Analyst / Senior Analyst Compliance Resume Sample

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Kavon Ziemann
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Work Experience

Senior Nerc CIP Compliance Analyst
06/2017 - PRESENT
New York, NY
  • Contact advisors for follow up on responses as necessary
  • Review the Hybrid Advisors RIA registration and disclosure documents
  • Provide ongoing compliance support to Hybrid RIAs
  • Identify issues and/or specific advisors that require escalation within the department
  • Perform risk and due diligence analysis on Hybrid RIAs
  • Demonstrates process improvement and project execution skills
  • Provides input and feedback to analysts on classification issues
Senior Analyst Technology Compliance
06/2011 - 05/2017
Phoenix, AZ
  • Provide support and guidance to Rockwell Automation business units and subsidiaries on import/export classification related issues
  • Collaboratively develops CIP Security Controls with the Business Units and CISS
  • Drive training and knowledge transfer in the areas of CIP Security Controls, along with the CISS departments as well as the entities
  • Collaboratively works with the CISS departments to draft, review and obtain approval for processes, workflows and evidence required to meet the CIP Security Controls owned and implemented by CISS
  • Collaboratively works with the entities to develop and review processes, workflows and evidence required to meet the CIP Security Controls developed and implemented by the entities
  • Series 51 or 53 (or obtain within 12 months)
  • Series 6 and Series 7 registrations are required – the Security Industry Essentials Exam is a registration pre-requisite as of October 1, 2018
  • Writing and delivering regulatory training and policies and monitoring training compliance
Senior Analyst, Royalty Compliance
07/2004 - 12/2010
Chicago, IL
  • Reviews maintenance documents for compliance, accuracy and completeness
  • Updates the Maintenance Program Compliance database and ensures metrics related to the performance goals are correctly input
  • Represents Maintenance Program Compliance by preparing oral and written presentations upon request to Leadership to support various functions (e.g. CASS.)
  • Represents Southwest Airlines to both internal and external organizations
  • Ensures the controls established for maintenance program requirements are adequately and effectively maintained
  • Interprets highly technical information
  • Thinks logically and objectively about issues and conveys concerns promptly
  • Trains new personnel on all applicable policy and procedures and provides recurrent training to all Team members
  • Adapts to and uses technology to improve the effectiveness of assignments, increase efficiencies, and quickly complete work objectives


Strayer University - Thousand Oaks Campus
2000 - 2004
Bachelor's Degree in Information Systems

Professional Skills

  • Creating new methods and queries to proactively identify discrepancies in data across several reporting platforms or in the flow of transaction data from upstream to downstream systems
  • Demonstrates strong organizational, time-management, and multi-tasking skills
  • Excellent written, verbal and influencing skills with experience in policy and standard implementation
  • Rewarding work with the flexibility to enjoy personal and family experiences at every career stage
  • Experience developing dashboards or reporting using visualization tools such as Tableau
  • Experience building or querying relational databases or big data environments, with knowledge of multiple languages
  • Prepares and maintains compliance reporting regarding the status and priority of projects presented to the Compliance Committee

How to write Analyst / Senior Analyst Compliance Resume

Analyst / Senior Analyst Compliance role is responsible for research, travel, retail, finance, securities, training, database, security, trading, java.
To write great resume for analyst / senior analyst compliance job, your resume must include:

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

Contact Information For Analyst / Senior Analyst Compliance Resume

The section contact information is important in your analyst / senior 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 / Senior Analyst Compliance Resume

The section work experience is an essential part of your analyst / senior 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 / senior 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 / senior 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 / Senior Analyst Compliance resume experience can include:

  • Excellent research skills; experience with reading policies and rules, assessing implications, and implementing changes
  • A proven ability to develop and execute a strategy for analyzing large quantities of data and identifying possible issues
  • Solid understanding of commodity trading transaction lifecycle
  • Solid understanding of energy derivatives and the markets in which they are transacted, including: ICE, NYMEX, etc
  • Experience in drafting & reviewing transaction documentation
  • Providing ongoing Transparency Reporting training to R&D clients using various delivery approaches (e.g., WebEx, face to face, group training)

Education on an Analyst / Senior Analyst Compliance Resume

Make sure to make education a priority on your analyst / senior 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 / senior 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 / Senior Analyst Compliance Resume

When listing skills on your analyst / senior 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 / senior analyst compliance skills:

