Analyst, Compliance Resume Sample

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Work Experience


Senior Analyst, Compliance
04/2018 - PRESENT
Chicago, IL
  • Coordinate with other units of GRC and Legal to complete reviews or support related investigations
  • Maintain awareness of industry news, and changes in the business or regulatory landscape
  • Interpret and apply financial industry laws and regulations including the Investment Advisers Act as well as the Adviser’s compliance policies
  • Able to work as part of a team as well as independently and with people of diverse backgrounds
  • Reviewing exception reports to detect and address potential sales practice and related supervisory concerns, including active trading, switching, account concentrations, account losses, advisor credit monitoring, and other concerning patterns displayed in end-client account activity in a variety of products
  • Performing comprehensive risk reviews and sales practice investigations of a complex and highly sensitive nature
  • Keeping up to date with company and industry regulations; ability to interpret firm policies and procedures and incorporate into daily processes
  • Performing daily and periodic tactical analysis of trading activity and other activities of Financial Advisors
Analyst, Compliance
03/2012 - 01/2018
Chicago, IL
  • Work with Analysts and Manager on flag resolutions, work independently on completion of statistical tracking and evidencing of final results
  • Leading investigations of questionable sales activity and work with Manager on resolution
  • Proactively seeking to identify potential issues and leads staff initiatives to improve and streamline surveillance procedures
  • Serve as a go-to resource for peers, Compliance Service Center & Advisors
  • Prepare draft reports to senior Compliance management
  • Provide ad hoc training and guidance as necessary
  • Periodically present high risk advisors at Advisor Business Review Committee
  • Experience with all Microsoft applications, particularly, VISIO, Word, Access, PowerPoint, SharePoint, and Excel
Analyst, Compliance Consulting
08/2006 - 10/2011
Philadelphia, PA
  • Function independently as well as cooperatively, and build consensus on compliance issues among managers, employees and representatives
  • Thorough and detail- oriented with strong investigative skills
  • Research and address instances where firm’s policies regarding communications with the public are not being followed
  • Educate advisors, financial institutions, and home office employees regarding communications with the public
  • Assist with research and response to regulatory inquiries including branch exams regarding communications with the public
  • Participate in the maturation of compliance validation protocols and ensure adherence of such for Solution Architecture deliverables
  • Ensure proper publication and documentation management of Solutions Architecture deliverables including those that are modified through the engineering build and operations hand-off processes

Education


University of Mount Union
2001 - 2006
Bachelor's Degree in Accounting

Professional Skills


  • Excellent verbal and written communication skills in English and French, strong personal persuasion skills
  • Strong interpersonal skills and ability to effectively cooperate with highly-technical engineers and architects
  • Strong data analysis skills with experience determining the feasibility and effectiveness work products
  • Client-facing skills, time management skills and ability to work within deadlines
  • Excellent English language skills, both verbal and written Knowledge of another European language would be an advantage
  • Process oriented, strong analytical skills
  • Strong computer skills with working proficiency in Microsoft Word, PowerPoint, Excel, and Outlook

How to write Analyst, Compliance Resume

Analyst, Compliance role is responsible for english, excel, analytical, compliance, research, training, exceptions, outlook, organization, microsoft.
To write great resume for analyst, compliance job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Analyst, Compliance Resume

The section contact information is important in your analyst, compliance resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Analyst, Compliance Resume

The section work experience is an essential part of your analyst, compliance resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous analyst, compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular analyst, compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Analyst, Compliance resume experience can include:

  • Work closely with technology managers and solutions architects to ensure proper evidence of controls are included for design sign-off, deployment validation, and operations handover
  • Highly analytical, strong attention to detail, excellent research skills, capacity to effectively multi-task
  • Extremely strong German and English language writing skills required
  • Strongly motivated to learn and develop new skills
  • Strong collaborative skills, and ability to work closely with other privacy team members
  • Strong verbal and writing skills, technical and non-technical

