Compliance Analyst Resume Samples

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Compliance Analysts make sure that company operations are in accordance to industry regulations and standards and perform tasks such as: reviewing sources about new regulations, informing other departments about industry guidelines and requirements, developing business procedures, preparing reports and presenting them to the senior management. Qualifications like legal knowledge, research skills, coordination, audit expertise, communication and computer competencies are common experience on Compliance Analyst example resumes. Those seeking to fulfill this role should be able to display a degree in business, finance or a similar field, depending on their given industry.

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1

Compliance Analyst II

Provided managerial and financial investigative training support to over 20 employees.

  • Prepared over 600 intelligence reports containing more than 1,200 alerting transactions which used by multiple State and Federal law enforcement agencies in illicit financial investigations.
  • Recognized as Top Performer in account reviews by saving a bank affiliate from nationwide reputational risk
  • Maintained detailed and organized records for internal and external audit exams saving 30 minutes in weekly search
  • Completed outbound call and electronic communications to internal and external employees reducing risk exposure by 10% of high-risk entities.
  • Worked on over 15 banking systems daily to complete investigations and internal audits.
  • Participated in testing transition project while preparing to move to new alert based system.
Candidate Info
9
years in
workforce
2
years
at this job
BS
Accounting
2

Compliance Analyst/processor

Inputted data from scanned documents provided by client into computer system and ran compliance review for each file.

  • Forwarded file to either underwriting or quality control for further investigation upon compliance review decision.
  • Assigned as processor as well as compliance analyst depending on file volume.
  • Performed verifications (deposits, employment and rent/mortgage) and calculations (income) per client stipulations.
  • Exceeded or met daily file quota mandated by management 90% each month.
  • Awarded highest in production for three consecutive quarters and listed in top five compliance analysts two years consecutively for department at branch location.
Candidate Info
20
years in
workforce
3
years
at this job
AA
Associate of Arts
BA
Statistics
3

Compliance Analyst

Managed 28 to 30 accounts (from $10 million to $10 billion) in support of Portfolio Managers.

  • Reviewed daily compliance reports and weekly audits, researching non-compliance issues and forwarding findings to Portfolio Managers for resolution.
  • Completed monthly, quarterly, and annual compliance checklists that track compliance with accounts' Code of Ethics to meet client servicing requirements. Investigated and resolved questions.
  • Ran Excel Workbook programs to pre-approve financial transactions for Portfolio Managers.
  • Streamlined operations by running daily reports versus weekly, which improved visibility of transactions and helped ensure compliance was maintained at all times.
  • Acted as liaison between clients and Rules Department. Tested changes to regulatory and client specifications, flagging any non-compliance issues and making recommendations.
  • Served as point person to update high volume database, ensuring information was current for audits.
  • Trained new team members and cross trained within department to share knowledge.
Candidate Info
19
years in
workforce
8
years
at this job
BS
Finance
4

Compliance Analyst

Other positions held: Compliance Senior Representative, Compliance Representative

  • Adept at developing and maintaining detailed procedural processes that reduce redundancy, improve accuracy and efficiency, and achieve organizational objectives
  • Created a transitional departmental plan that reduced staff size by 80% and led to the creation of a partnership with an external audit vendor
  • Managed and monitored external vendor relationship by conducting ad hoc audits as necessary
  • Exemplified excellent time management and multi-tasking skills by consistently meeting and exceeding productivity expectations
  • Researched patient complaints and used analytical skills to resolve issues and ensure customer satisfaction and confidentiality
  • Demonstrated strong teamwork skills such as compromise and cooperation by training associates with specific job functions
  • Completed specific job related courses to grow and develop professionally through iLearn
  • Monitored government regulations and standards to ensure alignment with company policies and procedures
Candidate Info
7
years in
workforce
5
years
at this job
BBA
Management
5

Corporate Clinical Compliance Analyst

Coordinated and documented improvements to Ambulance coding and billing in a successful response to a Department of Justice investigation

  • Guided Department Directors in developing policies and procedures that improved utilization and reimbursement
  • Conducted compliance audits on departments throughout the health system, which is comprised of hospitals, physician offices, outpatient rehabilitation clinics, ambulance services and an insurance company.
  • Act as a liaison between the clinical side and financial side of the corporation
  • Completed 18 month FirstU Leadership II Management training course.
Candidate Info
24
years in
workforce
7
years
at this job
HS
High School Diploma
BS
Bachelor of Science
MBA
Master of Business Administration
6

Compliance Analyst

Ensured adherence to corporate policies as well as compliance with Regulation E Consumer International Wires rule and other government sanctioned inquiries such as OFAC & 314(a).

