Compliance Paralegal Resume Samples

A Compliance Paralegal is hired to develop and implement the company’s ethics and compliance programs in a confident manner. A well-drafted Compliance Paralegal Resume indicates the following duties and responsibilities – providing research and analysis for a variety of compliance and legal matters, ensuring compliance with federal, state, and local laws, maintaining investigation files, and documentation, assisting with the compliance monitoring process, providing reports as required, preparing compliance materials and presentations, providing assistance in legal guidance, creating legal recommendations, and managing various compliance-related databases.

Those seeking to make a career in this line should have a bachelor’s degree and paralegal experience. In some cases, a paralegal certification is also considered mandatory. Superior communication skills, researching skills, and analytical abilities are also essential.

Compliance Paralegal Resume example

Compliance Paralegal Resume

Headline : A highly organized, efficient and motivated team player who is keen to progress in her career. Able to deliver an excellent service to clients and attorneys and exceed their expectations by having a keen eye for detail and a proactive attitude towards every case. Possessing strong business judgment and the ability to bring tasks to completion in a timely manner.

Skills : Microsoft Office Suite, WordPerfect, MicroEdge Gifts, Html.

Description :

    1. Conducted duties while implementing continuing process improvements to increase compliance review rigor while improving internal transparency.
    2. Led initiative to become one of the first foundations to automate OFAC/Patriot Act compliance, post-9/11.
    3. Developed, implemented, and managed Foundation policies and procedures related to the Foundation's grantmaking programs.
    4. Conducted pre-award compliance reviews and post-award audits of portfolio of domestic and international grants while implementing process improvements.
    5. Reviewed 750 new grant requests in first five months in position.
    6. Conducted post-award review of over 500 expenditure responsibility grants in second five months.
    7. Membered of the grants management team authored training materials and conducted compliance training for Foundation staff.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
B.A. In Political Science


Compliance Paralegal Resume

Headline : Skilled in creating/managing highly productive team endeavors. Meeting deadlines on a consistent basis. Well organized with strong detail orientation. Excellent in communications, relationship building and interfacing skill sets. Goaloriented Paralegal dedicated to high levels of client satisfaction and meeting aggressive business goals.

Skills : Microsoft Office Westlaw, Perform Legal Research And Analyze Legal Documents Strong Organizational, Interpersonal, Communication And Writing . Ability To Prioritize, Coordinate, Multi-task And Demonstrate Initiative Under Pressure.

Description :

    1. Supported the Legal department in matters specifically related to SBA compliance of all the Small Business Administration (SBA) 704 and 504 loans.
    2. Supported the attorneys and closers in maintaining that all legal documents are in compliant with the U.S.
    3. Completed and updated detailed reports and summaries of legal and compliance information.
    4. Managed multiple priorities and completing assigned legal projects by utilizing detailed planning, sound business analysis, information systems support and expert legal training.
    5. Drafted legal documents at the direction of an attorney under limited supervision.
    6. Cross-trained to back up other members of the legal department.
    7. Recreated daily review logs of the closed SBA 704 and SBA 504 loans, to ensure the legal documents are compliant with U.S.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Certificate In Paralegal


Compliance Paralegal Resume

Objective : Contribution to the success of the company will be to promote, compel and insure compliance standards in the daily operations of asset management and investment; and to monitor, enforce and balance governmental regulations with corporate responsibilities for and towards its clientele while promoting company adherence to these requirements, obligations and principles.

Skills : Ms Software Experience With Ms. Project, Visio And SharePoint, IBM Lotus Notes, EDiscovery Management./Strong Organizational / Strong Verbal And Written Communication/ Meticulous To Detail/ Ability To Meet Deadlines.

Description :

    1. Reviewed deal files transaction for the Americas and ensured compliance with Investment Banking Department Policy.
    2. Prepared, summarized and indexed documents from various sources for weekly and monthly report to Directors.
    3. Monitored all deal files in archives, searched and retrieved documents when required for litigation.
    4. Researched data base and records when responding to request from in-house department and outside law firms.
    5. Liaisoned between Europe and Asia Pacific regarding cross-border documentation transactions.
    6. Worked with Investment Bankers to provide document retention transaction deal file guidance.
    7. Supervised in the compilation and preparation of documents for Auditors review.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
MS

Compliance Paralegal Resume

Objective : Many years of administrative experience in various industries. Versatile skill set with experience in customer service and sales in the real estate industry. Excellent written and oral communication skills.

