Compliance Specialist Resume Samples

A Compliance Specialist will ensure that organizations and companies comply with relevant rules, stipulations, and standards. While the specific duties may vary based on the industry, certain tasks are common and are listed on the Compliance Specialist Resume as follows – reviewing the company’s compliance with relevant regulations and standards; reviewing documents and interviewing executives; resolving compliance issues, creating a modified plan and in case of any changes; and staying abreast with regulatory actions pertaining to their industry niche.

To ensure company’s compliance with relevant regulations and standards, the professionals will need certain skill sets such as – adept at implementing, knowing and regulating companies so that they comply with the laws; familiarity in dealing with businesses and top management in a tactful way; industry experience; and a deep knowledge of regulations, investigations and auditing. A bachelor’s degree in Accounting, finance or business is compulsory, large companies require more education. Relevant Certification is also strongly desired.

Compliance Specialist Resume

Objective : Dependable, accurate professional with extensive experience in administrative support. Strengths in leadership with the ability to work independently and in a team environment. Skilled in managing multiple projects with exceptional communication and organizational skills. Also brings energy, enthusiasm and creative solutions to complex problems.

Skills : MicroSoft Office, QuickBooks Pro.

Description :

    1. Provide support on a variety of complex regulations while monitoring policies, procedures.
    2. Conducts research, track compliance training and review all marketing materials utilizing basic regulatory framework and general regulatory and internal controls.
    3. Assist the Chief Compliance Officer and BSA Manager with audits and regulatory relationships and assist with regulatory request during examinations.
    4. Coordinates and supports all compliance related programs such as compliance testing and reporting, and internal controls testing to ensure compliance to laws and regulations.
    5. Facilitates the ongoing task of compliance training.
    6. Assists with development implementation of training programs, newsletters or company-wide memos to ensure all employees are aware of changes in regulations such as document submission procedures, forms or substantive changes in the law.
    7. Works independently to create and maintain databases and comprehensive status reports in order to track completion of required training and follow up with delinquent employees.
    8. Monitors departmental policies and procedures and reviews all marketing materials for adherence to compliance regulations.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Certificate


Client Compliance Specialist Resume

Objective : To pursue a career path focused on bringing value to an institution through fantastic customer service by way of direct customer service interaction and by leading associates to perform at high standards and with strong ethics.

Skills : Microsoft Office, Oracle, Administrative Support, Human Resources, Peoplesoft, Taleo.

Description :

    1. Identifies prospects by reading telephone and zip code directories and other prepared listings.
    2. Calls prospective customers by operating telephone equipment, automatic dialing systems, and other telecommunications technologies.
    3. Complete orders by recording names, addresses, and purchases; referring ordering for filling.
    4. Influences customers to buy services and merchandise by following a prepared sales talk to give service & product information & price quotations.
    5. Contributes to team effort by accomplishing related results as needed.
    6. Completed filing and paperwork when needed Operate office machines, such as photocopiers and scanners, facsimile machines, voice mail systems and personal computers.
    7. Perform data entry, answer inquiries about the company, and compile financial records.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
Degree


IT Compliance Specialist Resume

Headline : Experienced, goal oriented, and accomplished, professional experienced in leadership, event planning, colleague development, conflict resolution, and human resources seeking a mutually beneficial professional opportunity to provide key management skill and quality service to employer while expanding professional experience to meet and exceed employer expectations in a changing global marketplace.

Skills : Microsoft Office, Typing.