Education on an Analyst, Compliance Resume

Make sure to make education a priority on your analyst, compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your analyst, compliance experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Analyst, Compliance Resume

When listing skills on your analyst, compliance resume, remember always to be honest about your level of ability. Include the Skills section after experience. Present the most important skills in your resume, there's a list of typical analyst, compliance skills:

  • Solid project management, oral and written communication skills, and ability to operate effectively in a matrix environment
  • Detail oriented with good organizational skills and capable of multi-tasking
  • Excellent organizational, analytical and problem solving skills and ability to deal with ambiguity
  • Good time and work management skills
  • Detail oriented with strong organization and administration skills
  • Able to demonstrate values consistent with J&J Credo evidenced this through experience

List of Typical Experience For an Analyst, Compliance Resume

1

Experience For Senior Analyst, Compliance Resume

  • Demonstrated working knowledge and solid understanding of accounting theory (IFRS/GAAP), practice, and internal control methodologies (COSO framework)
  • Prior experience information gathering and analysis
  • Exceptional investigative and customer service skills
  • A capacity for clear and logical reasoning, skill in taking decisions and articulating them clearly
  • Experience of accessing internal controls and communicating findings to a range of stakeholders
  • Experience in applying a pragmatic and common-sense approach to solving problems
  • Excellent relationship-building qualities for working in a team
  • Experience working in financial reporting (IFRS/GAAP), business processes and/or internal audit areas
2

Experience For Analyst Compliance Resume

  • The ability to develop and maintain strong, lasting professional relationships—especially with leaders assigned responsibility for addressing specific risks
  • Experience working with a highly technical automated controls system and working directly with IT partners when needed
  • Demonstrated ability in critical thinking, strategic planning, adaptability and ability to work under pressure
  • Experience working in a compliance capacity in banking or financial services field
  • Three years’ experience performing IT compliance audit functions
3

Experience For Analyst, Compliance Consulting Resume

  • An understanding of privacy principles with insights and experience across other disciplines
  • Technical background and understands/has experience with data analysis and problem solving
  • At least two (02) years’ experience in a financial institution or consultancy firm
  • Assisting in the on-boarding of appointed representative clients and their approved persons, to the Duff & Phelps Regulatory Hosted Solution platform
  • Performing daily and periodic tactical Surveillance and analysis of trading activity and other activities of Financial Advisors
  • Support Compliance monitoring efforts by conducting live monitoring activities, including Field Rides, Speaker Programs, Conventions and Advisory Boards
  • Identify compliance risks and implementing action plans for resolving regulatory compliance concerns (including testing)
  • Assist with the analysis of alerted payments for potential Money Laundering and Terrorist Financing risks following agreed guidelines and procedures
  • Assist in updating, reviewing and implementing any change of the FCC program for UK and other jurisdictions across EMEA
4

Experience For Information Security Analyst, Compliance Resume

  • Monitor Compliance areas including but not limited to Financial Controls, Safety, Customer Service, Security, OSHA, Aircraft cleaning and servicing
  • Assist in collecting, preparing and remediating transparency data for US transparency disclosure
  • Ensure proactive regulatory monitoring through training and meetings as well as through writing supervisory articles or notes on the new regulations applicable
  • Work only on LPL Marketing department submissions with an emphasis on the Virtual Chief Marketing Officer program
  • Helps others when answering questions and responding to requests
  • Support management in designing and implementing sustainable corrective action plans
  • Develop and maintain monthly expense reporting for business leaders to track ongoing team spend (travel, morale)
  • Develop and maintain monthly reports including: headcount, temps, payroll, operational rollout plans, hiring plans, professional services
  • Review of marketing material and literature, including GIPS compliant presentations
5

