Compliance Specialist Resume Samples

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.

Experience

0-2 Years

Level

Entry Level

Education

Certificate

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.

Experience

0-2 Years

Level

Entry Level

Education

Degree

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.

Experience

5-7 Years

Level

Executive

Education

Tax Credit Training

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.

Experience

0-2 Years

Level

Entry Level

Education

AA In Health Administration

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.

Experience

10+ Years

Level

Senior

Education

Diploma

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.

Experience

5-7 Years

Level

Executive

Education

GENERAL STUDIES

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.

Experience

5-7 Years

Level

Executive

Education

Bachelor Of Arts

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.

Experience

7-10 Years

Level

Management

Education

BBA In Business Administration

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.

Experience

2-5 Years

Level

Junior

Education

Diploma

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.

Experience

2-5 Years

Level

Junior

Education

BS In Business Management

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.

Experience

2-5 Years

Level

Junior

Education

GED

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.

Experience

2-5 Years

Level

Junior

Education

BS In Political Science

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.

Experience

5-7 Years

Level

Consultant

Education

Associate Of Applied Science

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.

Experience

2-5 Years

Level

Executive

Education

High School Diploma

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.

Experience

0-2 Years

Level

Entry Level

Education

MBA In Finance