Description :

    1. Meet and greeted potential prospects and current residents in a timely and courteous manner to ensure the highest quality of customer service and satisfaction.
    2. Answered high volume phone calls and managed high traffic work environment, performing a variety of task.
    3. Accepting residents rental payments and giving legal receipts.
    4. Assist Property manager with managing 460 unit on a tax credit /section 8 layered property such as coordinating resident functions and community outreach.
    5. Process annual and interim recertification's according to HUD 4350 including sending and receiving verifications of income and assets, completing questionnaires and all other regulated forms., Waiting list experiences Meticulous upkeep of files, calendars, events, create purchase orders and process invoices.
    6. Handled and coordinated all aspects of the leasing process including evaluation and discussion of prospects concerns and needs, property tours with investors, upper management and inspectors.
    7. Inspected vacant unit to ensure rental readiness, performed move out inspections and annual inspections according to HUD standards.
    8. Advanced knowledge of MRI, Boston Post and Nexus software, Work number programs.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Tax Credit Training

Product Compliance Specialist Resume

Objective : Consistently recognized for quality work, demonstrated time management, and collaboration skills Proven ability to quickly adapt and conform to shifting priorities, demands and timelines Capable of learning new systems quickly, balance multiple projects, and act as primary owner of individual projects while not compromising quality of work Proficient in effectively communicating with all levels of firm organization.

Skills : Microsoft Office Suite, FINRA Web CRD, Lexis Nexis/Bridger Insight, Nexus/Nexcom, Basecamp Project Management Software, SuranceBay Insurance Appointments Processing/Tracking Software, National Financial Services, E-File Cabinet, NIPR.

Description :

    1. Assisted CCO and Compliance team with compliance-related tasks, with planning, developing and implementing projects of some complexity-appropriate regulatory, disclosures and other filings through CRD.
    2. Retrieved, reviewed, and analyzed TRACE, OATS, and MSRB reports daily.
    3. Reviewed and updated outside business activities and outside brokerage accounts.
    4. Implemented and analyzed quarterly and year end attestations.
    5. Reviewed and researched daily AML (Anti-money laundering) reports.
    6. Processed Client Information Profile (CIP) verifications using Lexis-Nexus/Bridger Insight program.
    7. Assisted with internal and regulatory audit inquiries and preparation.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
AA In Health Administration

Regulatory Compliance Specialist Resume

Summary : Compliance and risk management professional with experience in financial services. Specific proficiency in the following areas: Risk Management Compliance Management Project Management Regulatory Change Management Technology and Process Improvements Reporting & Analysis Contract Management and Negotiation Legal Review and Research.

Skills : Certified Compliance And Ethics Professional, American Bankers Association Regulatory Compliance School - 2015 Graduate, Risk Management Association - Associate Member.

Description :

    1. Managed day-to-day financials for Candidate Committees and Political Action Committees (PACs), including processing payroll, disbursements and receipts.
    2. Ensured compliance with all applicable state and federal election laws, rules, and regulations.
    3. Prepared and filed campaign and state reports to government agencies on behalf of clients in various jurisdictions.
    4. Provided superior customer service to campaign managers and other staff seeking information on behalf of accounts.
    5. Tracked and maintained deadlines and filing dates.
    6. Performed extensive research pertaining to State and Federal Election Laws.
    7. Ensured contributions and expenditures were within State and Federal limits.
    8. Created monthly status reports for Political Law Group.
Years of Experience
Experience
10+ Years
Experience Level
Level
Senior
Education
Education
Diploma

Import Compliance Specialist Resume

Headline : Obtain a customer service position in a company where I can maximize my people oriented experience, communication skills and my problem analysis and problem solving abilities.

Skills : Phlebotomy, Microsoft Word And Excel.

Description :

    1. Developed and implemented new policies and procedures and quality processes for expansion in all areas of the business.
    2. Coordinated quality assurance operations to ensure effective manufacturing quality and inspection procedures were executed.
    3. Overseer of production, file preparation, document categorization, files quality control, and digital scanning.
    4. Conducted customer meetings to provide status of program operations, quality standards and production metrics.
    5. Collaborated with Operations department to support new product development, sustain engineering projects, and manage quality control programs.
    6. Design new processes, statistical analysis, quality concepts and system standards.
    7. Create strategies and plans for product approvals including inspections.
    8. Maintain device and equipment quality requirements.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
GENERAL STUDIES

Customer Compliance Specialist Resume

Headline : A highly accomplished compliance and legal professional in the financial services industry. Demonstrated ability to build effective, productive relationships with individuals and teams to ensure that company policies and regulatory rules and regulations are maintained. Known for possessing exceptional analytical and investigative skills as well as excellent verbal, written and presentation skills.

