Associate, Compliance Resume Sample
Telly Thiel
7009 Shyann Fall,
Phoenix,
AZ
+1 (555) 829 5575
Work Experience
Associate, Compliance
11/2017
-
PRESENT
Houston, TX
- Strong IT background ( Intermediate + experience with Access & SharePoint)
- Strong in Office applications
- Highly motivated/Independent worker (LPL success factors)
- Able to consult and guide departments through the various work order/defect process and drive towards a “risk that matters” approach
- Prepare and format the data
- Received feedback from POC and update the tracker
- Send the information to EPM REACH
Senior Associate, Compliance
10/2014
-
06/2017
San Francisco, CA
- Received escalated parts (qualified from parts refresh )for material specification and parametric data
- Review escalated parts using engineering drawing
- Perform supplier outreach for parts that cannot be evaluated using drawings
- Update the tracker and send the information to EPM/POC
- Received all qualified parts for TcEC approval
- Collects the data from the procurement system
- Conducts Drawing and part specification reviews for all active components
- Load data in procurement system
- Effectively problem solve by analyzing situations and applying creative and timely solutions
Associate Compliance Analyst
08/2008
-
05/2014
Chicago, IL
- Provide pro-active & reactive guidance to the Capital Markets business in an informed manner on a variety of topics including regulations, booking models, registration related questions etc
- Assisting the business in identifying and managing emerging regulatory risks through the provision of subject matter expertise on new regulations as well as providing training & guidance with respect to relevant procedures
- Undertake, support and participate (as required and with appropriate guidance and support) Compliance Monitoring and Testing activities, (i.e. review of the requirement, interviews, conclusion, report writing) relevant business lines in order to ensure that the first line of defence control model is designed & operating effectively in line with regulation / internal policies & procedures
- Track and follow up actions identified as a result of the Monitoring & Testing review work
- Review & assess results of the Global risk assessment process & provide input for the Capital Markets Europe business
- Input into regional & global MI reports / dashboards
- Creation & delivery of training materials to Capital Markets on ‘hot topics’ / new regulation
Education
Robert Morris University - Peoria Campus
2004 - 2008
Bachelor's Degree in Accounting
Professional Skills
- Excellent oral/written communication skills and interpersonal skills
- Good presentation skills. Advanced PC skills such as Excel, Word, PowerPoint
- Good planning and communication skills with the ability to work effectively as part of a high performing team
- Strong system skills and process thinking
- Strong problem-solving skills; encourages new innovative solutions when appropriate; and
- Strong computer skills, including Electronic Document Management Quality (EDMQ), Cognos, Microsoft Suite applications and Adobe Acrobat
- Strong computer skills, including PowerPoint, Word, Excel, Business Objects
How to write Associate, Compliance Resume
Associate, Compliance role is responsible for microsoft, excel, english, software, business, research, analysis, training, messaging, analytical.
To write great resume for associate, compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Associate, Compliance Resume
The section contact information is important in your associate, 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
- Telephone number
Work Experience in Your Associate, Compliance Resume
The section work experience is an essential part of your associate, 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 associate, 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 associate, compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Associate, Compliance resume experience can include:
- A strong team work ethic and excellent people skills
- Strong analytical and data processing skills
- Strong communications skills (upward, downward, across individuals, across cultures, across business lines) in both a verbal and written format
- Strong interpersonal skills to interface with various business unit, legal and compliance contacts
- Interpersonal Team membership and leading Skills e.g.: Listening, integrating diverse
- Establish working relationships and communicate effectively with third-parties, including Healthcare Professionals
Education on an Associate, Compliance Resume
Make sure to make education a priority on your associate, compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your associate, 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 Associate, Compliance Resume
When listing skills on your associate, 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 associate, compliance skills:
- Highly organized and able to manage work effectively with shifting priorities
- Good Word, Excel, PowerPoint and general keyboard skills
- Excellent Excel and PowerPoint skills are essential
- Excellent written, verbal and documentation skills
- Strong Communication, Service minded and Cooperation skills
- Good communication skills: able to interact and work closely with the business, and colleagues cross-border and ability to adapt approach to suit audience
List of Typical Experience For an Associate, Compliance Resume
1
Experience For Senior Associate, Compliance Resume
- Proven experience of researching and analyzing large amounts of data
- Advanced Microsoft Office skills including Word and Excel
- Apply analytical skills and tools (e.g Excel, SQL, Tableau, Python) to large amounts of data, seeking insights
