Compliance Officer Resume Samples

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Compliance Officers ensure the company employing them understands the current regulations in its industry and is able to comply with them. These professionals usually work for industries which are heavily regulated, such as finance, health care, pharmaceutical and chemical. Based on our resume samples, the ideal candidate should demonstrate thorough knowledge of industry regulations, very good communication abilities, computer literacy, teamwork, and analytical thinking. A Bachelor's Degree in a relevant field is required, and some employers may prefer resumes displaying a Master's Degree.

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1

Compliance Officer

Comprehensive project and compliance management responsibilities relating to fair lending regulation and the Community Reinvestment Act (CRA):

  • Managed the development, execution and metrics & reporting of annual fair lending and CRA training
  • Directed enterprise $100,000 mystery shopping project covering 17 states
  • Developed & managed enterprise CRA Public File intranet site
  • Managed resolution of all corporate fair lending complaints
  • Led post-merger community commitment plans, including annual reporting to community groups across 9 merger impacted states
Candidate Info
19
years in
workforce
5
years
at this job
BA
Bachelor of Arts
2

Revenue Enforcement Compliance Officer

Communicate daily with employers and representatives by providing all necessary technical and procedural support in order to collect overdue unemployment insurance taxes to fund unemployment insurance account and pay benefits to qualified claimants. Produce correspondence related to tax collection including assessment and court letters. Levy accounts not in compliance with Massachusetts legislation. Process applicable forms and checks from employers. Complete inter-agency compliance checks as requested according to procedure.

  • Devised and implemented workflow process for prioritizing activities related to case files, which streamlined operations and enhanced productivity.
  • Purged older documents from filing cabinets, reduced paperwork, and freed space for new cases.
  • Proactive member of team tasked with redefining and negotiating position reclassification by the HR department; efforts facilitated a higher work class designation and salary increase.
  • Initiated procedures that stabilized volume of paperwork, which prevented future backlogs.
  • Successfully resolved ongoing issues for outstanding cases that dated back prior to 2002.
  • Commended for outstanding performance; currently recognized for securing the largest single levy collection.
Candidate Info
20
years in
workforce
14
years
at this job
BS
Management
MA
Global Management
3

Sr. Compliance Officer

Performed as Sr. Compliance Officer in Compliance Management Services division of an international environmental consulting company.

  • Resolved Notices of Violations while acting as regulatory liaison on behalf of client. Interfaced closely with client personnel during initial abatement activities and while filing regulatory reports.
  • Reduced hazardous exposure to public and environment, by directing onsite personnel during and after incident/spill.
  • Ensured timely response to maintenance dispatches, by coordinating closely with branch operations and client's 3rd party vendors.
  • Reduced noncompliance issues for customer, by performing research on common trends and analyzing data.
  • Updated compliance database, and provided monthly and annual reports to management and customers.
Candidate Info
20
years in
workforce
14
years
at this job
BS
Environmental Science
4

Compliance Officer

Monitored CSA contract and its amendments, all other NJ Service Center Contracts, federal, state and local laws and regulations, compliance literature and regulatory releases.

  • Managed and monitored compliance with CSA Contract Deliverables. Developed annual contract compliance summary report, and drafted annual proposed contract deliverables document.
  • Participated in annual contract deliverable negotiations with the DCBHS Director and Deputy Director.
  • Monitored and maintained status reports of CSA readiness for external auditing and accrediting reviews including audits conducted by the State of New Jersey and URAC.
  • Ensured CSA ongoing compliance with HIPAA and other Privacy related regulations and policies.
  • Report Compliance, Privacy and Waste, Fraud and Abuse issues/concerns to the Executive Director and Director of Quality Management of CHP, LLC and to the Director of Corporate Compliance and/or Legal Department.
  • Developed policies and procedures to assure company coordination and direction on regulatory matters.
Candidate Info
17
years in
workforce
2
years
at this job
AS
Art
BA
Art Therapy
MBA
Business Administration And Health Care Management
5

Assistant Vice President & Chief Compliance Officer; Chief Privacy and Risk Officer

Supervised direct reports in managing the corporate compliance program, including oversight of foreign subsidiaries and independent producers, for this $4 billion life and annuity insurance company. Monitored legislative and regulatory compliance developments, and testified before regulatory and legislative bodies.

