Compliance Analyst / Senior Analyst Resume Sample

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Jerrod Schoen
78775 Francisco Center,  Houston, TX
+1 (555) 868 4569

Work Experience

Compliance Analyst Senior
02/2017 - PRESENT
Los Angeles, CA
  • Work with the Compliance Director, Legal and the HRBP on Compliance escalations/issues
  • Liaise with internal and external auditing teams to gather, comprehend, and provide required evidence in preparation for successful audits
  • Be the primary point of contact for background check escalations/adjudications
  • Collaborate across HR departments to assist Manager, HR Operations, Compliance with updating of Business Continuity Plans
  • Subject matter expert and lead of I9 process, including remote associate, audits and e-Verify compliance
  • Draft and assist with new/revised policies, processes and procedures as appropriate
  • Assist Manager, HR Operations, Compliance with creation and maintenance of training materials and other program materials
  • Create and execute training as needed for associates, managers and HR
Senior Analyst, Technology Compliance
01/2014 - 09/2016
Boston, MA
  • Handle/assist with Reduction in Force process, WARN Analysis, inclusive of Release of Claims processing
  • Assist with annual Anniversary Background Check rollout/follow-up
  • Assist with annual Conduct of Conduct rollout/follow-up
  • New hire agreement maintenance ownership and audit
  • Audit, compliance, or quality control experience working in a banking compliance, audit, or quality control related capacity
  • Consistently builds relationships and exhibits behavior that demonstrates DaVita Medical Group’s (DMG) commitment to superior customer service, including quality, care and concern with each and every internal and external customer
  • Prior experience in an audit, compliance and regulatory environment related to security and privacy including standards across industries and geographies such as PCI, ISO, SOC, HIPAA, HITRUST, FedRAMP is desired
Senior Contract Compliance Analyst
11/2006 - 08/2013
New York, NY
  • Hands-on experience with IT networking and/or system administration
  • Understanding of the unique requirements of Industrial Control System (ICS) and System Control And Data Acquisition (SCADA) cyber security
  • Skill in using computers and related software applications and, specifically, relational databases; SharePoint; workflow management applications; and Governance, Risk & Compliance (GRC) applications
  • Experience working with operations personnel to comply with North American Electric Reliability Corp. (NERC) Critical Infrastructure Protection (CIP) Reliability Standards
  • Experience in internal or external auditing of compliance with laws, rules or regulations
  • Knowledge of Reliability Requirements
  • Knowledge of electric markets as well as evolving industry and regulatory developments


William Penn University
2002 - 2006
Bachelor's Degree in Business Administration

Professional Skills

  • Excellent verbal and written business communication skills; demonstrates effective listening and questioning skills
  • Analytical Thinking - Strong analytical and organizational skills with high attention to detail
  • Excellent organizational and time management skills; ability to organize and manage multiple projects at once
  • Possesses excellent research and issue resolution skills
  • Client relationship-building and influencing skills
  • Project management experience and handling multiple high priority projects with competing deadlines
  • Prioritize work and work independently; know when to seek guidance

How to write Compliance Analyst / Senior Analyst Resume

Compliance Analyst / Senior Analyst role is responsible for excel, software, business, organization, analytical, visio, reporting, finance, securities, training.
To write great resume for compliance analyst / senior analyst job, your resume must include:

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

Contact Information For Compliance Analyst / Senior Analyst Resume

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

The section work experience is an essential part of your compliance analyst / senior analyst 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 compliance analyst / senior analyst responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance analyst / senior analyst position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Compliance Analyst / Senior Analyst resume experience can include:

  • Good typing skills (40 45 wpm)
  • Effectively manage time and prioritize competing tasks
  • Skill in handling multiple tasks and prioritization
  • PC Skills, including MS Office Suite (Word, Excel, PowerPoint, Visio and Outlook)
  • Demonstrates strong working knowledge of trust and/or fiduciary regulations and principals
  • Interact effectively with company personnel, wholesalers, broker/dealers, agents, advertising agencies and public relations firms

Education on a Compliance Analyst / Senior Analyst Resume

Make sure to make education a priority on your compliance analyst / senior analyst resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance analyst / senior analyst 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 Compliance Analyst / Senior Analyst Resume

