Compliance Representative Resume Samples

A Compliance Representative ensures the company functions ethically and legally. The representative will take responsibility for developing compliance programs, review company policies, and advise management on possible risks. A well-drafted Compliance Representative Resume mentions the following core duties – implementing and managing effective legal compliance programs; developing and reviewing company policies; advising management on the company’s compliance with rules, laws, and regulations; creating and managing effective action plans in response to audit discoveries; assessing the operations to determine compliance risk; and resolving employee concerns about legal compliance.

The most sought-after skills include – good knowledge of legal requirements and procedures; brilliant oral and written communication skills; knowledge of compliance management and its related policies, framework, and regulations; and prior work experience. Employers prefer applicants possessing at least a degree in the field of law or finance.

Compliance Representative Resume example

Compliance Representative Resume

Headline : Highly skilled Compliance Representative, experience in Ensuring proper management of policy violation reports in a timely manner, Responding promptly to Compliance related emails, telephone calls, and other inquiries, Researching, gathering, and analyzing information related to specific inquires and assignments.

Skills : MS Office, Computer Skills, Managing SKills.

Description :

    1. Oversaw all compliance for active Contractors and Therapists in the Healthcare Division.
    2. Maintained frequent contact with assigned Recruiters and Account Managers.
    3. Ensured Contractors and Therapists are compliant with State, Company, and Client requirements.
    4. Audited new Contractor and Therapists files and obtained any missing documents from Recruiters, Contractors, and Therapists when necessary.
    5. Communicated with Contractors and Therapists daily when credentials need to be updated.
    6. Tracked and ensured timely receipt of updated credentials.
    7. Conducted state and national background checks and clearances for all states through all venues.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
GED


Compliance Representative Resume

Objective : As a Compliance Representative, responsible for Assisting the Director of Compliance in keeping current with state and federal regulations and revisions, in the area of regulatory, financial reporting, and tax issues.

Skills : MS Excel, Desktop Publishing, Data Entry, Type 50 WPM.

Description :

    1. Managed projects related to compliance enhancements.
    2. Facilitated communication between IT department, business partners, compliance groups, and regulatory agencies.
    3. Identified and investigated data quality issues and escalates to appropriate personnel based on CAG's procedures.
    4. Participated in proposed project plans to identify data impacts.
    5. Partnered with business lines to understand data specifications and data mapping to resolve identified data issues.
    6. Ensured proper management of policy violation reports in a timely manner.
    7. Responded promptly to Compliance related emails, telephone calls, and other inquiries.
      Years of Experience
      Experience
      2-5 Years
      Experience Level
      Level
      Executive
      Education
      Education
      BS


      Compliance Representative Resume

      Objective : Highly motivated, experienced, and passionate candidate seeks to further a career in a Compliance Representative position that can utilize my technical skills and management knowledge to benefit mutual growth and success.

      Skills : Communication, Management,

      Description :

        1. Collected on delinquent child support utilizing voluntary and involuntary collection actions.
        2. Maintained relationships with brokerage firms to aid in collection efforts.
        3. Designed installment agreement form which increased productivity for collectors.
        4. Implemented the use of Microsoft Outlook within the unit to follow up on cases more efficiently.
        5. Communicated to debtors via telephone and written correspondence.
        6. Managed caseloads effectively and efficiently.
        7. Led member of the Forms Team and Internal Communications Team.
      Years of Experience
      Experience
      2-5 Years
      Experience Level
      Level
      Junior
      Education
      Education
      M.A. In Education

      Compliance Representative Resume

      Objective : Compliance Representative with 5 years of experience in Understanding and communicating regulatory policies and procedures to ensure a proper process to ensure legal compliance, Preparing reports and other records with clarity, completeness, accuracy, and conformance with corporate and property policies.

      Skills : Type 30 Wpm, Computer Savy, Customer Service.

      Description :

        1. Resolved customer complaints via phone, email, mail, or social media.
        2. Used telephones to reach out to customers and verify account information.
        3. Greeted customers warmly and ascertain problem or reason for calling.
        4. Canceled or upgraded accounts.
        5. Assisted with the placement of orders, refunds, or exchanges.
        6. Advised on company information.
        7. Took payment information and other pertinent information such as addresses and phone numbers.
      Years of Experience
      Experience
      2-5 Years
      Experience Level
      Level
      Executive
      Education
      Education
      Diploma

      Compliance Representative Resume

      Headline : Compliance Representative with 6 years of experience in Maintaining compliance files in accordance with generally accepted records retention methods, Maintaining a high degree of confidentiality regarding compliance issues.

      Skills : Typing, Customer Service, Microsoft Office, Claims Processing, Management.

      Description :

        1. Assisted in training new hires in the absence of a supervisor.
        2. Worked as a team to ensure that all daily audits were completed.
        3. Designed and edited all Child Support forms.
        4. Performed data mining and troubleshooting to identify data quality issues.
        5. Assisted Compliance Manager in implementing process improvements, to support compliance policies and procedures.
        6. Conducted FBI fingerprinting.
        7. Managed Consultant disciplinary actions as needed.
      Years of Experience
      Experience
      5-7 Years
      Experience Level
      Level
      Executive
      Education
      Education
      HIgh School Diploma

      Compliance Representative Resume

      Headline : As a Compliance Representative, responsible for Monitoring NES representatives to ensure compliance with all federal and state regulations of debt collection, Monitoring representatives to ensure the security and customer service guidelines of the client.

      Skills : Microsoft Office Suite, Customer Service, Accounts Receivable, Computer Literate, Multi-Line Phone System.

