The Senior Compliance Analyst of a company ensures that the company’s projects, policies, and practices adhere to the relevant laws and regulations. Some of the chief roles and responsibilities that are shouldered by a senior compliance Analyst include monitoring constantly the regulatory changes, obtaining permits and licenses, reviewing the institutional policies and developing risk management strategies. These professionals also make sure that the company’s activities are carried out as per the set plans, organizational policies, contractual terms and the laws pertaining to it, and undertake measures to reduce deviations if any.
Apart from possessing sound interpersonal and decision-making skills, a senior Compliance Analyst is expected to demonstrate a thorough knowledge of rules and regulations laid by the business regulatory laws have in-depth knowledge of General Accepted Accounting Principles and Federation acquisition laws. A powerful Senior Compliance Analyst Resume is the one that depicts a Degree or Masters in Finance or Commerce.
Objective : Experience compliance professional with competent leadership skills that utilize trends and patterns to identify gaps and exposure to risk.
Skills : Management, Accounting, MS Excel, MS Word, Outlook, Powerpoint.
Serve as a team lead for compliance analysts performing surveillance of brokerage accounts.
Mentor, coach and develop compliance analyst.
Interview potential compliance candidates and contingent staff.
Prepare and conduct brokerage compliance training presentations.
Provided feedback to management on analyst performance.
Assist in writing policies and procedures to efficiently provide oversight of brokerage compliance surveillance system.
Serve as the primary contact for operational compliance inquiries and issues from associates management throughout the organization.
Senior Compliance Analyst I Resume
Summary : Senior Compliance Analyst is responsible for providing leadership and direction to the compliance team. This includes leading the development of a compliance plan, developing and maintaining training materials, conducting regular compliance audits, and providing guidance on risk management.
Skills : Microsoft Office, Meeting Management, Administrative, Office Management, Clerical, Data Entry.
Ensure company operations in each department, as well as our third-party administrators, were in compliance with state insurance regulations.
Respond to consumer and department of insurance complaints.
Serve as the corporate contact for all matters related to complaints.
Monitor and implement any regulatory changes that may affect the Company.
Ensure affected operations areas are in compliance with new requirements.
Obtain and analyze transactions and transaction patterns related to the client activity,
Collect and document data, including alert activity and investigation reports as well as suspicious activity report history.
Review and analyze data gathered to assess the reasonable cause of suspicion based on current Mel/BSA guidelines.
Senior Compliance Analyst-Temp Resume
Headline : Over 7 years of experience, all in the insurance industry solid reputation of relationship building and excellent communication with internal and external business partners Expertise spanning several disciplines within a Financial Services Institution. -
Skills : Excel, Powerpoint, Access, SQL, Quickbooks, Data Analysis, Metrics, Regulatory Compliance, Risk Analysis, Business Process Controls, Product Marketing, and Workflow Improvement.
Researched and resolved breaches of security based on specific Government and State regulatory requirements, consulted with corporate legal to ensure compliance.
Provided credit monitoring services from our vendor to customers whose information had been compromised.
Performed regular reviews of our business units to ensure compliance with company policies involving security and privacy were being followed.
Conducted risk assessments of new computer systems being implemented to ensure security was not an afterthought but built into the systems being implemented.
Performed quarterly reviews of all mobile devices to ensure that all new devices deployed throughout the company were configured with the security settings.
Developed training programs to ensure all employees were aware of corporate security policies and privacy standards.
Reviewed and updated security policies, conducted quarterly audits of our business units to ensure individual department procedures were being followed.
Senior Compliance Analyst-Lead Resume
Summary : Operational and policy leader with over 8 years of cross-sector leadership while leveraging strategic partnerships, launching high-impact programs and building resourceful organizational systems. A program manager with expertise in balancing innovation and pragmatism for sustainable results.
Monitored daily operations to ensure direct adherence to all federal, state, and internal regulations, policies, and procedures.
Coordinated and led all appeal hearings and reviews.
Documented and evaluated evidence, researched and investigated case details, and monitored results to ensure compliance.
Served as the departmental liaison with external parties on the informal hearing logistics and critical internal issues.
Managed special projects including policy and procedure analysis.
Minimized the agency's overall cost of criminal background analysis by 50k of operating revenue.