Experience For Data Forecasting Analyst, Compliance Resume

  • Verify that sales and marketing activities are carried out in accordance with licensing requirements of applicable US and non-US jurisdictions
  • Assist with ad hoc compliance projects (i.e., gift and entertainment reviews, compliance sales and marketing monitoring reports)
  • Create new and maintain existing standard operating procedures
  • Conduct statistical analysis of the lending portfolio, maintain framework and reporting
  • Supports analysis and design of existing and new business processes that span multiple areas of the organization, including Customer
  • Operations, Sales Operations, Marketing, Training, Finance, and Legal
  • Support the monitoring and auditing spend data available in the transparency solution tool
6

Experience For Analyst, Compliance Rebilling Resume

  • Collaborate with Government Relations on lobbying efforts pertaining to compliance issues
  • Work with independent auditors to provide testing documentation and tracking of requests
  • Assist in the rollout of ethics and integrity activities and projects, including the conduct of face-to-face training and relevant programme communications
  • General understanding of PCI, PII, HIPPA, and SOX
  • In consultative manner, work with advisors to complete all necessary requirements for compliant use of social media marketing
  • Consult with advisors on their social media marketing initiatives
  • Perform occasional Final Review of advisor marketing material
7

Experience For Analyst, Compliance & Ethics Resume

  • Consult with advisors on their marketing initiatives….but only VCMO advisors
  • Record keeping of all content use within VCMO for all advisors in program
  • Supports maintaining the audit schedule and request trackers
  • Build working relationships with multiple stakeholders
  • Accommodation is available, including for applicants with disabilities, in accordance with applicable laws
  • Maintain/update/align documentation package: Standard Operating Procedures, Control Matrix, risk assessment, etc
  • Ensure financial processes and reporting are aligned with local and statutory regulations
8

Experience For Operations Analyst, Compliance Resume

  • Assist with the gathering of information and provision of responses for regulatory examinations and internal reviews
  • Assist the FCC Governance Manager with performing risk assessments to support the EMEA FFC Program
  • Assists in development and training of Compliance Analysts
  • Monitor UGE compliance including station audit requirements
  • Attendance at on-going compliance review meetings
  • Delivery of training requirements to appointed representative
  • Commitment to handle all aspects of a task, including administrative and/or clerical elements
9

Experience For Senior Financial Analyst Compliance Resume

  • Regulatory enquiry and incident management advice, resolution and reporting
  • Provide guidance on Fair Lending issues
  • Solution-driven, practical and problem-solving attitude
  • Analyze actions initiated or proposed in response to audit recommendations while monitoring the completion of corrective actions to leadership
  • Perform process improvements and support integration of compliance controls into existing business practices
  • Collaborative and cooperative working style
  • Prepare training support for collaborators and clients
  • Review assigned laws/regulations and related policies/procedures in order to understand test scripts for execution of testing
10

Experience For Cyber Security Analyst / Compliance Resume

  • Conduct and adequately document testing to assess compliance with and adherence to regulations and policies/procedures
  • Summarize and communicate testing results in clear, concise language
  • Performs Plan Required Reporting
  • Interpret and analyzes Medicare, Medicaid and MMP Required Reporting Technical Specifications
  • Manages compliance incidents management and related processes, including associated corrective action plans
  • Support procurement process improvement initiatives, as well as the procurement training program
  • Send all applicable mails relating to the process within designated time
  • Be responsible for sending GES and SNLU management reports regularly
  • Support of the Investment Compliance Testing and Assurance Program

List of Typical Skills For an Analyst, Compliance Resume

1

Skills For Senior Analyst, Compliance Resume

  • Strong written communication skills required to document work completed and summarize findings
  • Presenting effectively to leadership, ideas for improvement in the field
  • Outstanding English reading and writing skills, advanced proficiency in reading comprehension in Portuguese, Arabic, and/or Hebrew language
  • Outstanding English reading and writing skills
  • Communicate effectively, especially in writing, with varying audiences
  • Works on ad hoc projects as requested by the Chief Compliance Officer and learning project management skills
  • Quickly and effectively summarize information from multiple sources into concise analytical assessments
  • Demonstrate excellent judgment, be commercially-focused and be driven by professional
2