Skills : Microsoft Word, Excel, PowerPoint, Access, Publisher, Internet Language: FrenchPublic Speaking: Motivational Speaking Engagements.

Description :

    1. Assisted Vice President of Human Resources in document request production.
    2. Responsible for securing all required State and Federal Licenses/Permits/Bonds.
    3. Coordinated and disseminated large volumes of data so that the company was in compliance with all applicable state and federal government laws required to operate as an alcoholic beverage company.
    4. Handled all name changes which involved massive dissemination of data.
    5. Secured all salespersons licenses in all states.
    6. Created and maintained PowerPoint presentations used to introduce new plant employees/salespersons, etc.
    7. Created and maintained a database to ensure that consistent records were kept in order that all licenses obtained were renewed in a timely manner.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
GED

Compliance Paralegal Resume

Headline : Able to deliver excellent service and exceed expectations by having a keen eye for detail and a proactive attitude. Possess strong business judgment and the ability to bring tasks to completion in a timely manner. Results-driven and easily able to manage expectations by being diplomatic, tactful, and always on the lookout for new ideas and solutions.

Skills : Legal Research, HUD-1 Preparation, Mortgage Loan Documents, Drafting Legal Docs.

Description :

    1. Supported Chief Compliance Officer and staff attorney responsible for compliance matters and investigations.
    2. Managed third party vendor compliance by conducting due diligence screening, evaluating and analyzing due diligence reports, preparing and drafting contracts, scheduling training and alleviating risk by eliminating red flag issues.
    3. Worked closely with internal audit, trade compliance, human resources and operations to further the Company's compliance program.
    4. Contributed to the improvement of anti-corruption, trade and other compliance process matters.
    5. Created and managed anti-corruption and trade compliance training materials and databases, generated status reports, organized and managed training and attendance records.
    6. Assisted in the investigations of third party vendors.
    7. Prepared various corporate data, legal documents, agreements and forms including notarizations and Apostilles.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Junior
Education
Education
Certificate In Legal Assistant

Compliance Paralegal Resume

Summary : Illinois Accredited Paralegal (ILAP) with over 20 years of experience that includes contracts, legislative/regulatory processes, and compliance procedures. Capable of handling multiple tasks in a fast-paced setting and under tight deadlines. Work well independently as well as collaboratively in a team setting. Excellent skills in Microsoft Office, Word, Excel, Outlook, PowerPoint, and Adobe Acrobat.

Skills : Familiar with Contract Compliance, FDCPA.

Description :

    1. Processed all Medicare applications for SNFs via PECOS and CMS-855A forms for department and coordinate with community staff for documentation and confidential information.
    2. Connected Authorized Officials and instruct on how to access applications and e-sign for approval.
    3. Actively tracked/processed Revalidation due dates and changes of information for over 80 SNFs.
    4. Provided guidance to department for PECOS system questions.
    5. Assisted with OIG compliance by auditing communities and reporting results to Internal Compliance Committee.
    6. Assisted analysts with creating and maintaining agreements and policies, performing internal audits, and advanced formatting of documents using MS Word.
    7. Maintained paper records, storage and categorizing of folders.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
MS

Compliance Paralegal Resume

Headline : Adept at identifying risks and gaps in systems and procedures, and creating projects and recommending solutions to remediate issues and ensure compliance. An understanding of the importance of organizing, auditing, corporate and ethical compliance has been obtained from years of experience working in the law firm environment with corporate financial institutions.

Skills : Microsoft Office, Planning Skills.