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

  • Demonstrates strong computer skills including a good working knowledge of MS Office, Excel and Visio
  • Strong analytical and problem solving skills, the ability to quickly review information and ascertain key facts
  • Good analytical skills, ability to troubleshoot simple and complex issues/queries quickly and provide timely response
  • Advanced Microsoft Excel skills and proficient in Microsoft Office applications
  • Effectively present highly complex information and respond to questions from groups of managers, clients, customers, and the general public
  • Possesses some knowledge of the software development life cycle and some project management skills

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


Experience For Compliance Analyst Senior Resume

  • Have strong knowledge of Microsoft Excel
  • Range of 2-6 years of experience in related field required
  • Sarbanes-Oxley experience within the IT environment required
  • Partner with internal departments to ensure effective control measures are in place and recommend streamlined improvements and efficiencies when necessary
  • Prepares computations that are incorporated into AOL’s taxable income, effective tax rate, tax payments/receipts, and utilization of deferred taxes
  • Typically requires up to of 5 to 7 years’ experience in the regulatory compliance field
  • Monitor the effectiveness of the company’s compliance program, develop corrective action plans as needed and report progress to the Compliance Officer
  • Prepare regular reports by collecting, analyzing, and summarizing information

Experience For Senior Analyst, Technology Compliance Resume

  • Contribute to team effort by accomplishing related results as needed and participating in work groups as needed
  • Knowledge of Federal, State, Local laws and ordinances governing energy markets
  • Assist with the training of new Compliance Analysts
  • Assist in the development of compliance presentations, policies and procedures, worksheets and databases using relevant tools as required
  • In a timely manner, reviews and approves material submitted to Advertising Compliance of a complex, highly technical nature
  • Perform Medicare Part C/D and Medicare-Medicaid Plan Required Reporting
  • Knowledge of the impacts of deregulation and reliability trends in energy markets

Experience For Compliance Analyst, Senior Resume

  • Comprehend key analytical concepts in areas of electric utility operations, power plant operations and energy markets and apply Reliability Requirements to relevant operations
  • Ensure that the Manager and other applicable team members are informed and updated on any changes in applicable law or regulation
  • Keep abreast of Orlando Health policies and procedures, current developments in healthcare compliance, and changes in local, state and federal laws as applicable
  • Pursue professional development opportunities and share information gained with co-workers
  • Coordinate compliance investigation activities and documentation

Experience For Senior Contract Compliance Analyst Resume

  • Identify and assess potential opportunities, develop business cases, and present recommendations to various levels of leadership to build support of the initiative
  • Maintain reasonably regular, punctual attendance consistent with Orlando Health policies, the ADA, FMLA and other federal, state and local standards
  • Maintain compliance with all Orlando Health policies and procedures
  • Prepare federal and state income tax returns
  • Prepare/assist preparation of global items (e.g. Section 199 etc)
  • Develops and manages controls, systems, procedures, files, and records as required by FINRA, state insurance departments and divisional policy and procedures

Experience For Senior Medicare Compliance Analyst Resume

  • Directs the computer information systems department to make changes for advertising compliance when needed in support of AEGON’s corporate information system (Advertising.Net) and the Law Department’s automated tracking and record keeping system for the review and tracking of advertising
  • Participates in departmental and one on one meetings
  • Maintains an employee performance plan
  • Ensures that tax processes are compliant with the organization’s SOX controls
  • Conducts work in accordance with AOL’s Standards of Business Conduct
  • Review and evaluate the compliance programs of First Tier, Downstream and Related Entities (FDRs) for required compliance program elements, as well as policies and procedures specific to the FDRs’ compliance programs

Experience For Senior Portfolio Compliance Analyst Resume

  • Lead all levels of associates within the Compliance Department in accomplishing initiatives in support of the company’s compliance program
  • Participate in and support other components of the company’s compliance program, such as Privacy, Data Security, Code of Business Conduct and Ethics, Fraud Waste & Abuse, etc
  • Responsible for working with AspenTech’s third party vendor who monitors and supply’s customer compliance data
  • Works with the License Compliance Manager to perform a broad range of activities to support AspenTech’s License Compliance Program
  • Identify compliance issues, based on the terms of the applicable agreement, and partner with the Sales Team to identify resolutions for any identified compliance violations
  • Support the management of the HPMS memo distribution processAbility to work independently and set priorities
  • Reviews and monitors policies and procedures to ensure compliance with regulations
  • Self-motivated individual with the ability to work independently and to serve the diverse needs of the Global Sales Operations Team