- Establish working relationships and communicate effectively with internal Amgen staff and external third-parties, globally
- Good understanding of the financial services industry in particular the alternative asset management
- Able to establish priorities, work on multiple assignments, meet competing deadlines and work in fast-paced and collaborative environment
2
Experience For Associate Compliance Specialist Resume
- Experience supervising a team
- Relevant experience in a law firm or investment advisory firm
- Supporting Compliance driven projects and delivering on items of the Compliance Roadmap
- Assisting in updating compliance material to take account of Rule changes
- Supporting other Compliance teams on certain processes (i.e. surveillance) to ensure adequate cross coverage when others are absent from the office
- Developing knowledge of Abbott’s business and client areas supported
- Analyzing data to identify compliance concerns with replacement activity, free-looked contracts and customer complaints
- Participating in periodic compliance meetings with the various business units and work with these units to resolve any issues identified throughout the year
- Drafting reports of findings for senior management
3
Experience For Associate Compliance Analyst Resume
- Conducting gap analysis of current processes against regulatory requirements
- Assist in coordinating and preparing various compliance reporting, meeting documentations, training material, regulatory reporting, etc
- Carry out the compliance monitoring program including trade monitoring
- Assist with monitoring regulatory developments (including MAR, MIFID II, MiFIR and EMIR) and updating compliance policies/procedures as required
- Assist in distributing the rules and regulations, assessing the impacts, and rolling out the new regulatory requirements across the impacted businesses
- Knowledge of internal auditing standards, auditing techniques and processes
- Support Compliance Representatives’ learning and processing of routine matters
- Respond to all inquiries regarding advertising concerns
- Assist in meeting arrangement, attendance and minute-taking
4
Experience For Senior Associate Compliance Resume
- Adherence to money laundering reporting requirements
- Closely coordinate with the Compliance & Regulatory Consulting practice to manage and perform client electronic surveillance monitoring
- Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems
- Delivers OEC training programs on basic and routine OEC and divisional policies and procedures including OPPF and Abbott's Code of Business Conduct
- Assists with the preparing for, scheduling, and follow-up from Compliance Review Committee meetings
- Drive forward and co-ordinate a number of concurrent projects and tasks, managing own time to deliver against competing demands
- Assist in administering NYL’s Third Party Distribution Compliance program including
- Assist with annual SEC 38a-1 Compliance Program testing including
5
Experience For Senior Associate, Compliance Consulting Resume
- Assist in providing SEC exam support, including a thorough understand of Form ADVs and Form PF
- Provide writing and editing support for the generation of robust, well-written R&D controlled documents
- Maintain consistent standards and templates to permit uploading to controlled document repository according to required standards
- Develop and maintain working knowledge of Amgen’s Healthcare Compliance Policy and Standard Operating Procedures
- Assist with serving as a liaison for all parties in connection with internal and external IT compliance activities to ensure requests are fulfilled in a timely manner
- Possess general understanding of regulations the department is subject to and applicable industry standards
- Manage multiple tasks and small projects across multiple clients at the same time without sacrificing quality
- Maintain data within personal trading and gifts and entertainment system (iTrade) system
- Assist in monitoring investment portfolio for compliance with state investment codes and internal limits
6
Experience For Senior Associate, Compliance, Data Analytics Resume
- Complete regular and ad-hoc reporting for various compliance and investment initiatives
- Broad understanding of the alternative asset management industry
- Solution-driven and problem solving attitude
- Assist with educating investment and non-investment staff on compliance related matters
- As DESC continues to evolve, participate in user acceptance testing of functionality
- Detailed knowledge and understanding of the FCA Handbook
- Detailed knowledge of the investment management and broking sectors
- Broad understanding of the alternative investment industry
- Daily monitoring of Customs entry status for assigned accounts
7
Experience For Ethics & Compliance Associate Compliance Analyst Resume
- Respond to Customs on inquiries for data or supporting information
- Prepare compliance reports and compliance trending reports
- Project Management Lead for the Compliance Department’s overarching special projects
- Stays up to date with legal and regulatory changes affecting compliance programs
- Develops employee communication and training programs that focus on the elements of a companywide compliance program
- Where directed, to manage and maintain regular reporting on compliance matters internally
- Support and develop the maintenance and management of the filing responsibilities of the department
- To develop and sustain knowledge on Mizuho’s AML and KYC policies and procedures and to assist in the AML related compliance monitoring
8
Experience For Senior Associate, Compliance & Monitoring Resume
- Solution-driven and problem-solving attitude