  • Knowledge and experience evaluating the design and effectiveness of processes and controls
  • Prior experience in a technology/cloud company environment
  • Identifying and analyzing trends and assisting in consolidating and reporting the results
  • Support the planning and implementation of key compliance initiatives to ensure timely and effective execution of initiatives
  • Hands-on experience performing IT control assurance reviews
  • Experience with all Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint, and Excel

List of Typical Experience For an Analyst / Senior Analyst Compliance Resume


Experience For Senior Nerc CIP Compliance Analyst Resume

  • Team work, strong interpersonal and leadership skills with high emotional IQ
  • Strong ability to condense complex concepts into a concise executive-level summary and effectively communicate to executives and external parties
  • Solid proficiency with Microsoft Office suite, with intermediate to advanced Excel skills
  • Self-start and manage multiple projects, priorities, and deadlines in a fast-paced trading environment
  • Providing guidance to Takeda employees, contractors and external vendors on interpretation of the U.S. Sunshine Act
  • Develop new processes for reviewing trade and communications data as relates to CFTC and FERC market manipulation cases
  • Help with applicable CFTC risk assessments, rule impact analysis, testing controls, etc
  • Maintains the Companys compliance intranet site as an education and informational sharing tool

Experience For Analyst, Senior Financial Compliance / Tax Resume

  • Assists managers in the development and delivery of compliance training
  • Conducts benchmarking research on best practices
  • ​Provide guidance to contractors and other junior members of the team as needed demonstrating leadership capabilities
  • Serve as compliance liaison for ongoing enterprise wide SAP project
  • Assist with the preparation of reporting and presentations to Fidelity’s executive committees as required

Experience For Senior Analyst Technology Compliance Resume

  • Evaluates and understands documents to determine and ensure compliance with maintenance program requirements
  • Builds trust and respect among fellow Team Members
  • Identifies and communicates meaningful, value-added solutions to the Technical Operations organization
  • Work with complex, cross-functional teams in a highly matrixed environment
  • Evaluate and clearly document the IT risks and impacts to all levels of the organization
  • Experience performing IT control reviews in security domains including IT asset security, security engineering, network security, identity and access management, security assessment and testing, security operations, and secure development
  • Knowledge of a broad range of security technologies including NextGen Firewalls, DLP, NAC, IDS/IPS, Certificate Management, Identity & Access Management, Privileged Identity Management, Multi-Factor Authentication, Mobile Device Management, Endpoint protection, SIEM, Anti-malware, Vulnerability Management, etc

Experience For Senior Analyst, Royalty Compliance Resume

  • Experience with regulations, policy, standards, procedures or other requirements which requires IT compliance (e.g. ITIL, SOX, SSAE-16, HIPAA, NIST 800-53, NIST CSF, PCI-DSS, Data Privacy)
  • Assist Manager with development of Compliance Metrics and support the documentation, reporting and achievement of monthly compliance metrics (e.g. KPI’s)
  • Integrate Crown Unclaimed Property Compliance with Wine & Spirit’s
  • Review monthly KPI’s for accuracy/key messages
  • Support the implementation of the strategic vision (maturity, efficiency, streamlined processes) for IT SOX by encouraging operational processes that are aligned to the company's focus on trust
  • Communicate potential control gaps to the TC Manager and coordinate cross-functional team meetings to remediate and close the gaps

Experience For Sales Compliance Analyst Senior Resume

  • Assess potential business changes for impact to IT and compliance objectives
  • Support continuous improvement and scale in the team's processes
  • Work efficiently with minimal oversight/direction as well as part of multiple project teams
  • Possess a "whatever it takes to get the job done" mentality (i.e., pick up the phone, stop by a desk, follow-up multiple times)
  • Preparation and review of quarterly and annual income tax provisions
  • Assist with the preparation of tax footnote disclosures

Experience For Senior Claims Compliance Analyst Resume

  • Assist with monthly, quarterly and annual reconciliation of global legal entity income tax accounts
  • Coordinate & perform tax basis balance sheet and cumulative temporary difference analysis
  • Monitoring trading activity, business unit processes and procedures, and required reporting obligations to ensure compliance with CFTC regulations by analyzing data, building/modifying reports, and/or running queries
  • Assist with the resolution of issues that occur during the administration of compliance processes
  • Prepare annual compliance reports required by internal management or any of the business units’ regulatory agencies
  • Work closely with IT to provide guidance on required enhancements to system functionality, assist in testing compliance functionality, prioritization of tasks, and ensure projects are delivered on time to adhere to compliance deadlines
  • Ensures content of compliance policies and procedures are up-to-date
  • Maintains all electronic files, reports, filed documents, etc. related to compliance activities