Reviewed and updated security policies, conducted quarterly audits of our business units to ensure individual department procedures were being followed.
Senior Compliance Analyst II Resume
Headline : Highly motivated and conscientious professional with over 7 years of experience. Looking for an opportunity to utilize extensive knowledge in Financial Services, Real Estate, and Information Technology. With a solid understanding of these areas, looking to transition skills and expertise to a reputable progressive organization where one can provide direct & practical experience.
Skills : Business Analysis, Business Continuity, Financial Services, Operations Management, Data Analysis, Supervisory Skills.
Ensured guideline adherence in relation to inter-affiliate transfers by monitoring and cataloging Form D limits on behalf of various operational and legal areas.
Facilitated cross-divisional collaboration and transparency by liaising with Operations, Systems, and Legal Departments on diverse ad hoc and routine compliance matters.
Supported IT initiatives as required based on diverse operational and data quality backgrounds.
Drove improvements in data accuracy and vendor relationships by identifying data flaws inherent in the trade monitoring system.
Exposed vendor and in-house data inefficiencies from which a major firm-wide initiative was subsequently developed to address.
Responsible for Integral in enhancing processes; introduced the functionality of a new in-house reporting system.
Developed reporting tools for use within the department, streamlining ad hoc quarterly reporting tools and greatly reducing the time needed to perform tasks.
Senior Compliance Analyst-Part Time Resume
Objective : Senior Compliance Analyst with 3 years of experience in financial reporting, analysis, forecasting and budgeting, corporate tax, compliance for one of the top oil and gas producers.
Skills : Microsoft Office, Interpersonal Skills, Budgeting, Excellent Communication Skills.
Managed and forecasted audit schedules for worldwide regional compliance teams in accordance with budget constraints and staffing resources.
Provided worldwide department support to ensure audit compliance and financial and operational goals were met.
Prepared reports, conducted gap analyses, and maintained data integrity on operational and financial data.
Prepared recommendations and presentations for internal (senior management, audit firms, licensees, and business units) and external clients and partners.
Served as division representative to Non-Government Organizations and regional teams.
Collaborated with support groups to ensure that employees and processes complied with company regulations and procedures while abiding by applicable federal laws.
Worked in a supervisory capacity over the national sales force to educate financial advisors on the firm policy.
Attended and lectured at new broker training classes to ensure compliance policies were understood.
Senior Compliance Analyst III Resume
Summary : Professional well-versed in providing high-quality compliance control that embodies client services and support through well tested, comprehensive analysis and review.
Skills : Self Directed, Excellent Interpersonal & Communication Skills, Data Entry.
Identifies and analyzes regulatory, financial and operational risks ensuring internal control effectiveness for all channels and functions.
Interfaces with all levels of management to analyze and mitigate risk and ensure effective controls.
Consistently reviews new regulations and staying current on new developments in policy and procedures within the industry.
Monitors and administrators of personal trade activity through the Personal Trading Assistant (PTA) for all Investments access personnel.
Manages industry requirements and firm procedures to identify potential deficiencies and coordinates findings with respective reports making recommendations as required.
Monitors and reviews email through Autonomy/S6 for adherence to policies and procedures including regulatory rules and for company appropriateness.
Manages and administers training via learning for Insider Trading as well as administration of the Code of Ethics program and the new hire onboarding process.
Senior Compliance Analyst-Specialist Resume
Summary : Seeking to offer outstanding risk analysis, mitigation, coordination, support and leadership skills; to hold well-developed interpersonal skills and the ability to motivate as well as direct others in a supportive, cooperative team environment and to preserve exceptional business communication and strategic development within the execution of daily tasks, functions and business operations.
Skills : Microsoft Word, Office 2003/2007/2010, Lotus Notes, Access, Excel, PowerPoint, SharePoint, LMS Software.
Serves as an expert resource for a broad array of legislative and regulatory requirements that affect multiple departments and business units.
Communicates new and revised laws and regulatory guidance that affect the company and interpret/summarize the requirements.
Disseminates the requirements by engaging change implementation team or compliance liaisons assigned to individual business units.
Ensures the effectiveness of processes for submission of information, data, and documents to regulators, including accurate tracking, compliant recordkeeping, and prompt communication with the affected business unit or department.
Independently monitors business unit compliance performance to validate business unit self-audits.
