Junior Compliance Resume Sample

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Annalise Osinski
738 Upton Burgs,  Phoenix, AZ
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Work Experience

Junior Compliance Specialist
06/2017 - PRESENT
Dallas, TX
  • Adhere to strict deadlines set by externals (Tax authorities, Law & Auditors) or internals (Supervisor, manager)
  • Good communication skills both internal and external
  • Responsible for assisting Compliance Manager in conducting routine compliance testing of GFS policies and procedures, including routine review of daily net asset value calculations of fund clients
  • Examines the accuracy, completeness and timeliness of GFS staff member work product
  • Establish and maintain relationships with GFS control owners in various departments to support compliance testing program
  • Assist with creating financial advisors ADV 2B brochure supplements
  • Communicate effectively both internally and externally with other employees and financial advisors
Junior Compliance / Equity Research Associate
09/2012 - 02/2017
Dallas, TX
  • Strong Microsoft Office skills including Outlook, Powerpoint and Excel
  • Experience in Gaming industry is mandatory
  • Thorough and up-to-date knowledge of compliance tests procedures and requirements
  • Strong technical knowledge and some engineering mind
  • Very good teamwork and project management skills
  • Positive and "can-do" attitude
  • Analysis and synthesis abilities; perseverance in accomplishing the established goals
  • The ability to focus when multitasking
  • Efficiency and perspective orientated
Junior Compliance Analyst
09/2005 - 06/2012
San Francisco, CA
  • Review political contributions submitted by advisors
  • Compile data from multiple locations and input to a centralized program
  • Review advisory client meeting notes to ensure compliance with client policy
  • Project management and process organization
  • Work within and meet tight deadlines and multitask efficiently
  • Uccessful software sales experience with focus on technology and solutions selling of Analytics, Data Warehouse, Business Intelligence, Hadoop targeting enterprise accounts
  • Knowledge of Big Data Analytics, (MPP) Massively Parallel Processing technologies, Hadoop, Master Data Management (MDM)
  • Excellent written and verbal communication skills combined with very strong presentation skills
  • Travel within your territory assigned territory is required


Trinity University
2001 - 2005
Bachelor's Degree in Business

Professional Skills

  • Understanding of NIST standards including NIST SP 800-53 rev4 is strongly desired
  • Experience working as a Federal Civilian government contractor
  • Experience working with advisors and/or Career Sales Force
  • Experience with desktop tools, including Microsoft Office
  • Previous Compliance / Equity Research experience
  • Creating, reviewing and following up on surveillance reports of financial
  • Preparing and drafting regulatory correspondence

How to write Junior Compliance Resume

Junior Compliance role is responsible for software, government, travel, insurance, research, design, purchasing, training, credit, finance.
To write great resume for junior compliance job, your resume must include:

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

Contact Information For Junior Compliance Resume

The section contact information is important in your junior 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 Junior Compliance Resume

The section work experience is an essential part of your junior 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 junior 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 junior compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Junior Compliance resume experience can include:

  • Associates or Bachelors, however we can be flexible if the experience compensates
  • Periodic review of Lexicon Lists to ensure words and terms are effective
  • Anywhere from 0-3 years of experience in a business or office environment
  • Previous work experience desirable
  • Monitoring of electronic communications of the Broker Dealer’s Marketing personnel for adherence with Firm policies
  • Developing a thorough understanding of each of the relevant regulations that the business needs to adhere to

Education on a Junior Compliance Resume

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

When listing skills on your junior 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 junior compliance skills:

  • Knowledge and skills oriented to streamline activities and improve their quality through design and implementation of control models of organizational processes
  • Good communication skillsEEO Employer
  • Interpersonal skill, strategic thinking
  • Relevant audit or financial accounting experience
  • Proven ability to sell to CXO or line of business. Successfully sell the business value vs. product is KEY
  • Proven success with above and posses entrepreneurial spirit or worked in a fluid (start up) environment

List of Typical Experience For a Junior Compliance Resume


Experience For Junior Compliance Analyst Resume

  • Daily contact with internal associates while performing routine compliance testing of GFS policies and procedures
  • Review of Marketing Materials produced by different Credit Suisse divisions for the majority of EMEA/MENA locations
  • Administration of Electronic Communications Surveillance System
  • Administrator of the electronic communications surveillance software
  • Manage and maintain queries received into the Ask Compliance mailbox
  • Prepare monthly Ask Compliance metrics

Experience For Junior Compliance Specialist Resume

  • Assist with daily, weekly, and monthly internal control audits to business process controls, information
  • Assist Compliance Department with assigned projects and administrative tasks
  • Identify potential exceptions and report and escalate to Compliance Management
  • Interact with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get clients registered as investment advisers
  • Assist senior staff and clients in drafting their compliance manuals, codes of ethics, and other written materials for use by clients to help them meet their compliance obligations and/or respond to regulatory inquiries

Experience For Junior Operational VAT Compliance Analyst Resume

  • Draft web content and periodic releases on compliance issues of interest to investment advisors
  • Work on and manage specialized projects as necessary
  • Further develop your competencies with a tailor-made training plan, exploiting our Deloitte University, Lunch & Learn sessions and opportunity to participate to external trainings
  • Analyze financial transactions
  • Life and Accident Insurance
  • Health and Vision Insurance

Experience For Junior Compliance / Equity Research Associate Resume

  • Wellness/Employee Assistance Program
  • Ask Compliance Review
  • Sport and Recreation
  • Employee Social Fund

