Compliance Officer Resume Samples

An Compliance Officer ensures that the organization conducts its operations as per the set laws and regulations. The level of responsibility of these officers vary from company to company, but the general duties listed in the Compliance Officer Resume include – developing and implementing legal compliance programs, creating sound controls and monitoring adherence to them, devising company procedures, evaluating business activities and assessing compliance risk, educating employees and trainees on industry practices and regulations and setting plans to manage compliance violation.

Candidates will need some skills to work for compliance such as – critical thinking ability, ability to analyze and interpret information, risk management experience, familiarity with industry practices, knowledge of legal controls and requirements and professional ethics. There are no set of specific requirements for this role, but to stay ahead in this competitive world, an education such as a number based degree or commercial degree or law degree falls in limelight.

 

Compliance Officer Resume

Objective : Organized and dedicated professional desiring a position with the Nambe Gaming commission as a Gaming compliance investigator. Offering a positive attitude, great attention to detail, knowledgeable in casino operations and regulations policies and procedures.

Skills : Computer Skills; Microsoft Applications- Word, Excel, Power Point, Organizational Skills, Training.

Description :

    1. Updated information/ statistics on Data Management Reports for 120 contracted companies for quarterly distribution.
    2. Chaired Preliminary Death Review meetings and completed reports.
    3. Trended and analyzed information submitted by contracted provider agencies and completed annual reports for each category such as Death Reporting, Complaints, Incidents, Investigations, etc.
    4. Served as HIPPA Compliance Officer and completed quarterly reviews for department wide compliance.
    5. Completed reports tracking information kept on class action lawsuit members ensuring continued statewide compliance; information sent to the Quality Review Panel.
    6. Led a team to review new HCBS final rules settings as outlined by CMS for all contracted provider agencies.
    7. Set up a database for tracking compliance across middle Tennessee for agency compliance, plans of care, follow-up.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
B.A. In Psychology


Compliance Officer/Marketing Director Resume

Objective : Accomplished and versatile legal and compliance counselor with over 15 years of significant compliance, finance and corporate experience in the banking, technology and manufacturing industries. Proven ability to collaborate, multi-task, set priorities and meet competing business demands with speed and efficiency. Strong research, analytical, drafting, negotiating and communication skills. Demonstrated ability to work independently and cooperatively with other attorneys, groups, clients, and constituencies with differing priorities and perspectives.

Skills : Planning/Organizing Computer/Technical Literacy Research Skills Communication Skills Dependable Hardworking Positive Attitude Willingness to learn Professionalism Flexibility Teamwork Problem Solving.

Description :

    1. Ensure license requirements for all Private Bank and Private Client Service registered representatives.
    2. Track deficient issues via web CRD, schedule test dates and issue RR numbers.
    3. Perform monthly job code auditing and generate supervisor reports.
    4. Process fingerprint cards and respond to state letter inquiries with state regulators in connection with registered representatives.
    5. Process waiver requests via EFP filings with the NYSE.
    6. Serve as broker dealer liaison for study material vendors.
    7. Process all registration vendor related invoices for payment along with Analyst and Associate program training group billing.
    8. Create database to track regulatory element continuing education for all registered representatives.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Bsc. In Forensic Science / Psychology


Regulatory Compliance Officer Resume

Summary : Highly motivated, reliable and accomplished Compliance Officer with an excellent understanding of SEC, FINRA and Anti-Money Laundering rules, regulations and guidance. Desires the opportunity to use my client oriented experience and knowledge of Regulatory regulations in a high-level position in a professional corporate environment.

Skills : Excel, Powerpoint, Word, Viso, ARIS, Minitab, WK Fair Lending Wiz, SharePoint 2.0, SharePoint 2010, Statistical Analyis, Ad Hoc Reporting, Root Cause Analysis, Process Redesign, DMAIC, Lean / Six Sigma.

Description :

    1. Reviewed and filed all firm advertising and sales literature with the NASD.
    2. Approved client letters and presentation content for sales meetings and outbound calling campaigns.
    3. Audited customer accounts and evaluated documentation for completeness and suitability as part of the firm's branch examination module.
    4. Conducted annual compliance meetings with registered representatives to address training deficiencies and fulfill firm element training requirements.
    5. Performed examinations of supervisory and branch offices.
    6. Developed, contracted and monitored in-house insurance continuing education program for 250 licensed employees.
    7. Renewed employee insurance licenses biennially for three jurisdictions.
    8. Maintained and initiated securities registrations for 700 registered employees in two broker-dealers including U4s, U5s, state registration requests, exam requests and disclosure reporting issues.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
BA

Controller/Compliance Officer Resume

Headline : A seasoned compliance professional with advanced knowledge of broker-dealer and investment advisory rules and regulations. Experienced in the supervision of sales practice activities, personal securities transactions, policy and procedure development, licensing and registration, compliance education, branch office examinations, regulatory inquiries and examinations, firm and individual regulatory filings, review of firm communications and advertising.

