Compliance Intern Resume Samples

A Compliance Intern is a student who assists with project management activities such as compliance budgeting, monitoring, expense, and inventory tracking. Typical work activities seen on the Compliance Intern Resume include the following – helping the management in managing office supply inventories; ordering the same with the help of seniors or trainers; assisting with cost proposal development; undertaking ad hoc duties such as visiting banks, and embassies; assisting visitors and performing relevant administrative tasks. The intern has to provide support to the management with their recruitment efforts and help the local staff and various experts.

The education requirements for this role are quite less, and they are expected to have only a recently completed compliance-related degree. Hence a good academic score and a passion to work under any type of pressure will be enough to get into this internship.

Compliance Intern Resume example

Compliance Intern Resume

Summary : To provide support to the Internal Audit function as well as provide other project support to Communications/Reporting, Policy and Training, and monitoring and investigations teams and perform research at a supervisor's request.

Skills : Customer Service, Good writing, organization skills.

Description :

    1. Assisted with the creation and maintenance of student-athlete files as well as compliance office filing system.
    2. Oversaw maintenance of yearly binders in all sports, including filing, storage, and daily maintenance.
    3. Assisted in the research and gathering of information related to violations and waivers.
    4. Managed the secondary violations and waiver database.
    5. Assisted with weekly compliance staff meetings.
    6. Assisted with preparation for University Athletics Compliance Meetings.
    7. Assisted with the maintenance and information on the SDSU Compliance website.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
GED


Compliance Intern Resume

Objective : To provide technical and clerical support for compliance activities. Graduate student majoring in Auditing, Accounting, Finance, Business, Economics, Information Systems

Skills : Strong analytical, writing, and verbal communication skills.

Description :

    1. Managed the National Letter of Intent program by reviewing letters.
    2. Ensured compliance with NCAA regulations and bylaws.
    3. Researched and remediated any compliance issues and concerns.
    4. Established as the Subject Matter Expert for the NCAA Division.
    5. Assisted member institutions in understanding and complying with current Bylaws and regulations.
    6. Established a social media campaign by creating.
    7. Maintained an Instagram page for the Conference office.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
GED


Compliance Intern Resume

Headline : To assist with the identification and evaluation of compliance risks associated with global requirements and responsible for monitoring compliance with DTCC’s internal policies and procedures.

Skills : Microsoft Office Suite, Research, Documentation.

Description :

    1. Mastermind compliance policies and protocols on behalf of the organization.
    2. Developed and implement a compliance program to ensure the organization operates in accordance with state and federal laws.
    3. Determined compliance metrics and establish a system for tracking them.
    4. Signed off on any marketing and advertising collateral to ensure it is compliance.
    5. Remained up to date on federal and state laws related to the organization and update policies accordingly.
    6. Performed compliance audits to determine whether establish protocols are being followed and where they can be improved.
    7. Maintained up to date written documentation and policies related to the organization's business activities.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
GED

Compliance Intern Resume

Headline : As a Compliance Intern, to work with staff to plan, develop, and execute operational audits covering various legal business processes and subject matters designed to add value and improve operations

Skills : Communication Skills, Data Entry.

Description :

    1. Conducted defense audits, Addressed compliance issues.
    2. Answered compliance-related questions.
    3. Shadowed the Chief Compliance Officer for all her day to day duties.
    4. Audited multiple accounts ahead of scheduled deadlines.
    5. Ensured compliance with NCAA rules and regulations with potential incoming athletes and graduation requirements.
    6. Collaborated with the admissions department.
    7. Established prerequisites for undergraduate students.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
BS

Compliance Intern Resume

Objective : Seeking a position to utilize customer relations, administrative and organizational skills and experience, and to continue growing with and assisting organizations to fulfill their missions.

Skills : Detail  Oriented, Verbal Skills, Analytical Skills.