Skills : Artificial Insemination,Reading dairy pedigrees, Working.

Description :

    1. Conducted annual branch office compliance inspections of registered representatives and Investment Advisers to ensure compliance with company policies and regulatory requirements.
    2. Provided feedback and made recommendations for improvement, drafted inspection reports to cover all findings and conclusions and presented final audit report to Regional Vice President in assigned region.
    3. Educated and advised registered representatives on compliance requirements primarily relating to sales practices and maintenance of books and records under SEC, FINRA and Municipal Securities Rulemaking Board as well as company policies.
    4. Managed the revision of the "Guide to Investing" manual and the Compliance section within the Written Supervisory Procedures Manual to reflect updated company policies.
    5. Created and published several compliance bulletins and weekly news articles to communicate to field and home office employees new regulatory and company policies via the Intranet.
    6. Facilitated annual compliance meetings to home office staff and registered representatives in the field in order to keep everyone current with new company and regulatory policies and rules.
    7. Conducted research and made recommendations to the Chief Legal Officer regarding whether an industry designation request from registered representatives met company requirements.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Executive
Education
Education
Bachelor Of Arts

Global Compliance Specialist Resume

Summary : Objective-driven Healthcare professional with major achievements in planning, negotiating and scheduling. Excellent ability to focus on continuously identifying and addressing the strategic issues that can most affect the company's structure. Work well in a high-pressure environment. Skilled at organizing complex projects, defining priorities and delegating tasks. Firm and flexible with proven effectiveness dealing with internal conflicts.

Skills : Certified Nures Aide, CPR, Phlebotomy Certification, Medical Office Asst.

Description :

    1. Detailed review of marketing and educational materials for the Medicare and Commercial line of business.
    2. Submitted marketing materials via HPMS for CMS approval.
    3. Provided support to MCS personnel in order to continuously improve procedures and help others make the best decisions while complying with the Medicare Managed Care Manual, the Medicare Prescription Drug Benefit Manual, ASES, OIG, Office of Commissiones of Insurance and Affortable Care Act regulations.
    4. Investigated sales and marketing compliance issues and identify areas of opportunity for quality improvement.
    5. Effectively developed strategies with managerial staff when critical issues were identified and immediate action was required.
    6. Monitored projects and regulatory agencies reporting requirements.
Years of Experience
Experience
7-10 Years
Experience Level
Level
Management
Education
Education
BBA In Business Administration

Junior Compliance Specialist Resume

Objective : Dear Reviewer, I am a graduate of The Ohio State University, in which I majored in animal science and minored in farm management. I attended The Ohio State University Newark campus for two years and received my Associate of Arts degree. Since Nov. 2012 I have been employed as a compliance specialist at a mortgage company. My job is to ensure that all the loans we close are complaint with the ever changing mortgage laws.

Skills : Phone Etiquette, Customer Service Skills, Quick Learner, Cash Handling, Type 45 Wpm, Excel.

Description :

    1. Investigated all complaints that came into the company through the U.S.
    2. Department of Education contract to determine validity and suggest any action needed following the investigation.
    3. Issued necessary corrective action to employees and managers, and followed up on getting corrective action reports back in a timely manner.
    4. Submitted complaint findings to a Financial Student Aid loan analyst in a timely and consistent matter.
    5. Composed letters to consumers explaining the complaint investigation findings.
    6. Updated departmental standard operating procedures and database to accurately reflect the current practices.
    7. Identified and resolved system and account issues.
    8. Compiled and presented monthly reports on findings to senior management teams.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Diploma

Subcontractor Compliance Specialist Resume

Objective : Graduate of IT Technical Institute of Columbia South Carolina. Associates Degree in IT Computer Science. 5yrs in customer service experience. 3yrs data entry clerk experience. Proficient in Microsoft Office Tools, i.e. Word, PowerPoint. Hard and determined worker,Works well with others, Excellent verbal and written communication skills, Superior organizational, follow-up skills, and strong multi-tasking skills. Interested and willing to advance in the IT Field.