Experience For Senior Security Analyst, PCI Compliance Team Resume

  • Monitors compliance activities at regulatory agencies and informs managers, directors, and business units
  • Communicates new or revised compliance documentation
  • Provides oversight, analysis and guidance to employees and/or business units
  • Prepares Executive Management Reports
  • Performs spot checks of business unit controls, analyzes and presents results

Experience For Senior HP Compliance Analyst Resume

  • Works with the appropriate departments to gain agreement, makes changes, and revises the Code of Business Conduct and Ethics or Senior Officer Code as necessary
  • Continually improve the internal control structure, identifying gaps and recommending and designing risk-mitigating solutions
  • Contribute to the effectiveness of the trading compliance program by regularly coordinating training sessions and educating stakeholders on compliance impacts to their business activities
  • Responsible for proactively understanding, applying, and monitoring applicable global external regulations including but not limited to those imposed by the US FERC, US CFTC, ESMA, futures exchanges such as ICE and CME, various Customs agencies, and the US EPA on commodity trading operations
  • Support the design and implementation of trade surveillance capabilities to detect and investigate possible rule violations and trading anomalies to avoid sanctions and other negative consequences for Repsol as a result of regulatory non-compliant trading operations
  • Regularly produce and review trade surveillance reports and analytics, investigating flagged issues and adjusting / enhancing monitoring techniques based on changes to the business’s trading activity and/or the latest feedback and rules from the respective regulators
  • Develop a deep understanding of and become a subject matter expert in the front-to-back office trading processes, and coordinate with other groups (e.g. Front-Office, Back-Office, Risk, Processes, IT, and Legal) to ensure that all processes are designed to operate in line with external and internal regulations

Experience For Senior Analyst MX Program Compliance Resume

  • Provide strategic direction during business development and deal structuring process with regard to compliance implications of proposed new trading or other business activities
  • Assist with system implementation projects, testing and facilitating operational compliance process and technology enhancements, and process documentation
  • Develop operational compliance tools, including but not limited to: policies and procedures, internal checklists, roles & responsibilities charts, etc
  • Develop and prepare ad-hoc reports, analyses, and reconciliations to evaluate how compliance related processes/controls are functioning as needed
  • Work with trading and risk applications, leverage and occasionally design technical reports, and manipulate and analyze large data sets
  • Maintain and perform rigorous counterparty and broker selection processes
  • Assist with corporate audit projects as needed to facilitate field or preparation work

Experience For Senior Core Compliance Analyst Resume

  • Self-motivated, able to work productively with little supervision to manage workflow
  • Willingness and ability to continually learn and share knowledge with others
  • Attitude of continuous improvement
  • Provides accurate solutions to all customer’s needs (internal customers – Partners, IPs) that is within the pre-defined policies and scope as required for Lease, Cash or MCR
  • Responsible for end-to-end process of managing exceptions as per approved policy
  • Creates, executes, and updates reports, as needed, and serves as point person/go-to person for issues or in any area or project he is responsible for within the Invoice Compliance scope
  • Obtain and validate information from all business units for regulatory reporting purposes
  • Gather documentation and preparing responses to Regulatory/Exchange requests

List of Typical Skills For an Analyst / Senior Analyst Compliance Resume


Skills For Senior Nerc CIP Compliance Analyst Resume

  • Public accounting or financial services experience
  • Experience interacting with database-driven applications in support of business processes (e.g., Microsoft Access)
  • Experience with Energy Transaction & Risk Management Systems
  • Work on multiple assignments at a time and prioritize accordingly
  • Project team or business analysis experience
  • System implementation experiences

Skills For Analyst, Senior Financial Compliance / Tax Resume

  • Producing daily and/or monthly analysis for management review. Escalating key or sensitive issues appropriately to management
  • Understanding of complex/structured energy physical and financial trading
  • Tracking status of meeting compliance enforcement dates
  • Developing and issuing communications on Program activities
  • Developing and maintaining a comprehensive Compliance Project/Program Master Plan and schedule
  • Having a network of industry peers
  • Partnering with Program Owners to set milestones for key compliance activities
  • Tracking key deliverables and milestones

Skills For Senior Analyst Technology Compliance Resume

  • Developing standardized processes, procedures, tools and forms
  • Training compliance teams on use of Program office tools
  • Developing reports for senior management
  • Handling document management activities for the Program Management office
  • Preparing compliance workshop agendas, minutes and materials
  • Completing annual reviews of the MCP Program documents
  • Assist with the training of finance teams globally in applying ASC 740 rules to local accounting books and records