Skills : Ultrasound.

Description :

    1. Participated in successful audits including facilitation of SEC, NFA, and internal audits with no significant findings.
    2. Created written Compliance procedures which lead to consistency across the department.
    3. Reviewed all new accounts for compliance with regulatory requirements of the Investment Advisers Act of 1940 and SEC guidance's, including BSA & AML/KYC requirements.
    4. Handled ADV updates to FINRA website maintaining compliance with regulations.
    5. Initiated and managed project to upgrade use of employee monitoring software leading to more efficiency.
    6. Monitored employee electronic communications.
    7. Reviewed marketing materials to verify Investment Advisor Act Code of Ethics requirements were met.
    8. Monitored employee trading including pre-approvals and post trade review against client trades preventing any conflicts of interest.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Bachelor Of Arts In Communications

Associate Compliance Officer Resume

Summary : Dedicated individual with several years of experience in substance abuse treatment and compliance work, excellent knowledge of the Twelve Step Program of Alcoholics Anonymous and various 12 step programs, comfortable in varied socioeconomic and multicultural environments; excellent communicator.

Skills : Typing 65 WPM, Microsoft Office, Accounts Payable,.

Description :

    1. Developed, designed and prepared reports to facilitate compliance monitoring and to provide required information to UH's extramural sponsors.
    2. Recommended improvements to internal reviews and monitoring procedures to improve efficiency.
    3. Monitored regulatory changes to help keep University Administrators abreast of current regulations.
    4. Developed and conducted training programs for UH's research community.
    5. Developed and managed Federal Funding Accountability and Transparency Act (FFATA) reporting process for the UH system.
    6. Performed pre-award monitoring of UH's sub-awards with UH Contracts and Grants Specialists to ensure appropriate flow-down of prime award terms and conditions, proper review by relevant compliance groups (e.g.
    7. Human Studies, EHSO, Export Control, Animal Use, Biosafety and so on) and correct usage of applicable indirect cost rates.
    8. Performed post-award monitoring of UH's sub-awards with UH Principal Investigators and Fiscal Administrators, to ensure appropriate monitoring and documentation of fiscal and technical review.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Master Of Arts In Urban Planning

Compliance Officer Assistant Resume

Objective : To acquire a position where my civilian and military work experience can be applied to produce effective results while maintaining established relationships and foster long term client growth.

Skills : Primary QA, ITAR DDTC Compliance, Training Development.

Description :

    1. Established the Corporate Compliance program, functioning as an independent, objective body, that reviewed and evaluated compliance issues and concerns.
    2. Developed and initiated compliance standardization within the corporation.
    3. Maintained and revised policies, and procedures to prevent illegal, unethical, or improper conduct.
    4. David Alan Gray (830)431-3645 Logistics Managed multiple deployed armed maritime security teams in hostile overseas territories.
    5. Arranged movement of supplies, weapons, personnel and equipment in and out of foreign ports and countries.
    6. Acquired visas and permits for all traveling personnel.
    7. Developed working relationships with port authorities and shipping agents to facilitate logistics for the company.
    8. Arranged the safe handling and storage of weapons, ammunition and tactical gear with port armories.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Liberal Arts

Taxpayer Compliance Officer Resume

Objective : Highly motivated and effective communicator, currently seeking a position with an organized company, in which I can utilize my skills and experience to advance my career.

Skills : Types 80+ wpm.

Description :

    1. Patrolled the facilities and served as a general security presence and visible deterrent to crime and rule.
    2. Answered phones and transferred calls accordingly.
    3. Responded to alarms and investigated disturbances.
    4. Checked passes and credentials of persons seeking to enter the property.
    5. Conducted drug testing, pat downs, breathalyzer testing, room, personnel, and building searches.
    6. Lead Compliance Officer (June-Jan) Prepared documents and required paperwork for residential duties and incoming residents.
    7. Documented any unusual occurrences in the daily log.
    8. Conducted fire alarm, escapee, and runaway training.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Criminal Justice

Safety And Compliance Officer Resume

Objective : Compliance and client service/marketing professional with broad experience in the institutional money management industry. I have demonstrated success in the compliance arena and customer relationship oversight, project management, scheduling and problem solving. Professional NorthPointe Capital, LLC, Bloomfield Hills MI.