Skills For Analyst Compliance Resume

  • Apply analytical skills to review information and determine potential control weaknesses or exceptions to policies/processes
  • Analytical skills required to execute test scripts and identify exceptions to policies/procedures
  • Demonstrate strong knowledge of privacy requirements and best practices, and understand how they apply to business practices and projects
  • Advertising/Marketing compliance review experience
  • Experience using automated portfolio compliance monitoring tools, including rule construction, monitoring processes an asset
  • Experience reviewing legislation, legal documents and contracts and monitoring and drafting processes or procedures
  • Experience receiving, investigating, and responding to customer inquiries and requests
  • Strong familiarity in analyzing, understanding, and applying due diligence results to business decisions
3

Skills For Analyst, Compliance Consulting Resume

  • Experience in statistical analysis and modeling highly desirable as is applied knowledge of fair lending software
  • Experience in Accounting or Auditing
  • Strong working knowledge of Microsoft Office (Excel, Word, PowerPoint) required
  • Consumer banking experience
  • Experience in performing complex research, reviews and investigations
  • Experience of working with or in an FCC team
  • Thorough understanding of, and experience with, compliance platform software
  • Assist with validation testing of issues identified to ensure actions have been adequately closed
  • Strong understanding of internal audit and quality assurance functions
4

Skills For Information Security Analyst, Compliance Resume

  • Successfully navigate quickly changing priorities, ambiguity, and the unexpected with a positive attitude, and calm demeanor
  • Knowledge of state and federal privacy laws, and experience working in financial services; and
  • Data mining experience required
  • Experience working in a corporate trade compliance environment, or government service in an agency or ministry
  • Review Finance reports to validate accuracy and explain variances
  • Strong analytical powers based on clear reasoning
  • Prioritize several projects and assignments on multiple topics while meeting tight deadlines
5

Skills For Data Forecasting Analyst, Compliance Resume

  • Previous work experience (including internships) is highly desirable
  • Strong, diligent work ethic and attention to detail
  • Related experience in the field of compliance
  • Support the management of the regulatory memo distribution process Ability to work independently and set priorities
  • Analyze processes and procedures, and recommend specific types of data that can be used to track against priorities
  • Five years of professional IT Infrastructure experience
  • Working knowledge of portfolio management techniques
  • Working knowledge of IT and how systems and applications integrate with business processes and operations
  • Supporting the regulatory compliance programs in EMEA by developing and maintaining online tools
6

Skills For Analyst, Compliance Rebilling Resume

  • Supporting the communication and training plan with the EMEA Regulatory Counsel
  • Existing or willing to obtain recognized accounting qualification such as CPA (Certified Public Accountant) or CIA (Corporate Internal Audit)
  • Reviewing, updating and implementing policies and procedures as required
  • Managing and delivering on compliance projects and monitoring programs
  • Advising clients of their on-going compliance requirements
  • Providing advice to the business on compliance implications arising from business changes (e.g. New Products) and regulatory change
  • Drafting compliance documentation for clients
7

Skills For Analyst, Compliance & Ethics Resume

  • Reviewing financial promotional material
  • Assisting with AML and KYC due diligence checks
  • Drafting FCA Connect communications
  • Working collaboratively with the Ethics and Integrity team, product groups and group functions, contributing to the implementation of the E&I programme
  • Acting as the subject matter expert, providing guidance and advice to the businesses in the region of responsibility
  • Reviewing exception reports to detect and address potential sales practice and related supervisory concerns
  • Assisting with a portfolio of clients regulated by the Monetary Authority of Singapore (MAS) and other global regulators
8

Skills For Operations Analyst, Compliance Resume

  • Maintaining strict ethical, legal adherence and confidentiality at all times
  • Coordinating research and working closely with team members in other Kroll offices
  • Assisting with our regulatory hosting business including client take-on and background checks
  • Attending Compliance monitoring visits with clients
  • Establishing clients’ compliance infrastructure
9

