Compliance Administrator Resume Sample
Alexander Nolan
7958 Shannon Inlet,
Philadelphia,
PA
+1 (555) 580 2833
Work Experience
Compliance Administrator
09/2017
-
PRESENT
Philadelphia, PA
- Assists with monitoring fund compliance on a daily/weekly basis with consideration to investment restrictions detailed in Prospectus, Statement of Additional Information and Investment Company Act of 1940
- Assists with monitoring fund compliance with consideration to the quarterly and annual requirements of Internal Revenue Code for qualifications as a regulated Investment Company
- Prepares initial compliance reporting to be provided to clients following each month end
- Reviews investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for new fund launches and existing clients
- Populates data into compliance system as needed
- Works with team leads to respond to client requests and inquiries with respect to compliance matters
- Reviews all new client account applications to ensure forms are completed correctly and the necessary disclosures have been provided
- Verifies accuracy of Qualified Plans, Participants, Core Accounts and other assigned items before account funding
Trade Compliance Administrator
10/2013
-
06/2017
Houston, TX
- Performs random checks of processed paperwork and accounts
- Implements and ensures effective controls and checks are in place for the new account process to reduce errors
- Coordinates review of new or revised custodial forms with internal associates
- Updates new account procedures based on new policies, new workflows, internal audits, compliance and regulatory changes
- Ensure that existing stores are properly licensed to operate
- Oversee the business permit process for all existing Shake Shack locations
- Ensure the prompt resolution of violations associated with the licenses being managed
- Maintain the store license profile in the company’s third party vendor database, updating license information and documents
- Prepare the license and fees account budget annually
Contract Compliance Administrator
04/2009
-
06/2013
Boston, MA
- Correspond with state, county and local agencies to ensure proper compliance with license and permits requirements
- Participate in special projects related to licenses and permits and proactively seek to improve department processes
- Broad knowledge and experience in operations
- Demonstrated skills in preparing spreadsheets, reports and presentations
- Work together with global teams to keep track on compliance records, like test reports, for all manufactured products. Support in uploading documents to our global repository and ensuring all documents are available and updated
- Run queries in search tools and inform the business in case of updated standards and regulations requiring potential update of compliance records
- Be super-user for our compliance software
Education
Antioch University Santa Barbara
2004 - 2009
Bachelor's Degree in Business Administration
Professional Skills
- Excellent interpersonal skills and proven ability to interact effectively with all levels of an organization
- Excellent working knowledge of NCAA Division I rules; excellent written and oral communication skills with strong attention to detail
- Demonstrate excellent customer service and interpersonal skills
- Key Skills/Functional Skills Level 1
- Experience with information systems conversions, excellent computer skills on various systems
- Proven excellent communication and influencing skills
- Exceptional customer service skills and understanding of the holistic client experience
How to write Compliance Administrator Resume
Compliance Administrator role is responsible for organizational, interpersonal, analytical, compliance, computer, customer, research, database, access, organization.
To write great resume for compliance administrator job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Administrator Resume
The section contact information is important in your compliance administrator 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 Compliance Administrator Resume
The section work experience is an essential part of your compliance administrator 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 administrator 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 administrator position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Administrator resume experience can include:
- Excellent interpersonal and customer service skills, including the ability to interact effectively with a diverse constituent population
- Skills: Excellent Written and Verbal Communication Skills. proficient with basic Microsoft Office suite. attention to detail. motivated. self-starter
- Strong interpersonal and communication skills necessary to interact professionally and effectively with a variety of internal and external contacts
- Demonstrated organizational skills, attention to detail, and analytical skills
- Strong organizational skills for prioritizing and performing multiple projects and tasks while delivering consistent quality work product
- Strong organizational skills with attention to detail and the ability to prioritize and organize assignments and proofread carefully
Education on a Compliance Administrator Resume
Make sure to make education a priority on your compliance administrator resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance administrator 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 Administrator Resume
When listing skills on your compliance administrator 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 administrator skills:
