Compliance Officer Resume Samples

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.

Experience

2-5 Years

Level

Junior

Education

B.A. In Psychology

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.

Experience

0-2 Years

Level

Entry Level

Education

Bsc. In Psychology

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.

Experience

10+ Years

Level

Senior

Education

BA

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.

Experience

5-7 Years

Level

Executive

Education

Bachelor Of Arts In Communications

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.

Experience

7-10 Years

Level

Management

Education

Master Of Arts In Urban Planning

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.

Experience

0-2 Years

Level

Entry Level

Education

Liberal Arts

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.

Experience

0-2 Years

Level

Entry Level

Education

Criminal Justice

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.

Experience

2-5 Years

Level

Junior

Education

BS In Business Finance/Economics

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.

Experience

7-10 Years

Level

Management

Education

Degree

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.

Experience

7-10 Years

Level

Management

Education

Bachelor Of Arts

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.

Experience

10+ Years

Level

Senior

Education

Diploma

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.

Experience

5-7 Years

Level

Executive

Education

Hotel Management

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.

Experience

5-7 Years

Level

Executive

Education

Bachelor Of Science

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.

Experience

5-7 Years

Level

Executive

Education

Diploma

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.

Experience

5-7 Years

Level

Executive

Education

Masters