Skills : FORCAST, RECAP, OpenPages, RADAR, Proficient In Microsoft Office Suite, Investran, Bloomberg, SunGard, CME, Intralinks, SharePoint, Website Design, WinJammer.

Description :

    1. Participate in the Risk Control and Self-Assessment (RCSA) process, including development of risk assessment matrices and execution of required testing.
    2. Review internal controls and procedures to ensure that business activities (new and existing) conform to established business control unit guidelines.
    3. Plan and perform examinations of internal controls residing within various product and business areas.
    4. Report risk management issues and internal control deficiencies identified to Business Control Unit Manager and ensure that issues and corrective action plans are posted to RADAR system.
    5. Prepare timely business control testing reports for Senior Management/Business Control Unit Manager.
    6. Participate in various internal reviews and readiness examinations to ensure the business is adequately prepared for all audit, compliance and regulatory reviews.
    7. Review of existing Business Practices (Operational, Sales & Marketing, etc.) to determine needed enhancements/changes.
    8. Identify control gaps and opportunities for improvement.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
BS In Business Finance/Economics

Compliance Officer Resume

Summary : Skilled at organizing complex projects, defining project priorities, and delegating tasks Self-starting, goal-oriented strategist whose confidence, perseverance and vision promote success More than fourteen years' hands-on experience in finance Over four years' experience in accounting Major strengths in planning, problem solving and communication Knowledgeable and experienced in all phases of accounting and finance Fluent in Arabic Familiar with computer software.

Skills : HRIS MS Word, Excel, PowerPoint EEO FMLA.

Description :

    1. Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
    2. Assess product, compliance, or operational risks and develop risk management strategies.
    3. Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.
    4. Provide employee training on compliance related topics, policies, or procedures.
    5. Identify compliance issues that require follow-up or investigation.
    6. Monitor compliance systems to ensure their effectiveness.
    7. Maintain documentation of compliance activities such as complaints received and investigation outcomes.
    8. Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Degree

Senior Branch Compliance Officer Resume

Summary : Extensive background in Customer Service and Academics affairs including superior communication skills, proactive problem solving, conflict resolution, records management, classroom facilitation, retail sales and solid time management skills. Advanced knowledge of Microsoft office including Excel, Word, PowerPoint, Outlook and other software including BANNER, PeopleSoft, Infinite Campus and Lotus Notes.

Skills : Case Management, Program Management, Leadership, Training And Development, Adult Education, Policy Administration, Relationship Building, Workflow Planning And Customer /Employee Relations.

Description :

    1. Conducted new employee orientation Scheduled and documented all employees of the facility to attend annual re-certification training.
    2. Performed campus inspections to ensure that all areas, units and departments were following policy and procedures by state regulations.
    3. Disseminated findings of weekly inspections to administration and security for follow up.
    4. Resolved and investigated juvenile offender complaints while documenting issues with administration.
    5. Maintained discipline and security while providing direct supervision of assigned youthful offenders during their daily activities.
    6. Trained and supervised group members in daily activities such as work details to keep their quarters in order, physical training, recreation and school attendance.
    7. Managed weekend visitation for juvenile offenders.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Bachelor Of Arts In Mass Communications

Chief Compliance Officer Resume

Summary : I have over 20 years of regulatory and operations compliance experience specializing in life insurance and fixed annuities. I was recruited by my former employer to create a compliance department from the ground up. Over the past 20 years I have been involved in most compliance related functions.

Skills : Leadership Training, Conflict Resolution.

Description :

    1. Ensured the company was constantly complying with all state and federal regulations.
    2. Provided training to staff and Board of Directors.
    3. Updated and maintained accuracy of policy manual.
    4. Efficiently prepared annual audits for the State and NCUA audits.
    5. Perform due diligence on mergers and acquisitions.
    6. Direct all of the credit union compliance and policies accurate and efficient processes.
    7. Serve as primary point of contact for executives, management and front-line and back office staff.
    8. Successfully merged the compliance and record retention services into one top notch department Reduced the number of hard copy files from over 27,000 to less than 1,000 thereby creating a 60% increase in subsidiary reconciliation overhead resulting in improved internal control.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Diploma

Asset Servicing Compliance Officer Resume

Headline : Career focused on Compliance & Operational Risk; law degree/JD. Strong background in Ethics, Regulatory, and Financial Crimes Compliance, including expertise in Corporate-level Ethics Programs, Offshore Private Banking, Trust/Estate Planning Products, Asset Management and Variable Annuity Businesses. Operational Risk experience includes process mapping; testing/quality assurance; corrective action plans; mgmt of working groups, and senior level reporting.