Experience For Senior Analyst, Financial Compliance Resume

  • Work in a fast-paced team environment and independently, as required
  • Assess operations, analyze, report and integrate member and provider metrics for the purpose of creating action plans or project initiatives that address member and/or provider dissatisfiers
  • Experience implementing integrated information systems and modifying software platforms to support health plan operations related to enrollment, customer service and claims processing
  • Read, interpret and translate regulatory, contractual and business requirements into technical specifications for software implementation
  • Collaborate and lead external and internal customers towards established operational goals and objectives
  • Solid analytical skills to problem solve, troubleshoot, diagnose root cause, assess business workflow, evaluate and recommend solutions to operational challenges

Experience For Senior OSS Compliance Analyst Resume

  • Maintain regular attendance, based on agreed-upon schedule
  • Support/assist with Molina's Fraud, Waste and Abuse programs, Annual Call Letter, HIPAA Incident investigation, Training, Duals Demonstration and other Health Plan program readiness
  • Create and maintain monthly and quarterly Key Performance Indicator (KPI) reports
  • Manages Molina Medicare's Fraud, Waste, and Abuse Allegations (FWA) process, MEDIC requests, and CMS Fraud Alerts. Maintains FWA database and prepares monthly and quarterly reports
  • Updating and establishing the scope of the Company’s SOX program
  • Evaluation of control deficiencies for management’s opinion over internal controls over financial reporting

Experience For Senior Analyst, Tax Equity Compliance Resume

  • Documents, verifies, monitors and creates reports relating to Reliability Requirements
  • Deliver and track periodic compliance oversight processes such as quarterly certifications, acknowledgements and compliance training
  • Coordinates site visits for federal & state regulators
  • Leads large, complex projects to achieve compliance objectives
  • Interprets and analyzes Medicare Part C & D manuals and revisions
  • Interprets and analyzes CMS rules and requirements for proposed & final rules

Experience For Senior Information Systems Compliance Analyst Resume

  • Oversight of the Company’s Sarbanes-Oxley compliance program
  • Informs and advises FIS employees on the company’s obligations under the GDPR
  • Assists the business with responses to customer compliance-specific questions and concerns
  • Assists operations staff in end-to-end project management principles to ensure Compliance with Reliability Requirements
  • Advises assigned group(s) of pending revisions and/or changes in Reliability Requirements. Defines the obligations to reasonably demonstrate compliance with the Reliability Requirements

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


Skills For Compliance Analyst Senior Resume

  • Demonstrated ability to effectively interact with all levels within the organization
  • Two to three years of prior work experience in accounting, auditing, finance or regulatory field
  • Effectively manage multiple, diverse tasks and adhere to tight deadlines
  • Seek to develop own skills and capability on a self motivated basis
  • Experience in an operations role, preferably experience with Licensing and Compliance

Skills For Senior Analyst, Technology Compliance Resume

  • Experience evaluating and testing IT General Controls in Big 4 Public Accounting or IT Internal Audit
  • Strong understanding of Information Security principals and technology
  • Accounting, finance, finance analytics or related work experience
  • Combined compliance, risk, IT operations or security experience, with supporting certifications (e.g., CISA, CRISC, CISSP)
  • Experience of negotiating financial settlements with customers
  • Public and/or private audit/compliance and/or consulting experience required
  • Enthusiastically engage with key client contacts, exceeding the client's expectations and Altisource’ s customer experience targets at the same time
  • Experience using: Advanced Excel, SQL, COGNOS,, and Tableau
  • Build effective relationships in several areas of the business at Team Lead and Business Process Owner level