  • Collaborated with sales and marketing departments and other business units to address indications of improper sales practices and market conduct violations.
  • While serving as Chief Compliance Officer, also served as the company's Chief Privacy and Risk Officer for one year. Led the development and implementation of group enterprise risk initiatives.
  • Recipient of the "People's Choice Award for Professionalism" for the highest ethical performance.
Candidate Info
10
years in
workforce
6
years
at this job
BA
Journalism
JD
Juris Doctor
6

Corporate Compliance Officer

Non-profit 24/7 psychiatric urgent care and short-term inpatient facility. Annual budget: $23 million

  • Elevated contractual indicator rating compliance by 75% in first eight months of employment
  • Constructed and refined 80+ data point monitoring system connected to process improvement activities
  • Redesigned policy and procedures manual in alignment with comprehensive state rule-making conversion
  • Expanded Joint Commission Focused Standards Assessments by promoting input across all job levels
  • Influenced change management for 250 employees during contract ownership transition
Candidate Info
19
years in
workforce
2
years
at this job
BA
Bachelor of Arts
MA
Master of Arts
JD
Juris Doctor
7

Coding Compliance Officer/trainer

Developed clinic-wide policy in accordance with CMS guidelines to ensure ICD-9-CM coding and E&M documentation compliance including NCCI edits and LCD/NCD guidelines

  • Developed coding and E&M documentation training programs for professional and ancillary staff with emphasis on how to use the EMR system to their advantage
  • Performed annual documentation audits for 16 to 20 providers reporting results to management and met with providers to review audit results and provide documentation education
  • Annual E/M audits with results for 2012, 2013 and 2014 demonstrated continual improvement of providers' documentation. 2014 results indicated 16 of 20 providers E/M documentation at 90% or better
  • Assisted BO and A/R supervisors with training of charge capture/charge entry personnel
  • Worked other projects as assigned by management, i.e., implementation of an AWV program for Medicare and MedAdvantage beneficiaries, collaborated with insurance companies and professional staff to improve HCC coding and increase HEDIS measurement reporting
Candidate Info
10
years in
workforce
3
years
at this job
AAS
Medical Secretarial Studies, Aas
AAS
Associate of Applied Science
BA
Communications And Social Science Research
8

Chief Compliance Officer, Managing Attorney

This firm specializes in recovering distressed consumer assets, charged off credit debt, purchased by our clients from banks and financial institutions.

  • Managed high volume litigation practice
  • Audited and reported on staff compliance with FDCPA regulations and client parameters
  • Developed weekly compliance training to promote consistency and better customer service
  • Investigated and responded to customer complaints and took corrective actions to reduce future
  • Developed policies and procedures to ensure compliance with state and federal regulations
Candidate Info
16
years in
workforce
1
month
at this job
JD
Law
9

Compliance Officer

Effectively conducted AML /KYC formality reports on questionable accounts and transactions

  • Completed Currency Transaction Reports (CTR) on high volume currency transactions on customers associated with the bank and its departments
  • Performed the required KYC screening on new clients by documenting and corroborating the information obtained on the client as required by the global KYC procedures utilizing a variety of independent research sources (i.e. Lexus Nexus, World Check, Internal Databases, etc)
  • Investigated and reported Suspicious Activity Reports ("SAR") on suspicious activity and fraud cases associated with the bank
  • Proficient in Microsoft Office 2013, Excel
  • Knowledgeable in AML, KYC Due Diligence, SAR, BCP and BSA financial rules and regulations
  • Excellent time management skills and the ability to manage competing priorities while meeting deadlines
Candidate Info
2
years in
workforce
2
years
at this job
BA
Administration Of Justice
MA
Criminal Justice
10

Compliance Officer

  • Supervised a staff of 15 to ensure compliance with testing standards and quality
  • Managed all facets of maintaining and acquiring laboratory certifications.
  • Used strong communication skills to increase business by 35%.
  • Slashed accounts in collections by 40% through ability to build trusting relationships.
  • Reviewed contracts and oversaw external work on legal matters involving the company.
  • Heavy customer interaction concerning marketing, drafting proposals and compliance
Candidate Info
10
years in
workforce
4
years
at this job
BA
Political Science
JD
Labor & Employment Law

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