- Skills:This job requires strong computer literacy skills and familiarity with current technologies regarding communication and file sharing
- Evidence of strong time management and organizational skills
- Advanced verbal and written communication skills and ability to effectively communicate in a clear and concise manner
- Utilize good interpersonal, verbal and written communication skills
- Strong administration and secretarial skills
- Strong verbal, presentation, and written communication skills. Ability to communicate and provide guidance to all employee and client levels
List of Typical Experience For a Compliance Administrator Resume
1
Experience For Trade Compliance Administrator Resume
- Recommending changes to standard operating procedures to increase efficiency and effectiveness
- At least three (3) years’ experience interfacing with government agencies and regulatory requirements for the power industry
- 3 – 5 years working in a highly regulated industry or equivalent experience
- Experience working in cross-departmental collaborative teams
- Evidence of being self-directed, ability to work under little supervision
- Manage multiple tasks and adapt to changing priorities in a fast paced environment
- Knowledge of or experience with legacy systems such as SAP, Oracle, Peoplesoft
- Demonstrate initiative and ability to accept responsibilities with minimal supervision
2
Experience For Senior Compliance Administrator Resume
- Assists in compliance activities within TSCA, Dangerous Goods etc applicable to import and export activities
- Understanding of market data exchange rules relating to unit of count and reporting obligations
- Handling regulatory & licensing questions while fostering a productive business relationship with regulatory bodies
- Maintaining Trade Compliance documentation in support of the site record keeping requirements
- Unwavering commitment to compliance and customer service
- Performing audits of import and export documentation for the US and Latin America’s transactions
- Engineering of system administration related solutions for various project and operational needs
- Implementing University and Institutional Review Board (IRB) policies and directives
3
Experience For Contract Compliance Administrator Resume
- Helps manage submissions, such as responding to incoming messages, archiving printed documents, and maintaining organization of all communications
- Perform routine administrative activities such as schedule management, making travel arrangements, processing invoices, staging meetings, etc
- Responsible for supply ordering, purchasing card management and accounting code usage
- Execute existing/developed compliance metrics tracking and reporting; create various reports with target markers and trend-lines
- Supports the Compliance reporting process including gathering information and report preparation
- Adept at creating and developing efficiencies to streamline business processes
- Maintains on-going communication with sites to assist with license requirement planning and to address daily operations or questions
- Provides support to teams responsible for resolving student issues related to credentialing
4
Experience For Risk & Compliance Administrator Resume
- Administer special invoicing budget tracking
- Administer special invoicing amp; budget tracking
- Assist in reviewing information for internal and external audits and supplying additional information as requested
- Perform congruency reviews by reading sections from grant proposals and comparing them to IACUC, IBC, and/or IRB approved protocols
- Assists in gaming compliance and licensing matters, as necessary
- Submits quarterly reports to Nevada Gaming Control Board detailing all machine and software shipments
- Work with Group and Corporate level resources on Public Sector reporting
- Problem-solving expertise with an ability to participate in and lead cross-functional teams
5
Experience For Senior Payments & Compliance Administrator Resume
- Adapt and update a process/process documentation in response to evolving needs
- Fulfills periodic and ad hoc regulatory and Board of Directors’ reporting
- Ad Hoc projects supporting USBI broker-dealer compliance
- Monitor for new guidance from Health and Human Services (HHS) and other regulatory entities regarding the Affordable Care Act or replacement legislation
- Assist with the Qualified Health Plan (QHP) regulatory product filing submission, resubmission, and correction notice responses
- Prepare Exchange Compliance agendas and meeting minutes for formal discussions with CMS
- Assist Exchange Operations with First Tier, Downstream, and Related Entity (FDR) program development, monitoring, and oversight efforts
- Monitor compliance department’s mailbox and assign marketing materials to appropriate Registered Principal for approval
- Responsible for the on-going submission to Customs and Border Patrol, of Crestron’s Duty Drawback Program
6
Experience For Contractor Compliance Administrator Resume
- Work with Shipping Department to pick, pack and process deliveries in accordance with Crestron’s End of Month/End of Quarter commitments
- In conjunction with Trade Compliance Team, conduct training and audits, to ensure import/export compliance policies and procedures are followed throughout AFSR
- Prepare & file license applications according to regulatory agency requirements
- Temporary, long term with possibility of permanent hiring - 33-40 hours/week
- Provides guidance to internal stakeholders regarding the impact of regulatory requirements on business objectives