Description :

    1. Updated and filed a new account, customer profiles and file suspicious activity reports in case of any red flags.
    2. Cross-referenced individuals in accounts with anti-money laundering databases.
    3. Learned and understood "Risk and Compliance" Department functions, anti-money laundering.
    4. Filed "Suspicious Activity Reporting" and conducted low, medium, and high-risk account reviews.
    5. Executed enhanced due diligence by screening KYC's information against various databases.
    6. Prepared quarterly compliance training module presentation.
    7. Reviewed and edited websites, presentations, and promos for compliance approval.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
B.A

Compliance Intern Resume

Objective : To Perform internal audit procedures, including observations and walk-throughs, document examinations, analytical review, reconciliations, and other procedures in order to assist in formulated or expressing an opinion, render a conclusion, or otherwise meet the objects of the assignment.

Skills : Leading Skills, Decision Making.

Description :

    1. Enforced all hospital policies and regulations to facilitate safe and efficient operation.
    2. Responded to alleged violations of rules, regulations, policies, procedures, and Standard.
    3. Requested and compiled documentation needed to determine the validity of the allegation.
    4. Identified measures of performance and compliance, in order to identify problems, barriers.
    5. Reviewed audits to ensure the successful implementation of proposed accountability controls.
    6. Provided orientation, training, and service briefings to new hires.
    7. Researched and interviewed candidates as one of eight members of the Division.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
High School Diploma

Compliance Intern Resume

Objective : As a Compliance Intern, to support the coordination of agency quality initiatives and internal regulatory compliance monitoring.Coordinate data collection and participates in the analysis of customer satisfaction surveys.

Skills : Leadership Development, Written Communication.

Description :

    1. Coordinated and completed initial intake documentation.
    2. Entered all information into Compliance Assistance.
    3. Researched rules and regulations using Compliance Assistance and LSDBi.
    4. Drafted correspondence to coaches and players.
    5. Created monthly compliance newsletter. Coordinated and completed initial intake documentation.
    6. Entered all information into Compliance Assistance.
    7. Performed other duties as assigned.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
B.A.

Compliance Intern Resume

Objective : Future attorney looking to pursue a career in compliance by utilizing legal and finance background. Lead for one of Shell's Affirmative Action Plans; managed to completion.

Skills : Event Planning, Attention-to-Detail, Customer Service.

Description :

    1. Developed a strong understanding of Investment Advisers.
    2. Worked on various core compliance assignments under the direct supervision of the Deputy Chief Compliance Officer.
    3. Drafted policies and procedures to streamline the process for future ADV filing, delivery, and recordkeeping.
    4. Assisted compliance officers in updating materials for email monitoring, trade surveillance, and Code of Ethics training.
    5. Optimized operational reporting using various Microsoft Excel tools.
    6. Managed all communication with various departments in an efficient manner.
    7. Drafted correspondence to coaches and players.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
BS

Compliance Intern Resume

Objective : To assist Compliance Analyst in day to day triage of disclosed employee activities and maintain records of employee trading accounts. To ensure business partners receive positive customer service experience when interfacing with the Compliance Department.

Skills : Microsoft Office, Photoshop.

Description :

    1. Planned special events for summer associates, partners, and associates.
    2. Served as a liaison between recruiting manager and summer associates.
    3. Maintained and monitored all good faith efforts for affirmative action purposes.
    4. Entered applicant information into attorney recruiting and staff recruiting databases.
    5. Assisted with the coordination of training and events for all employees of the firm.
    6. Shadowed HR generalists during the on-boarding and resignation process.
    7. Organized and maintained employee files.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Law

Compliance Intern Resume

Headline : To work in a system where learned skills and knowledge are utilized and to capitalize on passions for working with people and making a difference in the world today.

Skills : Customer Service, Communication Skills.

Description :

    1. Sorted or classified information according to content, purpose, user criteria, or chronological, alphabetical, or numerical order.
    2. Maintained employee records per record retention policy.
    3. Performed periodic audits of medical and personnel files.
    4. Supported recordkeeping integrity and regulatory compliance.
    5. Scanned and indexed documents.
    6. Researched and responded to subpoenas in regards to producing requested documents.
    7. Tracked materials and removed from files to ensure that borrowed files were returned.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Diploma