The role of a Compliance Supervisor is to ensure that the company is conducting its business and operations as per the compliance of the national and international law and regulations as specified for that particular industry. A professional Compliance Supervisor Resume mentions the following duties and tasks – developing and overseeing the control system, preventing and dealing with legal guideline violations; evaluating the efficiency of controls; revising procedures; drafting and modifying company policies; assessing the business’s future ventures; identifying compliance risks, and preparing reports for submission to senior management.
To be successful in this role, the following skills are needed –in-depth knowledge of the industry’s standards and regulations; excellent knowledge of reporting procedures and record keeping; methodical and diligent approach to work; excellent communication skills; and an analytical mindset. A Bachelor’s degree in Law, Business Administration or relevant areas is the minimum requirement.
Headline : To obtain a Compliance Supervisor position in the banking industry to apply knowledge of 10+ years of experience. provide organization, efficiency, diligence, and consistent qualities.
Skills : MS Office, Management.
Description :
Responsible for ensuring clients meet all Local, State and Federal Regulations before assuming lease of company equipment.
Prepares compliance packets needed by customers to legally register the units throughout the country.
Checks references, type new applications, and print contracts to be signed by new customers.
Responsible for making sure that all trucks are properly licensed.
Inputs in the system the monthly mileage and fuel reports and batch late fees to customers who did not send the reports on time.
Responsible for applying for and maintaining the database for all apportioned tags the Company owns as well as the tags not owed by the Company (over 700 trucks).
Processes applications for certificate of titles for all new units acquired by the company and fast track them.
Experience
5-7 Years
Level
Executive
Education
Business
Jr. Compliance Supervisor Resume
Objective : Extensive experience in operations management in the transportation industry and managing a union workforce. Passionate about quality and customer satisfaction. Record of improving efficiency, productivity, and profitability through process improvement. Outstanding interpersonal and motivational skills. Analytical, articulate, organized, and diligent.
Skills : Consumer Compliance, Legal Research.
Description :
Reported directly to the VP of Compliance, responsibilities include the following: Partner collaboratively with business units to increase compliance with Federal regulations including, but not limited to TILA, RESPA, ECOA, HMDA, and SAFE Act.
Conducted target reviews for areas of deficiency in audit findings.
Maintained knowledge of FHA, VA, FNMA, and GNMA guidelines.
Reviewed marketing materials for compliance with Fair Lending regulations.
Ensured compliance with state laws including disclosure requirements and timing.
Worked with business units on policy and process changes to stay consistent with Federal and State regulations.
Drafted advisory memoranda and training materials on compliance updates and regulatory changes.
Reviewed Broker approval process and policies related thereto.
Compiled reports on compliance findings and remediation plans to present at board meetings.
Experience
2-5 Years
Level
Junior
Education
Finance
Sr. Compliance Supervisor Resume
Summary : Highly qualified Compliance Supervisor with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and would excel in the collaborative environment on which your company prides itself.
Analyzed and evaluated incoming non-compliance chargebacks on a day-to-day basis.
Worked closely with A/R team to investigate, identify and validate the reasons for the charges.
Categorized chargebacks based on their status and resolve them either with the customer or internally.
Created and maintained chargeback summary reports monthly and year to date.
Reported is to be distributed prior to the discussions for review.
Met with department heads on a regular basis to act on chargeback related issues that touch the Distribution Center.
Assisted the rest of the Distribution Center department in modifying processes to reduce non-compliance chargebacks.
Experience
10+ Years
Level
Senior
Education
Finance
Compliance Supervisor Resume
Objective : Seeking a Compliance Supervisor position that will allow leveraging knowledge and skills in policy and compliance to create value and be an asset to an organization.
Skills : Microsoft Office, Management.
Description :
Supervised 10 compliance specialist, soon to be 16.
Kept up to date on federal export regulations.
Attended management meetings.
Interviewed, hired and trained new compliance specialists.
Developed and implemented changes to the department.
Handled any disciplinary actions and follow up.
Communicated between our department and other internal departments.
Modified and implemented new compliance review practices.
Created an atmosphere of respect and have stopped the revolving door of people transferring out to another department.