- Track and monitor progress on assigned activities, including but not limited to database maintenance and other compliance software
- Assist in analyzing PacifiCorp’s compliance with applicable requirements
- Personal Securities Trade monitoring
- Documentation, compilation and confirmation of completion of associate’s attestations, training and other required paperwork
- Work on day-to-day licensing and registration cases and relevant tasks
9
Experience For Quality Associate, Compliance Resume
- Provide sound regulatory advice and drive consistency of the practices by partnering with business, legal, other compliance and control teams
- Assist in licensing and registration work when needed
- The Associate Analyst performs the following with significant supervision from Compliance Manager/Compliance Director
- Assist with the daily review of Market Timing reports and 22c-2 information requests
- FINRA Series 6 or 7, or willing to obtain one within 6 months
- Perform technical editing (QC) of documents
- Develop and maintain expert knowledge and understanding US Federal and State Transparency laws and regulations and the PhRMA Code
- Perform Data Quality analysis to identify, triage and where appropriate, escalate business or systems issues needing resolution
10
Experience For Temporary Associate, Compliance Resume
- GMP training delivery to IPT personnel
- Provide Compliance guidance to Operating procedure
- Proactive monitoring of CAPAs to ensure holistic trends are proactively resolved
- Collaborates with Area Managers on feeding sites to observe and verify adherence to meal accountability procedures, compliance, and efficiency of meal service
- Assists with identifying areas of compliance vulnerability and risk in order to determine corrective action plans
- Assists in the periodic review of Standard Operating Procedures related to meal accountability
- Interest and fluency/proficiency in the English language, as it relates to reading comprehension, is required
List of Typical Skills For an Associate, Compliance Resume
1
Skills For Senior Associate, Compliance Resume
- Project management and organizational skills in order to effectively track and manage the volume of reports submitted from both inside and outside the US
- Excellent IT skills across Microsoft applications as well as Bloomberg
- Communication skills both written and oral including persuading others
- Detail-minded and ability to handle massive data and analyze contractual and financial information effectively
- Prior experience in regulatory compliance
- Demonstrated technical knowledge and experience in compliance (GMP, Eng, Technical
- Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
- Proven experience in a compliance role within the FCA, an FCA regulated firm or a consultancy practice
- Experience with reading and understanding contractual agreements, and evaluating legal and business issues
2
Skills For Associate Compliance Specialist Resume
- Experience researching, analyzing and synthesizing federal and state regulations
- Experience in document control / technical writing / editing / proof reading
- Oversee the effectiveness of client electronic communications compliance programs, including enhancing the monitoring methodologies
- Practical experience with trade and non-trade related compliance matters (including trade monitoring)
- Strong knowledge of FCA and EU trading rules required, preferably someone who has sat on a trading desk
- Experience in investigating customer transactions and reviewing customer information
- Experience in healthcare auditing, finance, accounting, law, or other related field
- Skill in developing data-supported solutions and using fact-based logic; ability to translate complex analysis in easy-t
- Operates independently with well-defined expectations, checking in frequently with supervisor(s)
3
Skills For Associate Compliance Analyst Resume
- Experience in compliance advertising review
- Experience with reporting and analysis tools (e.g. Tableau, Business Objects, SQL, Excel)
- Some experience in compliance advertising review
- Experience within a Corporate Bank or similar financial institution (preferable)
- Experience related to the implementation of AML/KYC systems and controls, and related guidance. (preferable)
- Proven abiloity to work as part of a highly motivated team member
- Understands key business drivers and uses this knowledge to make decisions and prioritise
- Experience specifically in due diligence research is required
4
Skills For Senior Associate Compliance Resume
- Years' Experience: 2 -4 Years
- Some demonstrable work experience in a compliance role
- Compliance experience and Information Security related field
- Possess and exercise a strong sense of ethics and confidentiality
- Work experience in a regulatory compliance environment with a focus on execution and operational excellence
- Strong written communication capabilities
- Experience in operation /Quality role
5
Skills For Senior Associate, Compliance Consulting Resume
- Experience with SharePoint Online or Cloud technologies
- Demonstrated ability to quickly absorb and understand application functionality
- Experience in compliance or regulatory body required
- Previous experience with HK business/product advisory an advantage
- Previous experience of implementation of risk assessment process, including monitoring and testing desirable
- Previous experience working in an Advisory Compliance role (ideally in an investment bank)
6
Skills For Senior Associate, Compliance, Data Analytics Resume
- Reliable, dependable, conscientious and demonstrating excellent attention to detail
- Participates in the overall CAPA effectiveness programme and continued improvement on root cause analysis and follow-up CAPA