Skills For Compliance Analyst, Senior Resume

  • Manage multiple projects, deadlines, and priorities in a fast-paced work environment
  • Experience in Investment Compliance function or similar. Knowledge of investment management industry
  • Good knowledge of Bloomberg/Reuters or other market data vendors
  • Previous experience with internal investigations and third-party research desirable
  • Relevant, progressive experience in the area of specialization
  • Operate in a collaborative manner within a complex, multi-cultural global organization
  • Multi-task and prioritize requests from multiple Managers within team
  • Mutual fund compliance experience
  • Relevant experience as an analyst

Skills For Senior Contract Compliance Analyst Resume

  • Thorough experience in health care compliance, legislative or legal Services
  • Extensive experience in health care, legal services, privacy, audit or investigative services
  • Demonstrates a “can-do” spirit and sense of optimism and drives results even under tough circumstances
  • Identifying and documenting control issues, and implementing control improvements and/or mitigating controls
  • Managing the Release Management lifecycle, including scheduling, coordinating and management of releases across multiple client deployments
  • Ensuring the quality of release deployments, tracking KPIs and identifying and implementing improvements to the release management process
  • Maintaining and improving the IT control environment

Skills For Senior Medicare Compliance Analyst Resume

  • Undertaking and documenting audit test procedures and subsequent results of tested controls
  • Advising some of WB’s largest BUs (Theatrical, Television, Consumer Products, Home Entertainment, Games)
  • Assists in identifying, procuring and managing external consulting services
  • Knowledge of the following: Data handling and SQL
  • Apply critical thinking in evaluating different scenarios
  • Stays up to date with HERE’s licensing and pricing models
  • Comfortable working in an ambiguous environment and excited about helping to define policies and procedures of a new License Compliance program
  • Flexibility to work during non-working hours and bank holidays is required
  • Perform execution of M&A Compliance initiatives including acquisition maturity assessments and advising acquisitions on Tech Certification efforts

Skills For Senior Portfolio Compliance Analyst Resume

  • Assist in firm Annual Compliance Meeting training to registered representatives; coordinate delivery and completion
  • Conduct training on regulatory matters in a small group setting
  • Develop an understanding of Symantec products and licensing terms, market and business environment
  • Become proficient in Salesforce to make updates for engagement tracking and forecasting
  • Support risk assessment activities by participating and providing relevant insight to assessment activities
  • Collaborate with business partners to review policy comments and assisting policy owners with building policies and repositories
  • Review and assess existing manual and automated processes in an effort to maximize the potential while mitigating risk and maintain the same level of integrity
  • Administer other licensing sites for software licensing needs (ELA’s)
  • Preparation of the Client Communication including reports for the Funds’ Governing Bodies

Skills For Senior Analyst, Financial Compliance Resume

  • Participate as required in strategic planning activities to ensure the internal control assessment process is addressing key business and financial risks
  • : Financial Services including marketing review
  • Plan and execute audits of the Company's control environment; focusing on technology controls
  • Perform controls testing, document results, and provide detailed updates to the TC Manager, Compliance management, and other internal stakeholders
  • Proactively identify gaps or conflicts in existing processes and technology and collaborate on solutions
  • Use of Microsoft Office including Excel
  • Compartmentalize different projects, keep detailed notes, and maintain understanding of the various projects
  • Push back when needed, voice concerns in a professional manner, and provide key data points or concerns for supporting the need to push back

Skills For Senior OSS Compliance Analyst Resume

  • Develop and maintains an overall understanding of HERE’s business environment, strategy, structure, policies and procedures
  • Critical Thinking - Ability to extract and synthesize information and draw conclusions
  • Monitors the assigned sales organization’s compliance with required standards for maintaining CRM data
  • Creates and maintains templates for reports, guidelines for documentation and training materials
  • Ownership of the SSAE-16/ISAE-3402 security audit, including primary liaison with third-party auditors
  • Monthly, quarterly and annual compliance reporting
  • Research and recommend action for proposed outside activities. Assist in maintaining the outside business activities database and manager communications
  • Be a supportive resource for questions regarding compliance matters and provide analysis