Skills For Senior Financial Analyst Compliance Resume

  • Undertaking regulatory research
  • Training in the US in SEC rules
  • Knowledge of lending activities including underwriting and/or servicing
  • Prepare and maintain meeting reporting and document packages for the Fair Lending Oversight Committee and Fair Lending Council
  • Assists in identifying partners who are required to take certain training. Manage training reporting for the team
  • Assist management with training and reviewing work papers of Analyst level team members. Provide helpful feedback and coaching as necessary
10

Skills For Cyber Security Analyst / Compliance Resume

  • Assemble reporting from fair lending software, business unit status reports, exam/testing issues, and various other sources
  • Pursue professional development opportunities, including external and internal training and professional association memberships
  • Responsibility for prime contract reporting requirements, including but not limited to small business, FFATA, and State/Local
  • Assists in the development and management of oversight reporting regarding group’s SOX, Internal Audit, and other controls activities
  • Knowledge of SEC, FINRA and other SRO rules; understanding and awareness of legal and regulatory landscape are all required
  • Expert in using Office package (in particular Excel and PPT), SharePoint, Visio, program management tools and other IT systems
  • Organized, trustful, passionate, curious, learning approach
  • Basic knowledge and understanding of regional/local legislative requirements, current compliance practices and industry standards

List of Typical Responsibilities For an Analyst, Compliance Resume

1

Responsibilities For Senior Analyst, Compliance Resume

  • Able to demonstrate values consistent with J&J Credo evidenced this through past experience
  • Demonstrated ability to effectively work with and/or direct cross functional teams and excel in a team environment
  • Strong interpersonal and communication skills with ability to interface with cross functional and across multiple jurisdictions
  • Good leadership skills; high integrity; customer focused; and quality driven
  • Attend formalized training sessions to develop skills necessary for using the IDX/EPIC system for
  • Ensure BASF Group Guideline changes are effectively implemented within the region’s financial control environment including the FSSC, as applicable
  • Advanced skills in Microsoft Office (Word, Excel, Project, Outlook, PowerPoint)
  • Experience in implementing and/or maintaining a compliance program
2

Responsibilities For Analyst Compliance Resume

  • Identify internal control weaknesses and develop effective remediation strategies
  • Compliance experience within the investment management industry
  • Experience with systems such as Bloomberg, BlackRock Aladdin
  • Institutional asset management experience
  • Industry experience in a comparable function
3

Responsibilities For Analyst, Compliance Consulting Resume

  • Demonstrated ability to influence senior management and achieve results through others
  • Relevant compliance experience gained within financial services (not a prerequisite but would be an advantage)
  • Experience in health care industry in related field desired
  • Related/equivalent experience
  • Flexibility; ability to shift priorities quickly and manage multiple concurrent assignments
4

Responsibilities For Information Security Analyst, Compliance Resume

  • Manage and/or conduct thorough inquiries by interviewing, collecting, documenting, and analyzing data diligently to their logical conclusions
  • Oversight of portfolio monitoring through Aladdin system, testing and reporting
  • Gain a proficient understanding over the TV&E’s systems that impact financial reporting
  • Create, merge and maintain comprehensive tracking files using excel for each compliance project
  • Develops and analyzes tracking and trending data
  • General understanding of relational database security concepts and platforms, including Oracle, Microsoft SQLServer and DB2
  • Solution-driven, practical and problem solving attitude
  • Meet deadlines as well as quality and productivity standards for IDX/EPIC including but not limited to
5

Responsibilities For Data Forecasting Analyst, Compliance Resume

  • Assists Associate Director in the identification and resolution of issues within Rebilling Unit
  • Keeps abreast of Governmental Regulations as they apply to physician billing
  • Knowledge of specific charge entry and reversal functions in IDX/EPIC to process billing error corrections
  • Prepare the appropriate letter to patients advising them of a refund due them
  • Understand and articulate the platforms’ capabilities, strengths, weaknesses, and reporting capabilities
  • Develop and support consistent processes for requesting information or expense approval (New headcount, Temp spend, Travel requests, Fixture Purchases)
  • Possessed or pursuing relevant professional qualifications e.g., CA, ACCA, CPA
  • Assist various stakeholders with reporting needs and ad hoc analysis
  • Train colleagues on reporting tools and create report templates for consistent use
6