Proactively tests policies and procedures against regulatory requirements.
Summarizes and provides feedback on monitoring results, identify areas for improvement and communicate to business units and Compliance Officer.
Monitors and reports business unit compliance metrics and overall performance dashboard.
Senior Compliance Analyst-Assistant Resume
Objective : Managed and implemented Information Security and Risk Management programs while monitoring multiple projects and established strong client relationships. A dynamic executive with significant knowledge and experience in fulfilling and implementing FRB, FFIEC, FDICIA, SOX, GLBA, HIPAA HITECH regulation requirements while monitoring.
Skills : Data Entry, MS Office Suite, Office Management, Clerical, Data Entry, Customer Service, Client Relationship, Networking.
Managed and performed IT Advisory and IT Assurance services for 11+ clients to ensured SOX Compliance for the organizations.
Performed process walkthroughs and internal controls testing that resulted in the identification of gaps and their remediation efforts.
Conducted interviews, documented and reviewed client processes and procedures, documented and prepared work papers.
Performed audit process and procedures by developing test scripts based on controls including reviewing and analyzing evidence.
Identified and documented audit issues and developed recommendations using independent judgment.
Prepared planning memo, audit plans test scripts to perform sampling and testing of controls to generate audit reports.
Recommended and coordinated IT SOX requirements and supported the Implementation of IT Controls to ensure SOX Compliance.
Senior Compliance Analyst-Contracting Resume
Headline : 7+ years of experience of results-focused Underwriter and Compliance Analyst skilled at performing a variety of underwriting tasks and audits, managing complex regulatory changes, building relationships and consulting with stakeholders to meet underwriting goals and regulatory compliance requirements. Manages risk and performs risk analysis, and makes decisions to ensure profitability. Develops positive working relationships with sales business partners to resolve customer issues and support the sales process.
Coordinated and conducted complex compliance research.
Performed regulatory analysis, and monitored new legislation, and existing regulations to support business operations.
Conducted audits of underwriting processes, in particular processes with significant business impacts, and communicated results.
Conducted research and developed responses to market conduct criticisms.
Acted as underwriting and compliance expert during reviews of underwriting guidelines, underwriting termination processes, policy rescissions, and customer complaints.
Conducted compliance research as new underwriting programs were developed.
Responded to compliance-related questions from state managers and multiple departments.
Assessed insurance legislation in 13 assigned states and recommended revisions to processes and forms to ensure compliance and implementation.
Senior Compliance Analyst-Pricing Resume
Objective : Compliance Investigator with strong investigative and analytical skills in various aspects of financial crime. Excellent understanding of the industry's rules and regulations under which firms operate. The high degree of independent judgment to review, address and resolve issues. Strong analytical skills, attention to detail and the ability to exercise balanced judgment.
Skills : Project Management, Product Development, User Acceptance Testing, Business & System Requirements Construction.
Analyzed sales practices and investigated customer complaints, terminations for regulatory cause and activities of broker-dealer personnel.
Provided comprehensive written and verbal reports to broker-dealer executives and FINRA management, relating to regulatory concerns.
Responded to regulatory inquiries from the SEC, NASD, NYSE, and other self-regulatory organizations.
Developed an understanding of the anti-money laundering regulations.
Provided guidance to internal clients on anti-money laundering and sanctions/compliance risk-related matters.
Conducted enhanced due diligence on customers' accounts to identify potential legal, regulatory or reputational risk.
Investigated and responded to customer complaints about all of the companies.
Negotiated settlements and when required, hired and worked with outside counsel.
Senior Compliance Analyst Resume
Summary : Seeking to utilize 10 years of banking, management, sales, training and overall financial skills and grow within a professional environment for longevity.
Skills : Public Speaking, Computer Skills, Internet Research, Legal Research, and Management.
Review regulatory data and information to ensure compliance guidelines are met within the structure of the bank.
Gap analysis, risk assessments, regulatory testing, and reviews.
Work with stakeholders on compliance-related mandates to ensure overall compliance achievement.
Identify and correct discrepancies with day to day functions including mitigation and resolution.
Analyze and research potential compliance issues and lead a resolution for appropriate changes.
Assist with federal compliance examinations, internal audits and facilitate maintenance of records.
Held a critical role in a workgroup that determined and assigned customer risk ratings.