Skills For Senior Analyst, Tax Equity Compliance Resume

  • Field incoming requests for new corporate policies to be added to the central repository
  • Assist in managing the timely and high-quality execution of compliance programs
  • Perform annual compliance testing, document results, and provide detailed updates to the Compliance management, and internal stakeholders
  • Assist with the education and training of policy owners so they better understand the Enterprise Policy Governance program and responsibilities
  • Evaluate new and evolving compliance programs
  • Travel up to 10% - 15%, including potential International travel
  • Professionalism – takes responsibility for training staff; viewed as a role model for staff; works with VZ Tax and AOL staff to make processes more efficient

Skills For Senior Information Systems Compliance Analyst Resume

  • Assist in quarterly/periodic reporting of program components
  • Continually looks for developmental and training opportunities
  • Willingness to learn licensing audit techniques and departmental procedures
  • In conjunction with department managers:Review and develop new testing plans as necessary
  • BA / BS in Accounting, Finance, Information Technology or Business Management or related field required
  • Communicate with varying levels of personnel
  • Apply creative problem-solving techniques and tools to compliance issues

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


Responsibilities For Compliance Analyst Senior Resume

  • PC skills including enhanced proficiency with Word, Excel and SharePoint
  • Perform effectively in a fast paced setting with minimal supervision
  • Develops compliance-related training for delivery to Austin Energy staff, Management Team and Executive Management regarding Reliability Requirements
  • Partner with cross-functional teams to timely deliver training on Trailhead or other training platforms
  • Assists in responding to Request for Information, Compliance Violations and Spot Check documentation
  • Assists with all activities related to audit preparation and self-certifications. Provides written response and data analysis and collection activities at request of Texas RE, FERC, NERC, PUCT or ERCOT
  • Assists in creating corrective actions and mitigation plans, including scope, timing and priority of planned response to observations, findings and recommendations of internal and external compliance audits and reviews of processes and procedure related to compliance with Reliability Requirements
  • Acts as a business liaison leading and participating in assigned group staff meetings, providing key information and strategic contributions to proactively address compliance with Reliability Requirements

Responsibilities For Senior Analyst, Technology Compliance Resume

  • Working knowledge of CMS regulatory guidance and MAPD operations
  • Review and upload CMS required Part C and D reporting requirements in accordance with CMS deadlines
  • High level of familiarity with a broad range of compliance risk areas and best practices relating to Medicare insurance industry
  • Applies new technologies to improve processes and communications
  • Develops working relationships with key individuals at NERC, Texas RE, PUCT and ERCOT. Represents Austin Energy and/or Municipal segment on industry and stakeholder committees and subcommittees

Responsibilities For Compliance Analyst, Senior Resume

  • Team with acquisition compliance contacts to understand their internal control environments, support their compliance objectives, and mature their individual compliance programs
  • Liaise with other TC programs to ensure acquisition compliance contacts are supported and have access to applicable materials and subject matter experts from across Salesforce
  • Proactively identify and communicate gaps in existing processes/controls and team with process/control owners to implement solutions to close the gaps
  • Familiarity with multiple technology "backbones" and related supporting infrastructure
  • Partner with teams across the business to provide guidance on Technology Compliance related questions and issues
  • Manage relationships with external auditors and support their audit efforts/requests
  • Develop innovative concepts, activities, and solutions to increase the value-add and continuous maturation of the M&A Compliance program and TC team
  • Experience in a compliance and regulatory role and experience with compliance standards across industries and geographies such as SOC 1-2-3, ISO 27001, SOX, PCI DSS, FedRAMP, and HIPAA

Responsibilities For Senior Contract Compliance Analyst Resume

  • Analytical thinker who is highly organized and pays close attention to detail
  • Strong written and verbal communication skills; ability to effectively communicate and obtain buy-in at all levels of the organization and with internal stakeholders across the business
  • A "whatever it takes to get the job done" attitude (i.e., pick up the phone, stop by a desk, follow-up multiple times) with comfort working in a fast-paced, dynamic environment
  • Assist in identifying and preparing, thorough analysis and research, required FINRA and state regulatory filings such as licensing and registration and all applicable amendments
  • Assist in the coordination of required continuing education program for registered representatives
  • Manage and monitor timely completion of filings
  • Assist in conducting regularly scheduled and ad hoc internal examinations and branch inspections. Identify regulatory risk exposure and determine compliance with firm and regulatory rules and procedures. Assist in the preparation and reporting of findings
  • Work with Information Technology to develop new processes, or update current oversight processes as needed due to changes in rules and regulations or create efficiencies
  • Assist in the periodic review and update of policies and procedures