  • Assisted Private Client Groups and the Foreign Exchange Desk with processing consumer international wires for Regulation E compliance
  • Responsible for logging in the Reg E consumer wires and ensuring proper backup documentation has been saved for audit purposes, as well as communicate with PCGs and FX Desk on wire issues
  • Made sure documentation are in order for Regulator reviews and audit identified issues
  • Performed reviews for compliance on functions related to OFAC and 314(a), and manage specialized reporting, management reporting, and SAR metric reporting
  • Reviewed system generated reports of transactions and investigation of account activity for potentially suspicious activity from inception to completion.
  • Monitored and identified suspicious activity on banking customers, drafted narratives of findings and suspicious activity reports (SAR)
Candidate Info
20
years in
workforce
4
months
at this job
HS
Computer Technical Support
AS
Business Technology
7

Compliance Analyst

Researched and analyzed state laws, regulations, and insurance department guidelines, applying policy text, company practices, filings, and hypothetical / factual situations. Drafted new and revised policy text and related contract forms to comply with state laws. Prepared, submitted, and responded to any objections from insurance departments regarding product filings.

  • Submitted new products for approval for multiple states, meeting project deadlines consistently.
  • Cultivated effective working relationship with state and federal regulators.
  • Prepared and submitted state required regulatory reports, verifying company compliant with state requirements, avoiding unnecessary fines.
  • Researched and analyzed new state laws and regulations; produced summaries and / or action plans for updated regulations, ensuring new requirements applied.
  • Selected as trainer for compliance analysts and troubleshooter for electronic filing system and System for Electronic Rate and Form Filings (SERFF); assisted new hires in understanding compliance policies and procedures.
Candidate Info
17
years in
workforce
10
years
at this job
Nursing
8

Compliance Analyst

Performed testing on Collections, Default Reporting, Foreclosure, Bankruptcy, REO, Government Insuring, Loss Mitigation, and New Loan Setup to ensure compliance with GSE, investor and state guidelines.

  • Performed loan level testing to ensure organizational compliance with ECOA, FDCPA, FCRA, and RESPA.
  • Prepared metrics reports by collecting, analyzing, and summarizing information.
  • Coordinated and facilitated meetings amongst departmental areas to communicate findings and identify measures needed for corrective action.
  • Participated in meeting with regulatory agencies including OCC and CFPB to identify procedural weakness and implement corrective action as it related to consent order.
  • Researched regulations by reviewing regulatory bulletins and other sources of information.
Candidate Info
12
years in
workforce
4
years
at this job
HS
High School Diploma
AS
Associate of Science
9

Compliance Analyst

Reviewed Firm's advertising and sales literature pertaining to industry regulations and standards.

  • Provided effective and timely reviews of advertising and sales literature to determine the appropriateness of the materials in relation to regulatory standards.
  • Consulted Firm associates on areas of regulatory concern, and developed strategies and edits to improve the materials.
  • Conducted oversight examinations of specific product areas within the Firm in regards to their advertising policies and procedures.
  • Participated in ongoing development of the Firm's marketing compliance procedures.
  • Reconciled Advertising CRD Account.
Candidate Info
2
years in
workforce
2
years
at this job
BA
Economics
MA
Theology
MBA
Business Administration
10

Sr. Compliance Analyst

Drafted and revised internal policies and procedures to ensure compliance with industry standards and board requirements.

  • Reviewed contracts, prospectuses and selling agreements, among other documents, to ensure consistency, and adherence to relevant rules and regulations.
  • Participated in roundtable calls in which we discussed industry standards and requirements.
  • Identified compliance risks and managed them by providing advice, and monitoring.
  • Reviewed various industry trade association websites for information that impacted the division and apprised the necessary parties of any new requirements.
  • Assisted with other Retirement Solutions Division initiatives as needed.
Candidate Info
7
years in
workforce
1
year
at this job
BA
Criminology
MA
Business
JD
Law

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