      Description :

        1. Assisted with completing and documenting all escalated complaints from consumers.
        2. Assisted with all fraud, validation of debt, disputed accounts, and consumers who have filed bankruptcy.
        3. Assisted with all Better Business Bureau (BBB), Fair Debt Collection Practices Act (FDCPA), Credit Bureaus- Equifax, Experian, and TransUnion disputes.
        4. Submitted written requests to the client for all documentation of the debt on behalf of the consumers.
        5. Documented and conducted investigations of internal and external complaints.
        6. Clearly articulated the definition, intent, and meaning behind Scentsy Standards to Consultants via phone, emails, support tickets, and other applicable mediums.
        7. Assisted Consultants in identifying ways to accomplish overall objectives of success in a compliant manner.
                        Years of Experience
                        Experience
                        5-7 Years
                        Experience Level
                        Level
                        Executive
                        Education
                        Education
                        MS

                        Compliance Representative Resume

                        Objective : Seeking a Compliance Representative position, responsible for Assisting Compliance Specialists with basic onboarding functions for Alternative Payments, Performing filing of Compliance related documents both electronically and hard copy filing.

                        Skills : Customer Service, Communication, Organizational, Delegating, Motivating.

                        Description :

                          1. Ensured operators were within FMCSR guidelines, which include ensuring the Operators CDL, physical, annual reviews, and equipment records, are in compliance.
                          2. Managed canceling Operators who posed a safety risk.
                          3. Ensured that the proper documents were received for equipment violations.
                          4. Managed passenger authorizations requests.
                          5. Managed random drug and alcohol tests.
                          6. Educated Operators about Compliance Safety Accountability (CSA).
                          7. Managed a high call volume with accuracy and efficiency in a professional, courteous and timely manner.
                        Years of Experience
                        Experience
                        2-5 Years
                        Experience Level
                        Level
                        Executive
                        Education
                        Education
                        A.A. In Business Management

                        Compliance Representative Resume

                        Objective : Compliance Representative with 3+ years of experience in Processing returned mail and mail-outs accordingly, Creating Word and Excel documents from a guide and managing the upload of those documents to a shared drive, and also Reporting agent compliance issues to the Compliance Manager.

                        Skills : Public Speaking, Researching, Coordinating, Advising, Supervising.

                        Description :

                          1. Assisted in keeping current with regulations and revisions that affect Pinnacle Entertainment, Inc.
                          2. Understood and communicated regulatory policies and procedures to ensure a proper process to ensure legal compliance with Team Members up to Executives.
                          3. Developed and documented procedures to streamline processes and ensure compliance with regulatory requirements.
                          4. Provided support, education and training to staff and New Hires to build risk awareness within the organization.
                          5. Coordinated and supported business areas with external audits or regulatory exams, including resolution of any findings.
                          6. Originated and/or updates operating procedures, as appropriate, to provide for continuous compliance in the line of business.
                          7. Analyzed and verified documents for new contracts by Provided customer support for new clients, by discussing contracts and analyzing.
                        Years of Experience
                        Experience
                        2-5 Years
                        Experience Level
                        Level
                        Executive
                        Education
                        Education
                        GED

                        Compliance Representative Resume

                        Headline : Compliance Representative with 7 years of experience in Performing analysis on customer operating tax accounts and tax returns to identify areas of improvement so that deficiencies and opportunities are identified and communicated to the customer and adjusted to ensure timely/accurate tax filing.

                        Skills : Microsoft Office, Problem Solving, Public Speaking, Typing, Word.

                        Description :

                          1. Reviewed casework and made sure our customers are staying compliant with our rules and regulations as well as the governments for the given country we are working on that particular day.
                          2. Reviewed nonprofit accounts as well and requesting appropriate documentation where seen fit.
                          3. Reviewed account for and OFAC hits to make sure we are being compliant with OFAC.
                          4. Prevented money laundering and working with AML filing SARs on account that would be flagged for suspicious activity.
                          5. Hold the fastest handle time per case over the course of the half for all the cases work all while keeping a quality rating of above.
                          6. Versed and accomplished in roughly 8 different workflows with more constantly being learned as well as a leader in the more basic workflows for questions new hires might have.
                          7.  Assisted in ongoing revisions of Scentsy Standards.
                        Years of Experience
                        Experience
                        5-7 Years
                        Experience Level
                        Level
                        Executive
                        Education
                        Education
                        G.E.D

                        Compliance Representative Resume

                        Headline : Seeking a Compliance Representative position, responsible for Providing clear and understandable advice and guidance to interested parties and delivered compliance training on these topics, Identifying regulatory, anti-money laundering, and OFAC trends and developments.

                        Skills : Accounting, Customer Service, Filing, Fax, Office Management, Powerpoint.

                        Description :

                          1. Directed the activities of 70 registered representatives and 160 licensed employees to achieved targeted retail product sales goals.
                          2. Managed the review, monitoring, and processing of more than 500 equity, mutual fund, and options trades.
                          3. Involved in all aspects of compliance support.
                          4. Assessed regulatory and compliance controls related to areas of coverage.
                          5. Participated in internal investigations, assisted in responding to regulatory inquiries, and coordinated internal and external audits and inspections.
                          6. Mediated disputes between Consultants and customers to reach an outcome that is best for all parties.
                          7. Monitored Craigslist, Facebook, and other advertising venues to determine inappropriate use by Consultants.
                        Years of Experience
                        Experience
                        5-7 Years
                        Experience Level
                        Level
                        Executive
                        Education
                        Education
                        BA