Responsibilities For Senior Medicare Compliance Analyst Resume

  • Manage and coordinate compliance related processes
  • Ensure systems are updated and accurate for compliance
  • Read, understand, and interpret customer contractual agreements
  • Manage and support the execution of license compliance engagements from notification through negotiation with customers. This includes working with many internal organizations, external service providers and customers
  • Analyze customer deployment data and reconcile actual usage to contract terms / entitlement

Responsibilities For Senior Portfolio Compliance Analyst Resume

  • Partner with Sales teams to negotiate and settle findings with the customer
  • Partner with analysts in Shared Resource Center to extract and review internal data used to support license compliance engagements
  • Proficient in Salesforce, Excel, PowerPoint and Word
  • Position reports to the Senior Medicare Compliance Manager
  • Demonstrates strong understanding of CMS requirements and regulations related to Medicare Advantage and Medicare Part D operations and compliance; has extensive familiarity with relevant resources and is available to provide technical assistance and guidance to business units within BSC
  • Working independently, conducts audits of departments involved in the delivery or administration of BSC’s Medicare Advantage and Medicare Part D plans for compliance with CMS and BSC standards, including detecting, preventing, and correcting Fraud, waste, and abuse
  • Assists management in developing compliance audit instruments and protocols. Revises Medicare Compliance departmental policies and procedures to comply with regulatory changes

Responsibilities For Senior Analyst, Financial Compliance Resume

  • Prepares analyses/reports based on audit results, including recommendations for corrective action. Maintains records of audits and follow-up of corrective actions
  • Experience working in a compliance, internal control consulting, risk management or audit-related capacity
  • Participates in disseminating CMS communications and in maintaining Compliance Monitoring Calendar
  • Under management’s guidance, communicates with regulatory agencies to clarify requirements, address reporting and filing issues
  • Assists with implementation of Medicare Compliance Committee materials to validate accuracy and completeness of data reporting, track performance, validate follow through on action items

Responsibilities For Senior OSS Compliance Analyst Resume

  • Monitors that policies and procedures of operating areas relative to the Medicare program are regularly updated and reflect actual operations
  • Maintains awareness of industry trends and legislative impact on policies, products and services
  • Support privacy work stream activities including tracking of updates to Deloitte’s internal and external privacy policies, and related policy documents such as policy awareness statement, security statement, privacy statements, notice and consent updates, and privacy related inquiries and consultations
  • Assist with defining requirements for privacy systems and other supporting artifacts/tools
  • Support subject access requests; assist with tracking in a central repository, monitor status and report progress
  • Assist with completing vendor privacy assessment questionnaires
  • Manage inventories of US Firms’ privacy notices and consents

Responsibilities For Senior Analyst, Tax Equity Compliance Resume

  • Monitor and manage privacy mailboxes including, the review and organization of incoming emails, follow up with stakeholders and escalate/coordinate with US team
  • Assist in annual Privacy Verification process
  • Review, investigation and documentation of OFAC and PEP potential matches. 60%
  • Review, investigation and documentation of BSA/AML alerts and cases. 25%
  • Prepare Suspicious Activity Reports (SARs) as appropriate. 10%
  • Compile and provide explanations for BSA/AML and OFAC Program metrics. 5%

Responsibilities For Senior Information Systems Compliance Analyst Resume

  • Post-trade reviews: research compliance alerts, warnings, data exceptions. Escalate the appropriate notification protocol to IC management and investment management personnel of any potential violations
  • Special projects as assigned by supervisor(s), including the coordination/facilitation of audit request, data management, training, and system applications and processes for IC locations. Collaborate with IC to establish sound preventive, detective and corrective measurements
  • Genuine interest in investment compliance
  • Review business partner¿s third party risk assessments for regulatory compliance requirements
  • Develop and perform appropriate compliance monitoring strategies to validate the effectiveness of compliance policies and procedures and regulatory requirements
  • Lead and assist business partners in defining corrective actions to resolve issues identified by regulatory examination, internal audit, self-assessment, or Corporate Compliance observation

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