List of Typical Skills For a Junior Compliance Resume


Skills For Junior Compliance Analyst Resume

  • Strong sense of tact, professionalism, and ethical behavior
  • Working in our Windchill system to retrieve quality information (drawing numbers/revs/etc.)
  • Maintaining internal calendars and other recordkeeping tasks
  • Working knowledge within Compliance
  • Monitoring of Compliance Department email inboxes
  • Training, Development and education assistance
  • Liaising with the business to ensure that regulations within each of the jurisdictions are complied with

Skills For Junior Compliance Specialist Resume

  • Providing governance across all applicable policies and procedures
  • Taking an active role with team process design
  • English in writing, reading and speaking
  • Ensure that processes are according to Anti Money Laundering regulations
  • Assistance with projects as needed (e.g., Metrics Reporting, Corrective Action reporting, OBA reviews)
  • Assist senior staff and clients in preparing their SEC and state registration filings, including Form ADV filings
  • Understands importance of handling confidential material

Skills For Junior Operational VAT Compliance Analyst Resume

  • Follow regulations while willing to challenge conventional approaches and show innovation
  • Successful track record selling enterprise solutions. Can sell large software and analytics solutions
  • Work according to laws and regulations
  • Participates in developing new compliance systems and tools to support large compliance projects
  • Weekly and monthly review of communication alert volume and aging metrics
  • Annual review of electronic communications surveillance systems settings to ensure it is adjusted appropriately according to changes in the business
  • Provide regular updates to compliance management regarding results of audits

Skills For Junior Compliance / Equity Research Associate Resume

  • Appreciation of IT principles./ / Apply for this job
  • Proficient in excel & Microsoft Office
  • Organized, detail-oriented & self sufficient
  • Positive ‘can do’ attitude and a determination to succeed
  • An ability to communicate and build relationships with all levels of the organization

Skills For Junior SAP Compliance Analyst Resume

  • Willingness to be flexible in the team
  • Proven track record of increasing revenue through new customer and logo acquisition Strong understanding of how to grow an under developed or under penetrated patch
  • Actively listen and determine the customers’ needs
  • Clearly articulate your point of view in professional manner
  • Figures as of December 31, 2017. For more information about Interactive Brokers visit: www.interactivebrokers.com
  • Prepare/analyse data for auditors/Tax authorities in case of audit queries
  • Completion of IFIC Canadian Investment Funds, or Canadian Securities Course

Skills For Customer Compliance Liaison Junior Resume

  • Keeping records related to staff who are working on CRS reports –analysts’ qualifications, statements confirming that analysts have received the mandatory CRS training, analysts’ statements relating to conflicts of interest, including staff details on leavers and joiners
  • Prepare documentation, including meeting minutes, related to CRS regulatory activities for the EIU Supervisory Board, the Compliance director, the Internal Review Function and other bodies with responsibility for EIU’s compliance with EU regulations pertaining to credit rating agencies
  • Notify the CRS and Compliance Officer of issues pertaining to analysts’ compliance with CRS policies and procedures
  • Understand of all requirements in the CRS Policies and Procedures documents, which set out the regulatory terms and conditions under which CRS reports are produced
  • Ensure that the EIU has, for each CRS report produced, a full set of the necessary records and documentation associated with each report

Skills For Junior VAT Consultant for our Compliance Team-based Resume

  • Keep records related to staff who are working on CRS reports –analysts’ qualifications, statements confirming that analysts have received the mandatory CRS training, analysts’ statements relating to conflicts of interest, including staff details on leavers and joiners
  • Clearyl and concisely communication on behalf of the EIU with rated entities (such as disclosure of pending CRS reports to governments), including the steps needed when rated entities raise questions about CRS reports
  • Complete initial investigations and responses to compliance breaches, escalating when necessary
  • Manage CRS report archiving process
  • Have the ability to understand regulatory rules and client financial

Skills For Privacy Support & Compliance Analyst, Junior Resume

  • Any other languages is an asset
  • Deliver and administer new hire compliance requirements to new employees. This includes working with business partners to determine which requirements apply to each employee
  • Analyzes existing policies, identifies gaps and recommends new or revised policies and procedures, approval processes, and monitoring methods
  • Provides technical expertise in identifying and reducing areas of potential risk
  • To ensure that all console products meet submission requirements for SONY platform
  • Support the HCC Officer in the self-assessment and risk assessment processes to detect process gaps & inconsistencies

Skills For Junior Health Care Compliance Specialist Resume

  • Manages and supports overall compliance program
  • Performs research to understand requirements of pertinent federal, state and local regulatory schemes
  • Monitors operational compliance practices and performs risk assessments
  • Gathers data, conducts analyses, and prepares work related to compliance reviews
  • Participating in the receiving process to verify that certificates of conformance delivered with the product reflect the correct revision level and quality requirements identified on the PO
  • Monitors vendor compliance with product and service specifications.
  • In a regulated industry preferably medical device or pharma
  • Electronic Communications Surveillance of LOBs

Skills For Junior Compliance Insolvency Administrator Resume

  • Act as the primary reviewer for LOB e-communications, escalate and coordinate with LOB Correspondence Managers when necessary
  • Act as back-up reviewer of electronic communications sent to or received by members of the administrative groups and the Partners of the Firm
  • Follow-up on any escalations reported pursuant to communications reviews
  • Assist in the daily review of the Data Loss Protection (“DLP”) tool for review of the Administration group’s e-communications
  • Assist in the review of the Sanctions e-mail review for the LOBs

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