Skills : Seventeen Years Of Experience In The Financial Industry That Includes Operations, Management, And Risk Management. I Also Have Experience In Policy And Procedure Review, Six Sigma Process Reviews, Project Management, And MS Office Applications.

Description :

    1. Assist the Compliance Manager with the implementation of the Bank's Compliance Program to ensure conformity and adherence with all applicable state and federal laws and consumer regulations.
    2. Conduct ongoing compliance monitoring, in conjunction with the Bank's Compliance Program, as designated annually by the Compliance Manager, as well as ensure the resolution of any Compliance issues that are tracked by Internal Audit.
    3. Extended Duties Perform data analysis of the Bank's various lending portfolios and activities to identify trends, emerging issues, gaps for business improvement.
    4. Verify and manipulate data in various software applications pertaining to the maintenance and analysis of CRA, HMDA and Fair Lending data.
    5. Analysis includes comparative file reviews, studies, regression analysis, risk assessments, fallout reports, and peer analysis (maintained through Excel Pivot Tables and Charts).
    6. Prepare for Senior Management and the Examiners the CRA Assessment Fair Lending Self Evaluation and risk assessment detailing the Bank's current performance and program effectiveness.
    7. Perform Compliance Reviews, prepare reports and provide to management for distribution.
    8. Research compliance-related questions, regulatory changes, and laws and regulations affecting new products and services.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
BS In Business Management

Broker Compliance Specialist Resume

Objective : Highly qualified Compliance Specialist with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and I would excel in the collaborative environment on which your company prides itself.

Skills : Microsoft Outlook, Customer Service Skills, 10-key, Multi-Line Phone System, Microsoft office.

Description :

    1. Assisted in the analysis of the company's regulatory compliance posture and the development of control recommendations.
    2. Consulted with product management, claims and sales management to keep field abreast of changes.
    3. Assisted with the analysis and interpretation of regulatory compliance requirements Reviewed recent proposed activities by regulatory agencies to determine potential impact on company operations.
    4. Assisted Senior Compliance Officer in monitoring and reviewing regulatory and legislative changes, preparing company's response to regulatory changes and following up with appropriate areas to ensure required changes are implemented.
    5. Consulted with business groups on strategic compliance initiatives and worked with the Chief Compliance Officer to provided corporate compliance perspectives and developed a strategy to reduce potential compliance exposures.
    6. Assisted Chief Compliance Officer in providing input and representation on key compliance initiatives, meetings, and committees.
    7. Stayed abreast of industry and compliance trends; recommended and implemented changes to internal company processes as needed.
    8. Developed and produced reports to track completion of compliance training and collaborated with managers and human resource administration employees.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Certificate Of Completion In American Bankers Association

Dealer Compliance Specialist Resume

Objective : Human Resources Professional with experience in Full Cycle Recruiting, International HR, Immigration, Expatriate Relocation, Training and Payroll in the Oil and Gas Industry. ISO certification audit experience. Strong communicator with all levels of management. Recognized for having a strong work ethic. Resourceful, Flexible, Precise. Works well in team environment as well as individually.

Skills : Seventeen years of experience in the financial industry that includes Operations, Management, and Risk Management. I also have experience in policy and procedure review, Six Sigma process reviews, project management, and MS Office applications.

Description :

    1. Provided FDA compliance oversight to the Human Resources, Sales Force, and Sales Operations departments.
    2. Responsible for all audits of the Sales Force, Sales Operations department, and practitioner signature verifications.
    3. Compiled and submitted audit reports/corrective action plans to Sales Force and Sales Management.
    4. Submitted non conformance reports to FDA and state agencies.
    5. Key Accomplishments Drafted and implemented all QA Compliance Standard Operating Procedures (SOPs) and Warehouse/Distribution department internal audit procedures.
    6. Developed and implemented Compliance Training for all Sales Representatives and Sales Management.
    7. Consistently exceeded annual audit goals by successfully completing more than twenty percent of the Sales Force (both random and "for cause") audits.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Junior
Education
Education
Bachelor Of Science In Political Science

Compliance Specialist (Legal) Resume

Headline : To obtain a position utilizing my strong communication skills, customer service expertise, and operational excellence, while continuing growth and contributing to the profitability of the organization.