- Monitors and revises language for the University’s student-facing documents to ensure compliance with state regulations
- Responsible for compiling scorecards/performance metrics
- Prepare a variety of reports and conduct basic analysis using PC and mainframe programs
- Assist Cross Bore Safety Initiative Project Specialist with reporting and data collection
7
Experience For Ethics & Compliance Administrator Resume
- Responsible for departmental data base development and support including data conversions, maintenance and analysis
- Develop and maintain service-focused working relationships with Operations partners
- Responsible for Quality Assurance and control of all recordkeeping associated with cross bore investigations and create reports as needed
- Monitor compliance to regulations with regards to Embargoed and Sanctioned countries including Nuclear Sales
- Manage the security screening program administration process
8
Experience For Fleet & Compliance Administrator Resume
- Provide guidance to Alternate Company Security Officers (ACSOs) on security screening requirements
- Assist the Director in developing compliance solutions that enable to business
- Responds to internal and external inquiries, redirecting the inquiry as required
- Assist CMA Cross Bore Safety Initiative Program Specialist with reporting and data collection
- Maintain regularly scheduled Supply Management reporting as required
9
Experience For Research Compliance Administrator Resume
- Attention to detail and commitment to meeting time sensitive deadlines
- Proficient in Microsoft Office programs including Microsoft Word & Excel
- Work together with global teams to create and maintain an informative product regulatory compliance Microsoft SharePoint site (Intranet)
- Participate in creation and maintenance of global and local compliance procedures
- Create and publish key performance indicators
10
Experience For Technical Compliance Administrator Resume
- Administrative support to local team and global lead
- Support the execution of the compliance action plan to address any identified gaps in compliance and documentation practices
- Work closely with Franchise Administrators and other staff to enable them to identify and properly archive documentation of previous events and activities in Zinc
- Provide administration support to the compliance function including working with Zinc, preparing Excel spreadsheets, drafting of Word documents and Powerpoint slides and general office support if needed
- Support the Legal & Compliance Head, Country Compliance Head and Compliance Manager in elevating compliance in the country organisation
- Escalate any identified compliance risks in context of executing remediation plan
List of Typical Skills For a Compliance Administrator Resume
1
Skills For Trade Compliance Administrator Resume
- Strong leadership, project ownership and management skills
- Excellent communication skills sufficient to resolve numerous problems or conflicts throughout the day
- Effective written and oral communication, presentation, persuasion and negotiation skills
- Proficiency in prioritization, time management, and change management skills
- Excellent organizational skills and ability to manage multiple projects at once, drive execution and meet deadlines
- Strong interpersonal skills and the ability to deal comfortably with all levels of the organization
- Excellent analytical and communication skills - like to write and have easy to make complex messages simple
2
Skills For Senior Compliance Administrator Resume
- Strong written and communication skills, with emphasis on phone and email interactions
- Strong desire to help make our small team more effective and efficient with feedback from experience
- Excellent communication, presentation, and writing skills with the ability to clearly communicate complex information to regulators and staff
- Excellent technological skills and the ability to become proficient in new systems
- Strong communication, collaboration and time management skills
- Excellent writingand verbal skills
- Engaging communication and interpersonal skills
- Business experience working in a high-pressure environment that requires multi-tasking, prioritizing and flexibility
3
Skills For Contract Compliance Administrator Resume
- Prior experience with using online training tools and data management systems
- Use analytical and creative problem-solving skills
- Experience with U.S. lobbying or regulatory expenditure requirements strongly favored
- Prior experience as a Customs Administrator and/or Export Administrator or Broker
- Extensive knowledge and understanding of skills funded programmes, assessment practice and eligibility criteria
- Prior experience with federal grant and contract regulations in an institution of higher education
- Multi-task effectively in a matrix team, high attention to detail, and the ability to think critically
- Possess positive interpersonal and phone communication skills
4
Skills For Risk & Compliance Administrator Resume
- Continuously interact effectively and professionally with all levels of staff
- Listens effectively and clearly presents information
- Effectively and consistently uses the communication tools available
- Demonstrated leadership experience with complex programs and projects
- Experience with large corporation in compliance areas strongly favored
5
Skills For Senior Payments & Compliance Administrator Resume
- Prior experience in a University environment