Description :

    1. Responsible for health and safety compliance, license registrations and renewals.
    2. Prepared retail operation, employment, vendor, exhibition and commercial leasing contracts.
    3. Coordinated all tax filings.
    4. Interacted with vendors, third party providers, and outside counsel.
    5. Responsible for entity management.
    6. Coordinated managing member meetings and meeting minutes.
    7. Monitored and maintained employee incentive program.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Certificate In Paralegal Studies Program

Compliance Paralegal Resume

Summary : An accomplished, solutions-focused Compliance Officer with more than 15 years of experience overseeing compliance functions within the energy, financial services, healthcare, and manufacturing industries. Implemented risk management and compliance initiatives that successfully assess a company's risk appetite and exposure, while also mitigating the risk of financial loss and reputational damage inherent to a global corporation.

Skills : Property And Casualty New York State License, Life, Health And Accident New York State License, Sales.

Description :

    1. Monitored and reported on compliance with OFAC guidelines, USA Patriot ACT 312 and related regulations.
    2. Assisted in maintaining compliance-related procedures for the USA Patriot Act, Currency Transaction Reports and Suspicious Activity Reporting and Proactive Monitoring.
    3. Reviewed and monitored the bank's wire transfer activity and international remittance programs.
    4. Monitored monetary activity through pro - active report including DVP/RVP, cash activity, third party deposit and withdrawal accounts.
    5. Conducted enhanced due diligence and monitoring profiles for high - risk account activity.
    6. Researched the validity of domestic banks and brokerage firms.
    7. Reviewed court filings & pleading to ensure compliance with applicable federal and state statutes.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
GED

Compliance Paralegal Resume

Summary : An accomplished professional with years of progressively responsible experience in data analysis and database management skills. A remarkable ability to communicate effectively toward all aspects of administrative, procedural decisions, and problem resolution. Complete knowledge of product ordering and inventory control. Keen ability to schedule appointments and maintain calendars for Senior Leaders.

Skills : Typing Speed 65 Wpm; 10-key, WordPerfect, Microsoft Word, Excel, PowerPoint, Microsoft Outlook, Access, SalesLogix, AS400-3 Life+, Citrix, Ariba Buyer, Trip Manager XE, ExpenseLink, Cliqbook, Lotus Notes, Concur, SAP, Lexis/Nexis, Adobe, ERoom And ProducerPlus.

Description :

    1. Conducted administrative and organizational support to the Law and Patent department of the Animal Health division.
    2. Provided general office support; create and process expense reports; process billing through SAP.
    3. Prepared filings, track litigation and support document management process; support patent portfolio at the direction of attorney; draft contracts, contract revisions and other legal documents.
    4. Conducted internet research to monitor and track illegal sales of counterfeit or foreign product and investigate domain names.
    5. Prepared reports and other documents, without direction, using independent thought and a thorough understanding of key information elements needing to be communicated.
    6. Used a systematic decision-making approach to research, analyze, and provide feedback on issues, policies and procedures.
    7. Monitored lobbying and electoral activity for a nationwide non-profit organization, ensuring compliance with state ethics laws.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Certified In Pharmacy Technician

Compliance Paralegal Resume

Summary : Compliance Paralegal experience with Strong documentation skills related to contract origination, addendums, tracking, and contract management; process and project activity in litigation preparation, document review, proofreading, document organization projects, and database utilization.

Skills : MS Office, Planning Skills.

Description :

    1. Managed contract workflow, drafted and analyzed contracts, developed contract templates and process documents, managed a contract database, responded to contract-related inquiries from staff and vendors, reviewed purchase orders, and performed a wide variety of other contract administration functions.
    2. Performed and summarized legal research related to political ethics laws and presented findings to legal team.
    3. Conducted compliance training and provided ongoing instruction and consultation to new and existing lobbying staff.
    4. Compiled and analyzed large amounts of financial data and prepared disclosure reports for filing with state regulatory agencies.
    5. Managed contract workflow, drafted and analyzed contracts, developed contract templates and process documents, managed a contract database, responded to contract-related inquiries from staff and vendors, and performed a wide variety of other contract administration tasks as directed by the Assistant General Counsel.
    6. Drafted property documents (deeds, easements, executive summaries) or review of same for accuracy and basic compliance with statute and policy, subject to attorney approval.
    7. Drafted leasing documents (leases, memos, executive summaries) or review of same for accuracy and basic compliance with statute and policy, subject to attorney approval.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
Associate In Paralegal/Business