Spec, Compliance Resume Sample

18 votes

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Sherman Heathcote
972 Payton Square,  San Francisco, CA
+1 (555) 247 0351

Work Experience

Corporate Compliance Spec Senior
09/2016 - PRESENT
New York, NY
  • Department of Transportation & International Air Transport Association Certification
  • Computer experience to include: Microsoft Word ,Excel and PowerPoint, AS/400 Software
  • Ensure regulatory compliance for s
  • Reviews selected populations of inpatient medical records to identify the principal and/or secondary diagnoses. Appropriately assigns the MS-DRG that most accurately reflects the severity of illness of the patient based upon the clinical evidence documented at the time of the record review
  • Ensures that all written requests to physicians for additional documentation support Corporate Compliance policies
  • Identify and assess compliance risks within the Company and/or with the Company’s delegated vendors
  • Review Plasma center personnel training documents to ensure documents comply with CSL procedures, SOP’s, CLIA/COLA and other applicable requirements
  • Manage the development, maintenance and strategic direction of the company’s Business Continuity Program by working closely with all business units to implement and manage enterprise business continuity strategy and plans
QI Compliance Spec-hp
06/2009 - 03/2016
Boston, MA
  • Performs fair lending monitoring and reviews related to lending business units (e.g. residential mortgage lending, consumer unsecured lending, indirect auto lending, and commercial lending), as warranted by the Fair Lending Risk Assessment
  • Oversees all daily, weekly, monthly, quarterly and yearly calibration and verification of test equipment to comply with regulatory requirements
  • Oversees, monitors, and performs calibration gases quality check and reorder supplies when appropriate
  • Calibrates and maintains test equipment and recording devices including analyzer curves, converter check, and propane injection verification
  • Acts as a contact for all technical calibration and certifications issues during a governmental certification audit
  • Ensures accurate records of calibration and certification records, data, and observations in digital, as well as printed form
  • Adheres to policies in regards to data retention with corporate and government mandated retention regulations
  • Supports all Portable Emissions Measurement System (PEMS) testing activity
  • Accurately analyzes marketing communications for compliance with regulatory and firm requirements and, where appropriate, files with FINRA in a timely manner
Spec, Compliance
08/2004 - 04/2009
Chicago, IL
  • Serves as primary point of contact with clients for marketing communications compliance review and approval
  • Evaluates compliance policy effectiveness and updates procedures and manuals as needed
  • Trains new associates on certain FINRA rules and internal compliance procedures
  • Contributes to the development and delivery of registered representative's initial training and annual compliance meeting
  • Performs monitoring activities including email surveillance, conducts branch examinations, writes inspection reports, and maintains appropriate compliance records
  • Partners with internal departments to make sure client needs are met
  • Maintains effective internal and external client relationships
  • Actively participates with team in planning, operations and strategy implementation


Syracuse University
1999 - 2003
Bachelor's Degree in Either Economics

Professional Skills

  • Solid organizational, planning and problem solving skills
  • Solid organizational, analytical, and problem-solving skills
  • Experience working in Government Contracting Finance of Accounting
  • Demonstrates working knowledge of financial terminology, basic economic concepts, technical concepts related to products and investing
  • Financial services or similarly regulated sector experience
  • Experience conducting internal audits of policies and procedures
  • Demonstrated ability to conduct research and articulate a concise summary of key issues tailored to the audience

How to write Spec, Compliance Resume

Spec, Compliance role is responsible for training, health, immigration, finance, research, travel, events, government, software, transportation.
To write great resume for spec, compliance job, your resume must include:

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

Contact Information For Spec, Compliance Resume

The section contact information is important in your spec, 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 Spec, Compliance Resume

The section work experience is an essential part of your spec, 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 spec, 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 spec, compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Spec, Compliance resume experience can include:

  • Three (3) years of mutual fund or financial services related experience including 2 years in a compliance role or compliance related experience
  • Maintain confidentiality when handling sensitive information
  • Communicate requirements of being registered to registered reps
  • Communicate advertising regulations and internal procedures to clients
  • Independently facilitate firm element training
  • Serve as a source of information during internal and regulatory audits

Education on a Spec, Compliance Resume

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

When listing skills on your spec, 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 spec, compliance skills:

  • Effective handling of compliance concepts, client requests, concerns and problems in a professional manner
  • Working knowledge of FINRA and SEC regulations used in registered rep oversight, email and advertising review
  • Understanding of product distribution channels and marketing strategies
  • Working knowledge of AdMaster, Global Relay, EMC
  • Familiarity with programming logic, Macros, and query writing
  • Create advertising guidelines based on a review of prospectuses, SAI's

List of Typical Skills For a Spec, Compliance Resume


Skills For QI Compliance Spec-hp Resume

  • Intermediate Other Good analytical skills and an understanding of operational processes and regulatory requirements
  • Computer skills including
  • Independently review advertising material
  • Gain an understanding of the business process to drive solutions to challenges
  • In-depth knowledge of the automotive industry’s standards and regulations
  • Travel required within NAR region
  • Pro-actively build and maintain relationships with internal and external clients
  • Knowledge of internal policies and procedures required for the position
  • Microsoft Office Suite, Adobe Acrobat, internet research and navigation, email review systems, FINRA forms and filings

Skills For Calibration & Compliance Spec Resume

  • General knowledge of Federal and State securities regulations and resources
  • Independently conduct surveillance of registered rep emails
  • Present FINRA rules and internal procedures to registered reps
  • Train other associates
  • Conduct annual branch audits & produce written inspection reports
  • Coordinate special projects
  • Identify new processes and implement solutions

Skills For Corporate Compliance Spec Senior Resume

  • Research, interpret, understand and apply policies, procedures and appropriate principles and regulations along with working knowledge of CAS and FAR
  • Intellectually curious and a “doer”
  • Several years as an HR Business Partner in large/high volume organization
  • Commonly sit at a desk or table, stand, stoop and occasionally lift, carry, push or pull up to 25 pounds
  • Familiar with KRIs and OSMs

Skills For Compliance Spec Alt Resume

  • Creativity (developing) - Comes up with a lot of new and unique ideas; easily makes connections among previously unrelated notions; tends to be seen as original and value-added in brainstorming settings
  • Decision Quality (entry level) - Makes good decisions (without considering how much time it takes) based upon a mixture of analysis, wisdom, experience, and judgment; most of his/her solutions and suggestions turn out to be correct and accurate when judged over time; sought out by others for advice and solutions
  • Informing (developing) - Provides the information people need to know to do their jobs and to feel good about being a member of the team, unit, and/or the organization; provides individuals information so that they can make accurate decisions; is timely with information
  • Integrity & Trust (developing) - Is widely trusted; is seen as a direct, truthful individual; can present the unvarnished truth in an appropriate and helpful manner; keeps confidences; admits mistakes; doesn't misrepresent him/herself for personal gain
  • Intermediate Other Demonstrate subject matter expertise in the area of Regulatory Compliance and Compliance Audit
  • NCQA Health Plan Accreditation experience
  • FINRA Series 6, 63 and 26 at time of hire or obtained within 90 days of hire

Skills For Spec Compliance Alternate Resume

  • 907_EPAP_HR Workforce Analytics&Compl
  • 10%-20% of time
  • Managerial Courage (entry level) - Doesn't hold back anything that needs to be said; provides current, direct, complete, and 'actionable' positive and corrective feedback to others; lets people know where they stand; faces up to people problems on any person or situation (not including direct reports) quickly and directly; is not afraid to take negative action when necessary

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