- Demonstrated ability to take initiative and identify, prioritize, and plan tasks and projects necessary to meet goals
- Evidence of good critical thinking, judgment and problem solving
- Demonstration of professional verbal and written communication skills
- At least five years of experience in a business or academic environment; or an equivalent combination of education and/or experience
- Work effectively and meet tight deadlines in a fast-paced environment
- Strong experience in an administration and customer service role
- Understanding of recent U.S. Export Control reforms and initiatives, including a solid understanding of exceptions and exclusions
6
Skills For Contractor Compliance Administrator Resume
- Accounting knowledge and/or background experience
- Experience of managing projects and implementing, reviewing and improving process
- Good working knowledge of operating / co-ordinating quality assurance systems
- Experience querying databases or using ad hoc querying tools
- Proficient at managing and understanding the impacts of competing deadlines and priorities
- Demonstrated proficiency in developing, writing and implementing institutional policies and procedures
- Experience as a compliance professional, including reading and interpreting contracts
- Smoothly handles multiple demands, shifting priorities and adapts to rapid change. Adopts a calm and professional outlook to competing demands
- Conduct quality control review of HMDA and other regulatory reporting. Report back to lenders to rectify loan file information prior to receipt by Accounting
7
Skills For Ethics & Compliance Administrator Resume
- Experience in creating and delivering communication and education
- Experience in working with market data consuming application teams
- Relevant experience in compliance or legal department or a related position (including HR, regulatory, law enforcement)
- An improvement focus and experience of delivering continuous improvement
- Experience of documenting processes
- One to three months of relevant office experience and/or training
- Two years working experience in a Mutual Fund environment
8
Skills For Fleet & Compliance Administrator Resume
- Demonstrated performance in meeting time-sensitive deadlines with minimal supervision
- Experience in the natural gas operations (plant, construction, or training programs)
- Experience working in an IRB office, human subjects protection program or in a research coordinator role
- Experience evaluating social behavioral research
- 1 – 2 years’ experience utilizing general technical expertise required
- Experience in a team-based professional setting
9
Skills For Research Compliance Administrator Resume
- Experience with Federal reporting criteria and submission systems
- Demonstrated ability to think strategically and integrate export licensing requirements with LASP’s international research objectives
- Demonstrated ability to participate in multi-functional teams working to solve complex export/import problems and drive issues to conclusions
- Demonstrated understanding of research compliance issues and regulatory agency requirements
- Experience in working within Market Data Services
- Work experience, preferably in a professional licensing capacity, paralegal or law department support role
10
Skills For Technical Compliance Administrator Resume
- Solid understanding of Adobe Photoshop
- In a gaming experience required
- Demonstrated knowledge and competency in data management
- The ability to multitask, prioritize and manage own time
- Can prioritise and re-plan in a methodical manner (for self and others)
List of Typical Responsibilities For a Compliance Administrator Resume
1
Responsibilities For Trade Compliance Administrator Resume
- Demonstrated auditing, quality assurance or quality improvement skills
- Experience in higher level Academic Research Institutes and strong understanding of the Fundamental Research Exclusions
- Experience in meeting deadlines for high-quality, high-workload, and high-priority projects
- Demonstrated ability working with people in connection with challenging issues
- Experience in monitoring contracts/subcontracts of increasing complexity and value
- Work experience, preferably in a professional licensing capacity, paralegal orlaw department support role
- Regulated auditing or process review experience
- Or more compliance experience working in the safety, health and environmental field
- Experience in processing export licenses and agreements at the State and Commerce Departments
2
Responsibilities For Senior Compliance Administrator Resume
- Experience working on legal or contractual obligations with high level of confidentiality
- Excellent working knowledge of NCAA Division I rules
- Ensures the effective implementation of the organization’s Quality Control Program (QCP)
- Business experience (export and import)
- Understanding and ability to interpret contracts and pricing documents
- Working knowledge or operations support systems (e.g., Workbrain, Expense Reporting System, Work Management, CIS, GIS, etc.)
- Escalating critical Risk Events to Business Area leadership team
- Working knowledge of IT processes and controls, information systems’ infrastructure components, applications, and tools
3
Responsibilities For Contract Compliance Administrator Resume
- Understanding of product regulatory compliance requirements would be an advantage
- Computing proficiency, and the ability to manage data and generate reports
- Working knowledge of JumpForward
- Working knowledge of JumpForward and/or Teamworks
- Reporting System, Work Management, CIS, etc.)