Skills For Senior Analyst, Royalty Compliance Resume

  • Assist in gathering and analyzing compliance metrics and reporting to senior management
  • Supporting the Compliance team in responding to inquiries, audits and/or exams from regulators in a timely manner. Providing requested data and expertise in determining the accuracy and completeness of the reporting submitted
  • Keyboarding: use of fingers to make small movements such as typing
  • Conduct Agent and Registered Representative Training, including Annual Firm Element
  • Assist in agent training with regard to compliance/standards rules and regulations, including field observation

Skills For Sales Compliance Analyst Senior Resume

  • Assist with the review of foreign entity provision reporting packages including provision to return analysis
  • Analyzes global tax attributes, including recommendations and supporting documentation for valuation allowances on deferred tax assets in a tax jurisdiction
  • Act as an adviser to technology partners on the regulatory and industry framework requirements, and best practices around meeting those requirements
  • Identify and understand various risks from trading operations and then design and implement relevant processes/controls to mitigate them
  • Assist Managing Partner in Agent Supervision
  • Review incoming correspondence and handle red flags as appropriate
  • Review all incoming 3010 logs for assigned agents. Follow-up when necessary

Skills For Senior Claims Compliance Analyst Resume

  • Review all out going correspondence and provide to the appropriate department for approval
  • Acts as the department subject matter expert concerning the use of and maintenance of the department database
  • Review outgoing correspondence
  • Upervising a team
  • Identify and capitalizes on opportunities to streamline tax accounting and compliance processes
  • Assist with ensuring implementation and execution of Sarbanes‑Oxley compliance

Skills For Senior Security Analyst, PCI Compliance Team Resume

  • Support management in coordinating external financial statement and tax return audits related to income tax
  • Support Director, Tax Provision and Compliance in OTP implementation and provision of Global training and maintenance
  • Participate in industry and trade groups to share information and benchmark compliance program against best practices and differing interpretations
  • Series 7 required within six months of hire
  • Support business partners and HP functions to proactively communicate new initiatives or changes to business processes to ensure appropriate and accurate execution
  • Document, review, recommend and manage changes, development and improvement of HR policies and procedures included in the TM Handbook and SIMON
  • Work with the business leader to ensure compliance initiatives have any needed ongoing maintenance plans in place as it relates to people, systems, or processes to ensure sustainability for the ongoing success of the initiative or process change

Skills For Senior HP Compliance Analyst Resume

  • Initiate and maintain positive relationships with key individuals/departments by encouraging teamwork, communication and coordination with business partners and HP departments
  • Conducting compliance monitoring of R&D activities using the Global Monitoring Toolkit against established policies, procedures, and best practices
  • Assisting in resolving inquiries and disputes related to Transparency Reporting
  • Helping design corrective action plans to remediate monitoring findings and ensure policy and procedure enhancements are properly developed and implemented
  • Execute timely club mail merge for team member distribution of Wage Theft notices or similar Compliance related documentation and communication
  • Supervise 1-2 file clerks to ensure all club and corporate team member document files are organized, accessible, and maintained based on an approved record retention policy
  • Ensure timely retrieval of team member data for HP and Legal file requests as well as Subpoenas and Unemployment claims. Vendor contact for Unemployment Claims
  • Integrate and align information security and/or cybersecurity policies to ensure system analysis meets security requirements
  • Ensure that all systems components can be integrated and aligned (e.g., procedures, databases, policies, software, and hardware)

Skills For Senior Analyst MX Program Compliance Resume

  • Perform needs analysis to determine opportunities for new and improved business process solutions
  • Establish and maintain communication channels with stakeholders
  • Interpret and apply applicable laws, statutes, and regulatory documents and integrate into policy
  • Assess policy needs and collaborate with stakeholders to develop policies to govern cyber activities
  • Drive the implementation of a Unified Controls Framework, to satisfy external and internal control requirements
  • Develop relationships with various technology partners and identify the appropriate parties to provide responses to the various third-party request types and categories
  • Develop a third-party trust program to respond to various third-party requests related to technology processes, controls and infrastructure, e.g. third-party questionnaires, regulatory forms and inquiries, investor data requests; based on the requests and responses, identify opportunities to improve existing controls and processes
  • Design and build a centralized repository of responses provided to third parties, to allow for consistency in the response process, driving efficiency in data gathering for new requests and reducing the response time