- Audit experience
- Experience of US regulation would be useful
- Reviews and maintains documentation that supports the effectiveness of the compliance program
7
Skills For Ethics & Compliance Associate Compliance Analyst Resume
- Experience required
- Assisting in the maintenance of regular reporting to meet statutory and regulatory reporting requirements including
- Dealing with FCA/PRA registration, deregistration and transfers and advising on training and competency requirements
- Monitoring and maintaining records for deals under personal account dealing policy and procedures
- Writing and editing of research reports
- Communicating with Compliance personnel pertaining to acquisition due diligence to ensure risk areas have been addressed
- Reporting fraud attempts according to internal procedures and to the
- Tracking progress and completion of cases
- Confirming the accuracy and logic of research reports
8
Skills For Senior Associate, Compliance & Monitoring Resume
- Working knowledge of Medtronic’s Business Conduct Standards
- Assisting in the preparation for and management of regulatory visits and any related audits
- Preparing reports to FCA/PRA as and when necessary; and
- Understanding of the financial services industry i.e. asset management and broking sectors
- Conducting personal trade monitoring for certain segments of the PGIM population
- Maintaining the Firm's Grey and Restricted Lists
9
Skills For Quality Associate, Compliance Resume
- Facilitating the election and removal of Pru Trust Sales Officers
- Conducting various AML, CIP and OFAC related reviews for Pru Trust
- Supporting Pru Trust audit and examination document requests
- Assisting in the annual review of Pru Trust compliance policies and procedures
- Assisting with various gifts and entertainment related reviews
10
Skills For Temporary Associate, Compliance Resume
- Coordinating certain regulatory filings
- Researching potential violations of policies and procedures
- Responding to ad hoc queries
- Advising Institutional Distribution team on cross-border marketing rules and local marketing regulations in U.S., Europe, Middle East, and Asia markets
- Assist management with performing gap assessments, as well as streamlining and improving existing workflow and quality procedures
- The ability to work closely with other departments including investment staff, operations, accounting and marketing
- Assist the Compliance team with researching and/or reviewing insurance/securities regulations, product requirements
- Knowledge of the global laws and regulations applicable to money laundering, including the Bank Secrecy Act (BSA), The USA PATRIOT Act
- Possessed or pursuing relevant professional qualification including CFA or CAIA
List of Typical Responsibilities For an Associate, Compliance Resume
1
Responsibilities For Senior Associate, Compliance Resume
- Approving advertising, press releases and contacts with media to ensure conformity with applicable regulations and identify and escalate any potential conflicts
- Review sales, use and telecommunications tax data received on a monthly basis from KPMG compliance clients to determine if it is in the proper format for input into KPMG’s mechanized tax processing systems
- Demonstrated ability to stay current with, and analyze regulatory and compliance program requirements
- Demonstrate efficient time management and self-discipline
- Review and validate data received from various business areas in response to market conduct exams and regulatory inquiries
- Maintain compliance tools and training, including the compliance intranet page.Assist with the identification, escalation and reporting of compliance issues
2
Responsibilities For Associate Compliance Specialist Resume
- Once the data is ready for input, process the data for the returns using one or more of KPMG’s mechanized tax systems
- Able to work with others or independently, as determined by needs of the project; seeking guidance and confirmation of progress as required
- Support the product release team and the product management team by acting as a back-up for product set-up, sales enablement and batch release activities
- Revise compliance policies and procedures based on forensic compliance testing results
- Analyze leads for suspicious activity, including those generated from detection software, service of warrants, negative media reports, etc
- Assists in Performing Audits that are part of the annual Audit Plan
3
Responsibilities For Associate Compliance Analyst Resume
- Assists with documenting potential acquisitions made by FMCNA
- Detailed understanding of MAS rules and regulations
- Develop processes and identify systems to support the collection, processing and review of necessary data
- Interest in commercial banking regulations and products
- Assist with training PSG employees about policies and procedures and applicable federal securities laws
- Review marketing materials for regulatory compliance
- Provide compliance support to business, corporate functions and other compliance teams in terms of projects, initiatives, reviews, audits, testing, etc
- Knowledge of Sarbanes-Oxley, risk assessment practices and internal controls design requirements
- Assist Genworth’s Investment Compliance Analyst to complete all responsibilities associated with approximately a $75 B insurance company portfolio
4
Responsibilities For Senior Associate Compliance Resume
- Serve as point of contact for all SVO related questions and issues
- Compile required data for inclusion in quarterly investment presentations to individual insurance company Boards of Directors
- Work with the BlackRock Solutions team to keep portfolio and trade compliance rules up to date
