Risk And Compliance Analyst Resume
Summary : As a Risk And Compliance Analyst, contributed expertise in identifying, analyzing, and mitigating risks while ensuring adherence to regulatory requirements, conducted risk assessments, including identification of risks, assessment of risk impact and likelihood, and development of risk mitigation strategies.
Skills : Risk Assessment, Compliance Knowledge.
Description :
- Monitored and tracked key risk indicators, compliance metrics, and regulatory changes, providing regular reports and insights to management.
- Identified opportunities for process improvements, efficiency gains, and risk mitigation enhancements within risk management, compliance, and control functions.
- Participated in projects and initiatives aimed at enhancing risk management practices, regulatory compliance, and internal control frameworks.
- Provided advisory services in risk assessments, analysis, acceptance, and threat modeling as necessary to meet business and IT demands.
- Performed ongoing maintenance of compliance program.
- Assisted with business impact analysis.
- Analyzed risk data and metrics to evaluate the effectiveness of risk management strategies and controls and identify emerging trends or patterns.
Experience
10+ Years
Level
Senior
Education
BBA
Risk And Compliance Analyst Resume
Summary : As a Risk And Compliance Analyst, responsible for contributing to the development of risk management frameworks, policies, and procedures, responsible for participating in compliance audits, regulatory reviews, and risk-related projects, addressing findings and implementing corrective actions.
Skills : Analytical Skills, Attention to Detail.
Description :
- Monitored and evaluated the effectiveness of internal controls, risk mitigation measures, and compliance efforts, and recommend enhancements as needed.
- Analyzed data related to risk management, compliance, and control activities, and prepared reports, dashboards, and presentations to communicate findings and insights to management.
- Collaborated with cross-functional teams, including legal, finance, operations, IT, and external auditors, to address risk and compliance issues, implement solutions, and support audit activities.
- Communicated effectively with stakeholders at all levels of the organization to promote risk awareness, accountability, and a culture of compliance and ethical conduct.
- Provided guidance, support, and training to employees on risk management principles, compliance requirements, internal controls, and best practices.
- Conducted risk assessments, data analysis, and risk modeling to support risk management initiatives.
- Identified security issues and risks, and assisted the risk owner in developing mitigation plans.
Experience
7-10 Years
Level
Management
Education
BBA
Risk And Compliance Analyst Resume
Headline : As a Risk And Compliance Analyst, responsible for supporting the implementation of internal controls, risk mitigation measures, and process improvements.
Skills : Problem-Solving, Communication.
Description :
- Conducted risk assessments across various areas of the organization to identify potential risks, including operational, financial, regulatory, and strategic risks.
- Evaluated the impact and likelihood of identified risks, developed risk profiles, and prioritized risks based on their significance and potential consequences.
- Performed compliance audits and reviews to assess adherence to regulatory requirements, industry standards, internal policies, and best practices.
- Identified compliance gaps, control weaknesses, and areas of non-compliance, and recommended corrective actions and improvement measures.
- Stayed updated with relevant laws, regulations, guidelines, and industry trends to ensure compliance with regulatory requirements.
- Interpreted regulatory requirements, assess their impact on business operations, and work with stakeholders to implement compliance measures and controls.
- Developed and implemented internal controls, risk mitigation strategies, control measures, and policies to address identified risks and ensure effective risk management.
Experience
5-7 Years
Level
Executive
Education
BBA
Risk And Compliance Analyst Resume
Objective : As a Risk And Compliance Analyst, integrated GRC practices into existing IT entities and their policies and procedures to ensure compliance and reduce risk factors.
Skills : Project Management, Report Writing.
Description :
- Led the PCI compliance efforts, and looked for someone who has previous experience in meeting PCI Compliance requirements.
- Drove detailed documentation related to compliance procedures and controls (including the development of process maps).
- Documented and recommended compliance controls.
- Assisted with projects/initiatives requiring risk and compliance review and approval.
- Assisted with the design and execution of risk assessments.
- Drove compliance planning and ongoing maintenance, including program documentation updates and revisions Develop and conduct risk assessments for specific business units/sub-processes.
- Oversaw the development of the compliance program.
Experience
2-5 Years
Level
Executive
Education
BBA
Senior Risk And Compliance Analyst Resume
Summary : As a Senior Risk And Compliance Analyst, responsible for evaluating and monitoring supplier and partner relationships to support compliance, and responsible for performing Risk Assessments on new bank products.
Skills : Audit and Inspection, Familiarity with risk management.
Description :
- Responsible for performing annual ACH risk assessments.
- Responsible for performing semi-annual User reviews in relation to employee computer accesses.
- Responsible for performing annual Kiting reviews of Deposit operations.
- Responsible for performing Daily cash reports and Currency Transactions reports as necessary.
- Responsible for researching for possible kiting and/or fraud in customer accounts.
- Responsible for gathering information for the annual Bank Secrecy Act Risk Assessment.
- Responsible for complying with information and delivering information pertaining to Grand Jury subpoenas, subpoenas and summons served on the Bank.