Responsibilities For Analyst, Compliance Rebilling Resume

  • Answer questions about performance and explain reporting to management
  • Assist with the identification, mapping, design and implementation of controls
  • Perform compliance testing of various information technology controls for SOX, PCI, GDPR, HIPAA, SOC1, and SOC2
  • Assist in the remediation and tracking of control gaps
  • Assist in establishing COBIT and best practices
  • Overcome obstacles in a challenging environment and drive change
7

Responsibilities For Analyst, Compliance & Ethics Resume

  • Evaluate inventory reporting
  • Undertake regular monitoring and reviews in integrity and compliance areas and support the investigations process as required
  • Basic knowledge around requirements of a compliance programme and the elements making this up
  • Support the Anti-Money Laundering program across the global SLIM group of companies
  • Provide feedback and escalate issues identified from analysis into clients’ Know Your Customer documentation and risk categorisation
  • TSS EMEA Service Parts Operations (SPO): the spare parts world of IBM, in which service is provided for both IBM and non-IBM products during the complete life cycle of a product
  • Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements
  • Support the Accounting and Reporting Lead and works with another Audit/Compliance Sr. Analyst with respect to the implementation and annual review and testing of the region’s financial control programs (including documentation, evaluation, and reporting) to ensure timely and accurate filing and compliance with the BASF Group Global program
  • Coordinate distribution of Financial Information Surveys to Finance & Controlling community (Business and Functional); prepares/distributes summary of responses to impacted parties for the underlying purpose of ensuring sufficient accounting/disclosure consideration within Region’s financial reporting
8

Responsibilities For Operations Analyst, Compliance Resume

  • Supports the SBU leadership team through Due Diligence of all third parties including, but not limited to, Sales reps, Distributors, JV Partners, and M&A’s
  • Aptitude to be trained in a growing area of expertise in high demand
  • Undertake the preparation of ‘fit and proper’ reviews for trigger events on Promoter and Fund entities
  • Use PowerPoint, Excel, Word
  • Work with cross-border clients, colleagues
  • Execute fieldwork by obtaining and analyzing information in order to make informed and objective decisions as to the adequacy of the third party’s control environment and adherence to applicable laws and regulations
9

Responsibilities For Senior Financial Analyst Compliance Resume

  • Ensure the monitoring and review of professional ethics rules, i.e.
  • Serves as the functional Leader with subject matter experts to develop and maintain written documentation of plans, programs, procedures, and other evidence necessary to comply with the requirements and measures of the NERC Reliability Standards
  • A high proficiency with generator protection, protective relaying and their associated NERC standards (MOD) Modeling, Data, and Analysis, (PRC) Protection and Control and (FAC) Facilities Design, Connections, and Maintenance
  • Self driven personality with capability to quickly pick up new skills and adopt to dynamic environment
  • Sound interpersonal and organizational skills
  • Validates adherence to policy, process and procedure as part of AES' commitment to compliance
  • Experience with NERC Reliability Standards
  • Demonstrate proficiency with a variety of automations, including but not limited to IDXBAR, Microsoft Word, Excel, and Outlook
  • Ensure full alignment with management & create strong business partnerships between all stakeholders
10

Responsibilities For Cyber Security Analyst / Compliance Resume

  • Experience with Sarbanes-Oxley compliance efforts
  • Provides strategic support to groups regarding financial and operational impact of NERC reliability standards
  • Provide guidance on interpreting the compliance regulations from a technical perspective at the site level
  • Identifies process improvement opportunities based on incident investigations, root cause analysis, and industry best practice
  • Motivated by desire to foster and support the AES corporate culture of compliance
  • Carries out Compliance-related activities through direct interaction with committees and management

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