- Assist with coordination and logistics for compliance events - new hire sessions, lunch and learns, Annual Compliance Awareness, etc
- Support general compliance initiatives and projects
- Clear, logical thought processes, ability to make decisions and articulate these clearly
- Legal or audit background would be useful
- Leads and manages Change Controls for Supply Chain
5
Responsibilities For Senior Associate, Compliance Consulting Resume
- Partner with business process owners to drive an efficient and sustainable control
- Provide direct support to the firm’s London Compliance Head
- Assist with periodic and thematic reviews as well regulatory projects
- Day to day compliance activities such PAD reviews and approvals, gift approvals, approved person registrations
- Escalate matters to the firm’s London Compliance Head as necessary
- Handles calls to Tax Jurisdictions and offshore/onshore staff
- Time management and ability to work under pressure
6
Responsibilities For Senior Associate, Compliance, Data Analytics Resume
- Contacts within the UK and overseas investment industry would be useful
- Review and respond to discrepancies
- HTS Classifications for multiple commodity types
- Maintain/Update HTS#’s in SAP/PLM
- Conduct Post Entry Reviews
- Respond to Post Entry Requests from Customs and Border Protection (Form CF28’s)
- Duty Drawback – for GBG USA refunds
- Data and document retrieval for duty drawback filings
7
Responsibilities For Ethics & Compliance Associate Compliance Analyst Resume
- Manage and Transmit Data with Duty Drawback Specialist
- Liaise with Customs Broker for refunds owed by CBP
- Run Reports in ACE system
- Prepare reports for Regulators, Senior Management, New York Life’s Board of Directors and other NYL departments
- Working within the Compliance Team to ensure ongoing development and maintenance of an effective Compliance function, taking an active part in team meetings, and participating in business planning
- Good product knowledge; Cash Equities, Equity Derivatives, Structured Products, Rates, FX, Precious Metals
- Thorough knowledge of key legislation, regulation and industry codes(i.e. MAR / MiFIDII & FX Global Code
8
Responsibilities For Senior Associate, Compliance & Monitoring Resume
- Field actions: initiate , execute, report and close out all field actions, recalls and customer communications required for device and solution products distributed in Canada following Corporate and regulatory guidelines
- Self-Inspection program: perform internal audits as part of the internal inspection program to ensure continuous compliance of all Hospira Canada GMP related functions with applicable regulatory requirements and internal Quality policies and procedures
- Regulatory inquiries: receive and coordinate all regulatory inquiries to ensure adequate and timely responses to the regulatory agencies
- Deviation and CAPA: Conduct local investigations as needed to ensure continuous compliance with Corporate and local regulatory requirements
- Support the training and document control process owner through maintenance of the global training management system to ensure that local employee training and qualifications meet all regulatory requirements and by initiating and processing all documentation changes to ensure that most current versions are available to end users
- Assist in ongoing development and support of our US and global compliance program for Institutional Distribution
- Manage the compliance reporting process, including client certifications, DDQs and RFPs, liaising with Distribution, Operations, Legal and Portfolio Managers to obtain sub-certifications and facilitate appropriate questionnaire responses and maintain and update Compliance approved standard questionnaire responses
- Develop and review regulatory policies and procedures to manage and mitigate regulatory risk, and assist Institutional Distribution with developing or reviewing desktop procedures for the business
- Knowledge and understanding of the Investment Advisers Act of 1940
9
Responsibilities For Quality Associate, Compliance Resume
- Work closely with the firm’s registered broker dealer compliance team to stay coordinated on initiatives
- Work New York hours
- Partner with GIS to develop, document and establish formal security policies, standards, procedures and guidelines to meet the requirements of the organization
- Identify and evaluate vulnerabilities, risks and problem/issues, facilitate and develop solutions with owners, and facilitate implementation of timebound remediation efforts
- Participate in security awareness activities to develop messaging and attend meetings
- Maintain knowledge of new vulnerabilities, risk and tools/techniques to remediate
10
Responsibilities For Temporary Associate, Compliance Resume
- Track and report on status of remediation efforts and conduct compliance audits
- Exercise or deploy a wide range of public-source research techniques and create detailed narrative investigative reports, presentations and, recommendations
- Analyze customer account transactions to detect suspicious activity and make recommendations on appropriate action
- Work cooperatively with business line to establish procedures for identifying suspicious customer transactions specific to money laundering, including the proper workflow for reporting such activity to the anti-money-laundering group
- Work cooperatively and efficiently with local, state, or federal authorities to investigate suspicious account activity and respond to their inquiries and requests
- Heavy involvement in the Compliance training, education and communications plans, including supporting content creation, roll out and tracking
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