Skills For Senior Core Compliance Analyst Resume

  • Conduct monthly and quarterly monitoring and reporting on Fidelity’s compliance program for sales practices and business promotion activities
  • Troubleshoot royalty audit issues as they arise and assist management in supporting Suncor’s royalty position
  • Act as a subject matter expert and provide ongoing advice to business units on NI 81-105 and Fidelity’s sales practices policies and procedures
  • Develop, maintain and assist in the delivery of training on NI 81-105 and Fidelity’s sales practices policies and procedures
  • Oversee Fidelity’s outside business activities policy, including the review and approval of outside business activities for Fidelity employees and senior management

List of Typical Responsibilities For an Analyst / Senior Analyst Compliance Resume


Responsibilities For Senior Nerc CIP Compliance Analyst Resume

  • Resolving data errors associated with Transparency Reporting entries in a timely manner
  • Administer training and assist in the ongoing maintenance of compliance policies and procedures
  • Serve as a coach and primary point of contact for the business in the area of trading compliance
  • Review marketing materials templates and draft appropriate disclaimers for other communications
  • Updates exemption log list and work around processes

Responsibilities For Analyst, Senior Financial Compliance / Tax Resume

  • Partner with corporate functions such as Legal, Finance and Tax to ensure compliance with regulatory requirements
  • Monitor daily position limits and work with business units to maintain compliance
  • Partner with business units to address issues and assist in the roll out of new business products
  • Support wholly-owned Futures Commission Merchant (FCM) as compliance needs arise
  • Assist Director of Global Trade Programs in ensuring all relevant personnel receive adequate training on regulations and rules, as well as policies that support compliance to the rules
  • Lead the Global Trade Programs communications efforts with all relevant trade staff around the globe, publishing relevant and timely content in the electronic newsletter
  • Research regulations by reviewing regulatory bulletins and other sources of information and communicate all applicable regulatory changes to appropriate business units
  • Serve as primary point of contact with business units and as a resource to ensure there is proper understanding of what is required to comply with regulations. Escalate questions to Director of Global Trade Programs when needed
  • Knowledge of Lowe’s systems and processes

Responsibilities For Senior Analyst Technology Compliance Resume

  • Telephone usage to communicate with internal and external customers
  • Viewing computer monitor: average, ordinary visual acuity necessary to prepare document, enter data into computer system, read reports and from computer monitor
  • Work is performed in a normal business office environment
  • Intermediate knowledge of PCI-DSS and SSAE 16 requirements
  • In public accounting (Big 4 or mid-tier) firm or risk or system consulting firm, 5+ years in middle office or internal auditing for commodity trading, or a combination thereof
  • Understand or extrapolate trader incentive(s) in any given market
  • Understand and communicate complex legal, regulatory, and policy documents

Responsibilities For Senior Analyst, Royalty Compliance Resume

  • Back up others on the team in a variety of roles
  • MS, MBA, or an equivalent
  • CPA, CFA, ERP, FRM, and other relevant professional certification
  • Advanced Excel, VBA, SQL, etc
  • Practical knowledge and experience with implementation of one or more of the following: AICPA SOC2 Criteria, NIST Cybersecurity Framework (CSF), ISO27001, ISO27002, COBIT, NY DFS Cybersecurity Rule (23 NYCRR Part 500), privacy standards and regulations, and other related industry frameworks

Responsibilities For Sales Compliance Analyst Senior Resume

  • Dedication and desire to organize, standardize and lead issues, documents and request to closure
  • Complete Unannounced Annual Reviews
  • Maintain Sales Material Review Procedures
  • Train agents on proper file procedures
  • Follow-up and track compliance and supervision operations
  • Work with Management Team to identify and resolve potential red flag items generated locally or through Home Office
  • Work with CCD, General Office and Zone to ensure that all complaints are processed in a timely manner

Responsibilities For Senior Claims Compliance Analyst Resume

  • Conduct all follow-up required after annual Supervisory Interview of assigned agents
  • Conduct and document client contact as necessary
  • Ensure all seminar materials are submitted/approved and advance notifications are given to the General Office as required
  • Ensure agent staff is properly trained
  • Ensuring all relevant interactions between the Global R&D Organization and Healthcare Professionals and Healthcare Entities are timely and accurately captured in Takeda’s Transparency Reporting systems
  • In coordination with the Global Risk Services and Financial Risk Management leads complete necessary CPRS PAF’s

Responsibilities For Senior Security Analyst, PCI Compliance Team Resume

  • Coordinate additional compliance activities upon changes from original structure / activity / flow as defined in PAF, changes in fee methodology, etc
  • Handle/maintain registered products
  • Prepare for General Office Reviews
  • Review all cases written by assigned agents

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