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Compliance Examiner Resume Samples
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Candidate Info
13
years in workforce
2
years at this job
Compliance Examiner
Conducted internal reviews into allegations of securities industry violations on the part of WGS Registered Representatives.
- Investigated and brought resolution to customer complaints.
- Prepared various Form U-4 amendments, Form U-5's and filings in accordance with NASD, SEC and various state securities departments.
- Handled exception reports for the purpose of detecting instances of improper sales activities.
- Communicated with representatives, regional compliance staff members, and regional supervisory personnel regarding NASD and firm rules and regulations.
- Performed other duties as needed.
Candidate Info
6
years in workforce
6
years at this job
BS
Business & Management
OTC Compliance Examiner
Responsible for reviewing applications submitted by NASD member firms to quote securities on the OTCBB or Pink Sheets LLC
- Analyzed issuer filings and financial statements to determine GAAP conformity and SEC/NASD compliance.
- Prepared referrals to the Legal Section identifying conduct in violation of SEC/NASD regulations.
- Responded to inquiries from investors and issuers, and assisted NASD and SEC personnel with investigations.
- Conducted reviews of post clearance trading activity for conduct that violated SEC/NASD regulations.
- Drafted comment letters identifying potential deficiencies contained within the application.
Candidate Info
13
years in workforce
2
years at this job
BA
Business Administration
MS
Accounting
MBA
Finance
Compliance Examiner
Successfully conducted medium to complex exams independently
- Managed work schedule of Cycle and Cause Exams as a Lead Examiner coordinating work of several examiners and responsible for presenting finished exam to management.
- Successfully completed off cycle Branch Office Exams, Heightened Supervision Exams, Problem Broker Exams and Options Exams.
- Completed training program 3 months ahead of schedule
- Working Knowledge of [company name] Regulations and Anti-Money Laundering
Candidate Info
8
years in workforce
1
year at this job
BS
Accounting
Senior Compliance Examiner
Development of relationships with assigned firms to provide education in regulatory standards through monthly reviews, outreach programs, and routine examinations.
- Analyzed financial reports and other relevant data to ensure compliance with all regulations.
- Prepared risk-based examination planning packages of assigned member firms.
- Conducted examinations of firms and reported potential violations to senior management.
Candidate Info
11
years in workforce
6
years at this job
BA
Economics Ba
Specialist III, Compliance Examiner
- Conducted control and compliance audits of mortgage servicers
- Prepared narratives and reports to communicate audit findings to internal stakeholders and mortgage servicers
- Compiled and evaluated results of loan file reviews to scope compliance audits
- Reviewed and analyzed mortgage loan files to evaluate mortgage servicer compliance with foreclosure administration and loss mitigation solutions
- Performed quality assurance assessments of loan file reviews to ensure reviews are completed to the highest standards
- Analyzed income and credit documentation to underwrite loan modification requests
- Prepared and conducted training sessions for compliance examiners
Candidate Info
8
years in workforce
3
years at this job
BS
Business Administration
MA
Business Administration
Compliance Examiner
- Conducted compliance exams of Waddell & Reed offices to ensure compliance with all firm, FINRA, SEC, MSRB and state rules and regulations
- Prepared and presented reports to Managing Principals detailing the deficiencies found during the exam
- Prepared and tracked expense reports for my travel expenses
Candidate Info
1
year in workforce
11
months at this job
BA
Economics
Tuck Summer Business Bridge Program
Compliance Examiner, OTC Derivatives
Participate in field examination interviews with member firm Swap Dealer Risk and Compliance personnel
- Review periodic reports, policies and procedures pursuant to relevant CFTC Regulations as well as industry best practice
- Evaluate Swap Dealer business units through risk identification and internal control testing to assess compliance with policies and procedures
- Discuss possible deficiencies and key risks identified with senior NFA examination staff
- Communicate issues and recommend process improvement procedures to senior Swap Dealer Compliance personnel
- Prepare post-examination reports documenting relevant findings, results of assessments and firm remediation action plans for
Candidate Info
3
years in workforce
3
years at this job
BA
Small Business
Mathematics And Computer Science
Lead Compliance Examiner
- Performed onsite examinations of Offices of Supervisory Jurisdiction (OSJ).
- Ensured compliance with applicable industry rules (State, FINRA and SEC regulations) and company policies by conducting branch audits and reporting findings.