Experience
2-5 Years
Level
Junior
Education
BA
Compliance Supervisor II Resume
Headline : To obtain a full-time Compliance Supervisor position as a Case Manager dedicated to Home Care coordination/Personnel Specialist. Focus is on problem-solving and improving the lives of individuals. Consistently prove to be a very diligent, hard-working and enthusiastic employee.
Skills : Customer Service, Medicaid Compliance.
Description :
Oversaw all field compliance in accordance with City Human Resource Administration requirements.
Approved the start date of all new applicants upon the submission of all required documents.
Trained/Supervised Personnel Specialist.
Assigned task to Personnel Specialist as required.
Monitored housekeepers' folder to ensure in-service, medical and evaluation forms are dated and filed prior to their respective expiration date.
Monitored clients' folders to ensure contacts (Quality Control).
Supervised Visit (27T), Advance Directive are completed and filed prior to their respective expiration date.
Experience
5-7 Years
Level
Executive
Education
Associates
Compliance Supervisor III Resume
Summary : To obtain a position in compliance management which allows to put 25 years of varied environmental, safety, and operational experience to use in a setting that combines day-to-day operations, compliance management, and long-term business planning.
Skills : Project Management, Site Acquisition, MS Office.
Description :
Directs, reviews, evaluates and assesses staff members, including but not limited to workload and performance.
Assists in development and implementation of goals, objectives, policies, procedures, and priorities for staffing needs for the department.
Assists in creating Monthly Compliance Department invoice and updating HUD work plans.
Provides conflict resolution for owners, agents, developers, HUD and other customer representatives.
Ensures internal policies and procedures regarding state federal procedures are met pertaining to HUD rules and regulations.
Assists in updating, training and implementation of administrative policies and procedures.
Implements HUD Rules and Regulations in preparing reports for audits conducted for a portfolio with over 725 contracts pertaining to various Section 8 finance programs (i.e LMSA, NC, SR, PRAC, 231, 236, 202 etc.) Conduct quality assurance to review the work of peers in order to provide guidance and evaluate the accuracy of the Management and Occupancy Review and FHEO reports.
Experience
7-10 Years
Level
Management
Education
Masters
Asst. Compliance Supervisor Resume
Objective : To expand and continually develop analytical skills while working for an organization that has a positive environment and mission.
Responsible for the understanding and application of Fannie Mae and Freddie Mac mortgage servicing regulations.
Directed supervise eight full-time analysts (two located off-site).
Provided leadership and guidance, coaching and training.
Holden's departmental staff is accountable for the achievement of goals.
Interacted closely with clients and regulatory agencies to ensure proper policies and procedures are being met.
Built custom reporting solutions to meet client requirements.
Responsible for mitigating potential losses for organization; team prevented over $1.5M in potential losses.
Responsible for providing advanced statistical reporting of team metrics and loss data to the AVP of Quality Assurance.
Experience
2-5 Years
Level
Junior
Education
BA
Associate Compliance Supervisor Resume
Headline : To obtain a Compliance Supervisor position in Administration was to utilize abilities in a fast-paced office setting.
Skills : Microsoft Office, Presentation , Regulatory Compliance.
Description :
Conducts investigations based on HUD Income Reports to determine if there is unreported income and/or assets.
Includes working with third party agencies to verify the under-reported income, calculate amount of loss for the unreported income, set up repayment agreements between Owner/Agent and Tenant to repay subsidy overpayments (tax dollars).
Prepares for all MORs and manages all correspondence regarding any audit findings and concerns.
Trains new managers and Occupancy Specialists on Section 8/Tax Credit rules and regulations including the annual recertification process, interim recertifications, calculation of rent, move-in certifications and file structure.
Audits file to ensure that proper documentation is collected and that calculations are accurate for income and assets.
Approves tenant Annual Recertifications, Interim Recertifications, Initial Recertifications, Move-In Certifications and any correction to previous certifications.
Reviews and submits monthly vouchers for billing.
Experience
5-7 Years
Level
Executive
Education
Master
Lead Compliance Supervisor Resume
Summary : A creative and challenging position in the transportation industry where training, highly developed abilities, interprets on all skills and industry expertise will be fully utilized to achieve profitability objectives and lead to career growth and advancement opportunities.
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