Skills : Dedicated and proactive individual with effective front desk and customer service experience. Demonstrated ability to maintain a pleasant, positive, and courteous demeanour continually. Well versed in greeting visitors, scheduling appointments, and handling administrative and clerical duties.

Description :

    1. Determined account requirements and potential service gaps by reviewing compliance manuals, EDI maps, routing guides and other media as required.
    2. Detected and Monitored vendor compliance, violation charges, responding to and implementing corrective action plans immediately.
    3. Partnered with internal business groups to plan, develop, test, implement and document all processes required by the new accounts.
    4. Communicated business groups potential risks for non-compliance.
    5. Administered Value Added Service Program for customers that require standard and custom pricing, ticketing and Floor Ready presentation.
    6. Created custom pricing tickets using Bar Tender software.
    7. Reading EDI Raw data files, worked with a variety of divisions to assure orders were expedited promptly meeting compliance SLA's.
    8. Examined unnecessary chargebacks with functional areas (Transport, Sales, Operations etc ), creating and implementing plans of corrective action to prevent future occurrences, aligning self with the overall health of the company's finances.
Years of Experience
Experience
5-7 Years
Experience Level
Level
Consultant
Education
Education
Associate Of Applied Science

Reporting And Compliance Specialist Resume

Objective : To succeed in an environment of growth and excellence and earn a job which provides me job satisfaction and self-development and help me achieve personal as well as organizational goals.

Skills : Green Belt Six Sigma, A+ Certification, Network+ Certification.

Description :

    1. Investigate activities of institutions to enforce laws and regulations and to ensure legality of transactions and operations or financial solvency.
    2. Recommend actions to ensure compliance with laws and regulations, or to protect solvency of institutions.
    3. Prepare reports, and other supporting schedules that detail an institution's safety and soundness, compliance with laws and regulations, and recommended solutions to questionable financial conditions.
    4. Train with other examiners in the financial examination process.
    5. Operate 10-key calculators, typewriters, and copy machines to preform calculations and produce documents.
    6. Debit, credit and total accounts on computer spreadsheets and data bases, using specialized accounting software.
    7. Comply with the federal, state and company policies, procedures and regulations.
Years of Experience
Experience
2-5 Years
Experience Level
Level
Executive
Education
Education
High School Diploma

Compliance Specialist Resume

Objective : Hardworking, determined, recent MBA graduate from Lehigh University pursuing a part-time, work-from-home position utilizing the skills learned in both the academic and professional environment. Exposures in both arenas include working in cooperative teams to achieve common goals while balancing the demands of individual tasks.

Skills : Inventory Control, Compliance, Training & Development.

Description :

    1. Worked as part of a compliance team performing various tasks in response to frequent visits and requests made by outside auditors, the FDA, and the company's consent decree obligations.
    2. Managed the equipment calibrations for over 250 units, including maintaining a monthly schedule of calibrations, organizing the department's equipment records, and producing documents upon the auditor's request.
    3. Cooperated with the company's Safety & Industrial Hygiene Department to manage and maintain the safety records for over 100 employees.
    4. Communicated with vendors/procurement to purchase equipment for the department at the FDA's request, such as scales/balances for product measurement and securable storage cages for product waste.
    5. Wrote and revised department GMPs/SOPs in a timely manner in response to rapid procedural changes due to consent decree obligations.
    6. Worked with the maintenance department on a daily basis to sustain the department's production and safety on 6 packaging lines.
    7. Trained all packaging employees on revised procedures, new processes and the use and safety of new equipment.
    8. Trained and supervised two new interns working on projects assigned by upper management and myself.
Years of Experience
Experience
0-2 Years
Experience Level
Level
Entry Level
Education
Education
MBA In Finaance, HR & Supply Chain Management