames and priorities, compiling reports, and maintaining data.
Reviewed bank files for completeness and adherence to government regulations or mandates.
Administered a 3-week examination of a $200mm managed futures hedge fund based in London, UK.
Analyzed financial reporting for funds with US investors and assessed the firm's risk management procedures.
Analyzed existing policies, procedures, workflows, and the first line of defense monitoring.
Experience
5-7 Years
Level
Junior
Education
MBA
Compliance Examiner Resume
Headline : Seeking a Compliance Examiner position utilizing my knowledge of basic accounting principles and professional experience in banking finance background to provide quality customer service and provide support to the account and finance department.
Performed routine regulatory examinations of institutional alternative asset managers raising capital from US investors; requires 40% overnight travel across the US and UK in a team of 2-3 examiners, supervisor, and manager.
Examinationed may target a firm's anti-money laundering procedures, risk management procedures, marketing materials, disclosure documents, fund financial reporting, fund trading strategies, business operations, etc.
Primarily focused on managed futures firms (Commodity Trading Advisors and Commodity Pool Operators).
Met with firm Principals to discuss any regulatory deficiencies found and advise them on corrective actions.
Answered inquiries from firm compliance specialists and consultants regarding CFTC/NFA regulatory matters.
Reviewed annual/quarterly financial reports for reasonableness and address any material issues noted with the firm.
Managed confidential firm/client records obtained throughout the examination for supervisor/manager to review.
Experience
5-7 Years
Level
Executive
Education
BA In Finance
Compliance Examiner Resume
Headline : A hands-on, goal-oriented professional with diversified experience in the sales and finance industry. Highly motivated, detail-oriented, concise, and well organized. Successful track record of identifying, qualifying, and closing new customers and expanding business from existing accounts. Strong hunting techniques included cold calling, networking, and leveraging strategic relationships.
Skills : MS Office, Examiner, Multitasking.
Description :
Participated in the Regulatory Risk Consulting group, which studies and analyzes the scope of regulatory consulting services provided to Branch and Regional offices.
Analyzed exception reports involving variable annuities and mutual funds.
Examined anti-money laundering reviews and exception reports.
Analyzed active accounts involving mutual funds, variable annuities, and equities.
Conducted annual compliance meeting.
Prepared monthly management reports concerning registered representatives under review.
Assisted the offices with keeping abreast with regulatory requirements, developing compliance procedures, and implementing structural improvements.
Experience
5-7 Years
Level
Executive
Education
Business Administration In Finance
Compliance Examiner Resume
Objective : Experienced compliance professional, well versed in FINRA/SEC rules and regulations. Serve in a troubleshooting capacity, enforce firm compliance policies, AML / U.S. Patriot Act compliance. In-depth knowledge of financial markets, investment strategies, asset allocation, and overall client suitability. Seeking a long-term opportunity to build upon financial knowledge and experience.
Contributed team member of traveling compliance examiners, responsible for coordinating compliance oversight at over 2600 financial advisor and retail securities offices across the United States.
Activated in-branch examinations and audits, and expert infirm and securities industry policies and procedures, provide consultation to branch managers regarding trade practices and compliance issues.
Reviewed client account activity for potential AML, USA Patriot Act, and OFAC violations.
Participated in special investigations and assist with implementing action plans at locations deemed to be high risk.
Reviewed client and employee account trading activity to ensure compliance with internal and external policies, guidelines, rules, and regulations.
Conducted compliance examinations for assigned business entities, including examining client annuity, equity, mutual fund, hedge fund, option, and futures purchases for suitability and compliance with regulatory requirements.
Reviewed client trade errors, incoming/outgoing correspondence, advertising, and seminar materials for compliance with internal and external policies, guidelines, rules, and regulations.
Experience
2-5 Years
Level
Executive
Education
Bachelor Of Science In Finance
Compliance Examiner Resume
Summary : Proven Leader and Professional motivated to leverage 23 years of Naval service, experience, and achievement working independently and as a contributing member of a team, gathering and providing pertinent data in support of civilian, senior military personnel, and government agencies. My experiences also include working in office environments, preparing accurate and complete written reports, performing investigative work, and knowledge of dealing with customers from varied backgrounds in stressful public contact situations effectively and efficiently in a tactful and courteous manner.
Investigated consumer complaints filed against the mobile home, recreational vehicle, and motor vehicle dealer/dealerships.
Prepared administrative cases.
Conducted records inspections of a franchised and independent motor vehicle, mobile home, and recreational dealers.
Assisted existing and prospective dealers with licensing process and inspects all initial dealer locations within assigned territory.
Enforced laws related to titles, registrations and liens with Florida licensed dealers and verified vehicle identification numbers.
Processed, reviewed, and approved applications for a tag, title, and registration.
Entered information into manual and automated record-keeping systems.
Experience
10+ Years
Level
Senior
Education
High School Diploma
Compliance Examiner Resume
Objective : Seeking to continue building upon progressive experience in banking, finance, and compliance auditing by obtaining a permanent compliance or auditor position with a concentration of CRA, HMDA, Fair Lending, or Deposit Compliance with an organization that values inquisitions.
Skills : Microsoft Office, Examiner.
Description :
Reviewed loan and deposit operations for compliance with Federal law (e.g., TILA, FHA, RESPA, ECOA, HMDA, EFA, TIS, and EFT); and evaluate the adequacy of the institution's compliance program.
Served as a key field office representative responsible for planning and conducting comprehensive compliance examination activities throughout the assigned geographical area.
Evaluated the Community Reinvestment Act (CRA) performance of financial institutions in accordance with current regulatory and corporate guidance, including small and intermediate institutions.
Assessed the defined assessment area of financial institutions and public file compliance with applicable law, rule, or regulation.
Evaluated lending patterns based on borrower and geographic profiles.
Assisted bank management in formulating programs to address and correct deficiencies or problems identified during compliance examination.
Interviewed bank management and personnel to discuss the scope of examination to determine and assess their knowledge and understanding of current law and regulations.
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