- Responsible for conducting various tasks toward the overall supervision and oversight of OSJ Branch Managers.
- Responsible for answering general compliance questions, conducting suitability reviews of transactions, and conducting a variety of general compliance functions.
- Achieved series 24 Registered Principal license.
Candidate Info
6
years in workforce
2
years at this job
BBA
Finance
Compliance Examiner
- Perform on-site examinations of NFA Member's books and records and analyze the business and financial operations to ensure compliance with NFA and CFTC requirements.
- Examine Member firms financial performance reporting ranging from firms with AUM of $100,000 to greater than $5
- Review and investigate customer complaints to determine whether a Member has violated any rules and gathered
- Interact with investing public as well as senior staff and officers at NFA and CFTC member firms to establish
Candidate Info
3
years in workforce
11
months at this job
BBA
Accounting
Compliance Examiner
- Participate in the examinations of Member's books and records through all steps of the audit cycle
- Analyze Member's processes, procedures and financial operation controls to ensure compliance with NFA requirements
- Document all findings throughout an examination with process checklists, audit journals and risk assessment logs
- Prepare reports for examination managers in order to convey audit findings and interpret our analysis and assessments
- Review and investigate customer complaints to determine whether a Member has violated any rules and gather evidence for possible disciplinary cases
- Interact with the investing public, as well as senior staff and officers at NFA Member firms
Candidate Info
6
years in workforce
10
months at this job
BA
Communication
BS
Business Administration
MA
Business Administration
Regional Compliance Examiner
Conducts pre-audit research offsite prior to office visit
- Conducts on-site audits of TFA branch offices.
- Interviews OSJ/Branch Office Managers charged with supervising office activity
- Reviews required branch files including client files, trade blotters, registered rep files, financial records, etc.
- Reviews & evaluates policies and procedures for branch office recordkeeping methods
- Prepares & presents audit summaries and conducts post audit functions
- Perform other duties such as special investigations and policy & procedure updates
Candidate Info
18
years in workforce
10
months at this job
Business Finance
Business Administration
Compliance Examiner
- Conducted and executed on-site examinations as a member of the Counterparty Operational Risk Evaluation (CORE) team.
- Gained familiarity with Bank Secrecy Act (BSA), Anti-Money Laundering (AML), OFAC Screening, and Suspicious Activity Reporting (SAR) through fraud risk assessments and onsite compliance examinations of counterparties.
- Developed testing strategies for the following key mortgage I possess a track record achieving optimal performance of operational risk assessments and devising testing strategies for the following key mortgage operation areas: Corporate Governance, Loan Production/Origination, Underwriting, Regulatory Compliance, Pre and Post Funding Quality Control, Secondary Marketing/Interest Rate Risk Management, Servicing, Default Management, Investor Reporting, Document Custody, and Fraud Detection/Investigation.
- Additional responsibilities included the evaluation of operational risk within the mortgage operations of the approved Seller/Servicers and Document Custodians, Banks, Savings and Loans, Credit Unions and Mortgage Companies.
- As a trained auditor, utilized risk based control assessment strategies and initiatives to evaluate the counterparties control structure effectively and identify risk correlated to their compliance with [company name]'s Single Family Seller/Servicer Guidelines as well as industry's best practices.
- Recently completed Committee of Sponsored Organizations (COSO) Internal Control Certification for growth and development.
- Nominated as the lead examiner that maintained CORE's Areas of Focus and Audit Program for Default Management through active involvement of Department’s
Candidate Info
6
years in workforce
1
year at this job
BA
Business Administration
MA
Business Administration
Compliance Examiner
- Independently conducts announced & unannounced on-site inspections of advisory branch offices throughout the United States
- Provides oversight and guidance to branch advisors during SEC and FINRA Regulatory exams
- Consults with branch managers, advisors and support staff & provides direction on maintaining branch offices in accordance with Federal, State, FINRA and other SRO regulations
- Reviews and approves Office Sharing Disclosures of branch offices throughout the United States
- Provides oversight of branch-related activities to identify potential areas of risk
- Reviews client accounts for suitability issues and sales practice abuse
- Reviews incoming & outgoing branch office correspondence
- Prepares audit letters based on deficiencies identified during branch exams and provides instructions to correct deficiencies
- Accountable for the planning & preparation of pre-audit material, scheduling of exams, travel arrangements and managing associated expenses
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