Experience
10+ Years
Level
Senior
Education
BBA
Junior Risk And Compliance Analyst Resume
Objective : As a Junior Risk And Compliance Analyst, responsible for creating and maintaining a compliant work environment, responsible for supporting and training customers on compliance-related issues.
Skills : Risk assessment and analysis, Regulatory compliance and internal controls.
Description :
- Responsible for serving as a subject matter expert on compliance matters, providing guidance and support to colleagues across various departments.
- Responsible for assisting with the development of compliance objectives and strategies.
- Responsible for conducting gap analyses on existing control systems, recommending improvements where necessary for increased effectiveness in maintaining regulatory compliance.
- Responsible for monitoring adherence to industry regulations, and ensuring timely reporting of any discrepancies or violations.
- Responsible for staying current with the latest changes to applicable regulatory standards and company procedures.
- Responsible for enhancing regulatory compliance by conducting thorough risk assessments and implementing effective control measures.
- Responsible for identifying gaps in existing compliance processes and recommended updates.
Experience
2-5 Years
Level
Junior
Education
BBA
Associate Risk And Compliance Analyst Resume
Objective : As an Associate Risk And Compliance Analyst, responsible for developing risk assessment models to identify potential compliance risks, responsible for developing improvement and corrective action plans to bring operations in line with requirements.
Skills : Problem-solving, Decision-making.
Description :
- Responsible for preparing documentation and records for upcoming audits and inspections.
- Responsible for advising clients on compliance fraud and investigations, as well as potential remedies and required actions.
- Responsible for confirming data and licensing information through investigations and notified violators of required changes to bring operations into compliance.
- Responsible for collecting detailed notes on investigations and other communication to adhere to legal requirements and enhance recordkeeping.
- Responsible for participating in external audits, liaising with regulators to address any concerns raised during inspections effectively.
- Responsible for performing deep audits of Area to assess compliance with Type standards.
- Responsible for assisting in the development of a comprehensive risk assessment framework for evaluating potential threats to organizational compliance systems.
Experience
2-5 Years
Level
Executive
Education
BBA
Risk And Compliance Analyst Resume
Headline : As a Risk And Compliance Analyst, responsible for developing comprehensive training programs to ensure staff understanding of relevant regulations and policies, responsible for evaluating third-party vendors for compliance with applicable laws and regulations, and minimizing potential exposure to penalties or sanctions.
Skills : Compliance auditing, Reporting.
Description :
- Responsible for determining licensing eligibility by examining test results and comparing against established structures.
- Responsible for maintaining composure in stressful situations, confrontations, interviews and records searches.
- Responsible for playing an active role in industry forums and conferences, staying informed of the latest regulatory developments and best practices to incorporate into company operations.
- Responsible for reviewing contracts and agreements for adherence to legal requirements, reducing potential liability exposure for the company.
- Responsible for improving the company's risk management strategy by identifying, assessing, and mitigating potential risks related to noncompliance.
- Responsible for contributing to the development of a strong compliance culture within the organization by promoting awareness of relevant rules and guidelines through training sessions and communications campaigns.
- Responsible for warning violators of infractions or penalties.
Experience
5-7 Years
Level
Executive
Education
BBA
Risk And Compliance Analyst Resume
Summary : As a Risk And Compliance Analyst, responsible for assisting in the preparation of reports for senior management, outlining findings from investigations into suspected non-compliant activities, responsible for conducting regular reviews of company policies and procedures for alignment with regulatory requirements and industry best practices.
Skills : Training and development, Project management skills.
Description :
- Responsible for leading projects focused on improving data privacy standards and practices, ensuring compliance with evolving regulations in this area.
- Responsible for completing field checks to verify licenses and permits for various businesses.
- Responsible for supporting incident response efforts when breaches were identified by coordinating remediation efforts between multiple departments.
- Responsible for assisting investigation and risk management teams with fraud investigations and risk identification.
- Responsible for taking notes on field examinations and specific case details, updating databases, and producing reports outlining the results of investigations.
- Responsible for keeping informed regarding pending industry changes, trends, or best practices.
- Responsible for updating Software spreadsheets with the latest data to enhance strategic planning.
Experience
7-10 Years
Level
Management
Education
BBA
Risk And Compliance Analyst Resume
Headline : As a Risk And Compliance Analyst, responsible for implementing robust monitoring systems to track compliance performance and detect possible areas of concern.
Skills : Data analysis and reporting, Stakeholder engagement and communication.
Description :
- Responsible for streamlining internal audit processes for improved efficiency and accuracy in detecting potential compliance issues.
- Responsible for maintaining up-to-date knowledge of applicable laws and regulations.
- Responsible for investigating locations to confirm license data, conducting background checks, and assessing premises for compliance with licensing requirements.
- Responsible for helping create training programs to handle system-wide issues and maintain compliance.
- Responsible for reviewing audit and monitoring reports related to consumer and client activities.
- Responsible for collaborating with cross-functional teams for the successful implementation of new compliance initiatives.
- Responsible for assessing fees related to the registration of property-related documents.
Experience
5-7 Years
Level
Executive
Education
BBA