Skills : Medical Records, Medical Billing And Coding, Medical Billing, Electronic Medical Records, Microsoft Office Programs.

Description :

    1. Ensured medical chart compliance.
    2. Formulated training checklists to ensure all employees in the company have appropriate training.
    3. Created job descriptions and policy and procedure manuals for all departments in the company.
    4. Designed and implemented a statistical reporting process to track and analyze key operational measures for practice management.
    5. Ensured company and employees were current on certifications, educational courses, HIPAA and OSHA compliance.
    6. Ensured all processes within the company were Medicare compliant.
    7. Audited claims, treatment notes, and proper modifiers for compliance with multiple insurance carriers' policies.
    8. Created policies and procedures for company.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Hotel Management

Compliance Officer II Resume

Headline : Certified Information Technology Professional with eight (8) years of experience and demonstrated success managing Oracle databases in large-scale environments. Seeking to apply my diverse skillset and pursue a career as an Information Security Analyst or Regulatory Compliance Auditor in a growth oriented organization with a focus on FISMA Compliance Assessments, System Security Monitoring, and Testing of Information Systems Controls.

Skills : Microsoft Office, Adobe.

Description :

    1. specializing in Licensing, Audit and Project Management Responsible for the entire audit lifecycle of internal company activities.
    2. Create and execute project planning and processes.
    3. Ensure internal processes adhere to specified procedures as well as external-looking "gap" analysis to determine how well procedures adhere to applicable laws and regulations.
    4. Responsible for maintaining over 80 licenses with various states and municipalities that allow 5,000 people across the company to operate and regularly interact with government regulators.
    5. Provide oversight to facilities management including selection of sites for office locations, lease analysis and handling, major construction at company locations and interactions with contractors and vendors.
    6. Write and review company documentation of internal processes, administration of inter-departmental meetings, regulatory annual and staff reporting, legal research and analysis.
    7. Subject Matter Expert in several areas including: FCRA, FDCPA, CFPB Requirements, UDAAP, GLBA, TCPA, Licensing.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Bachelor Of Science In Management Information Systems

Head Teller/Compliance Officer Resume

Headline : I have years of experience in providing professional and courteous customer service for various organizations. My aptitude for exceling at accomplishing multiple task within a fast-paced environment and completing projects within specified time limits afforded me high levels of success during my career.

Skills : Microsoft.

Description :

    1. Maintenance of scheduling for assigned technical staff.
    2. Assisted with performance of research, special reports and other job related projects.
    3. Maintained an accurate filing system and generally provided for organized office operations.
    4. Provided administrative support such as coordination of travel and lodging accommodations for staff.
    5. Responsible for general office management which included ordering office supplies and coordination maintenance or servicing of all office equipment on premises.
    6. Interacted with clients on a daily basis via the telephone and in person regarding the status of their accounts.
    7. Performed all related activities to help clients bring their accounts current.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Diploma

Compliance Officer Resume

Headline : Over 10 years of counterintelligence, intelligence and law enforcement experience. Experience in collection, analysis, investigation and dissemination of information on criminal organizations and terrorist organizations. Managed daily operations of USAF counterintelligence team through various areas of operation.

Skills : STATA.

Description :

    1. Developed new EDD process in preparation for Office of Currency Compliance (OCC) inspection for International Bank.
    2. Created new process to refine standing risk rating in order to provide a more efficient and effective methodology in which to determine specific country risk.
    3. Developed, trained and implemented new process creating a more efficient and effective EDD process.
    4. Trained business element of bank to effectively develop client source of wealth while ensuring business risk was decreased.
    5. Developed and implemented OFAC, ITAR and BSA training for EDD staff.
    6. Conduct internal BSA and AML audits to ensure Regulatory compliance and bank compliance measures.
    7. Assisted bank in obtaining a Satisfactory Rating after receiving a previous Unsatisfactory Rating.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Masters