- Develop an understanding of setting up contracts related to various channels of trade and managing the Franchise Trade Statement process for Retail Marketing
- Review all shipping requests from our shipping/receiving team to ensure all information is correct and verified
- Responsible for export paperwork and maintaining records of all employees exporting/importing military issued Personal Protective Equipment (PPE)
- Dailycommunication with licensing agencies regarding any licensing complianceissues
4
Responsibilities For Risk & Compliance Administrator Resume
- Assist indrafting policies and procedures regarding licensing compliance issues
- Manage the recurring fees and rent, making updates as the site portfolio change. Is able to research issues and provide updates and reporting as needed
- Support risk reporting and analysis requirements, including reporting used by the Risk Management Committees
- A commitment to professional development and ability to travel to national and regional meetings for training, updates, networking, and making presentations
- Access knowledge (including creation of queries, creating forms and running reports)
5
Responsibilities For Senior Payments & Compliance Administrator Resume
- Assists in the development and management of export/import training materials and provides training across the lab
- Along with the TCO for the site, acting as a point of contact for export and import transactions at the manufacturing site
- Ensure proper andtimely completion of all licensing requirements for all facilities, includingthe preparation and filing of license applications and renewals
- Respond toquestions from company personnel regarding licensing requirements
- Ensures timely and accurate processing of routine incentive payments associated with various marketing programs
6
Responsibilities For Contractor Compliance Administrator Resume
- Ensure timely and consistent follow up tracking the progress and working the case to closure
- Possesses a conceptual understanding of various forms of contracts and brand programs as it relates to Marketing
- Communicate with customers, Advisors and/or Credit Union partners, providing options and taking the necessary action
- Perform customer compliance and reliability screening using the MK Denial RPL tool, screen for EPCI end-use and end-users and review for Red Flags
- Self-motivated and interested in ongoing learning and professional development
- Schedule annual Insider Trading Prevention Training
7
Responsibilities For Ethics & Compliance Administrator Resume
- Manage the open requisitions in the Applicant Tracking System for most recent updates, reporting and postings to external job boards
- Assist with providing documentation requested by Programs that is needed during state audits
- Possess a broad knowledge of broker-dealer operating practices, including specific rules and industry practices
- Create and distribute monthly Tech Data Reporting Logs
- Escalate open items/no responses to Loan Officers and Loan Portfolio Manager in regards to unresolved or outstanding items past their due dates
8
Responsibilities For Fleet & Compliance Administrator Resume
- 20%: Attends IRB committee meetings, drafts the meeting minutes, and issues correspondence
- 10%: Audits protocols as part of a post-approval monitoring program
- Maintains the IRB database to track all active, pending, and terminated protocols/proposals
- Serves as the primary contact for regulatory authorities regarding product shipments
- Formulates and administers company policies relevant to order release for manufacturing and product shipments to ensure regulatory compliance
- Applies through knowledge of gaming regulations, markets, and compliance rules to all aspects of product release and shipment
- Above average level of understanding and usage of Microsoft Office products
- Maintain fundamental understanding of safe workplace practices and procedures
- Participates in the Safety or SHE associated meetings and training
9
Responsibilities For Research Compliance Administrator Resume
- Participation inthe design, implementation, maintenance and constant improvement of processes,controls and systems applicable to licensing compliance
- Assist inmonitoring compliance with Company-wide policies and initiatives
- Maintain files ofall documentation associated with licensing
- Utilize computer technology, including Excel, Word and Access
- Set-up, manage and process monthly recurring fees and rent associated with the various brand offerings
- Prepares contractual documents, including the preparation of contract terms and conditions, and assembles contract documentation package
- Advanced knowledge of source selection / evaluation process including cost and price analysis
- Maintain risk registers and issue management records to ensure accurate and timely reporting
- Support the monitoring of compliance in accordance with the appropriate company Policies, Standards and Procedures
10
Responsibilities For Technical Compliance Administrator Resume
- Provide guidance and oversee accurate preparation of import/export and shipping documentation for international shipments by personnel at various locations
- Assist with the firm compliance oversight and testing programs
- Develop and deliver regulatory compliance training
- Prepare and filing of firm regulatory filings
- Familiarity with rules and regulations affecting mutual funds, unit investment trusts, investment advisers and broker-dealers
- Compile, analyze, and create reporting of data
- Flexible and adaptable to working in different environments
- Easily adapt to a changing environment, procedures and work processes and keep current on latest changes
- An understanding of federal rules and regulations that relate to human subjects research
Related to Compliance Administrator Resume Samples
Compliance Audit Resume Sample
Work Experience
• Experience in pharmaceutical clinical research
• Responsible for designing and developing the methodology for conducting an enterprise wide compliance risk assessment for the purpose of developing an annual internal audit compliance plan, and developing a risk focused approach for scope and depth o...
Professional Skills
• High level of demonstrated understanding o...
• Excellent interpersonal skills in order to...
• Strong computer skills including proficien...
Compliance VP Resume Sample
Work Experience
• Providing advice to the GCB and CB business (at all levels) on regulatory issues, including updates, and assist in assessing the impact of any new regulations across the legal entities in Japan where the GCB and CB business resides, working closely with Treasury Service compliance officers, AML compliance officers, contr...
Professional Skills
• Balance competing priorities in a fast-pac...
• Existing Compliance knowledge and 7+ years...
• Experience performing trade surveillance a...
Supervisor, Compliance Resume Sample
Work Experience
• Assist in the drafting, enforcement, monitoring and provision of advice on Manulife’s compliance framework, compliance program, policies and procedures manuals
• Professional appearance and demeanor to represent the company’s image
• Ensure the company’s compliance regulation...
Professional Skills
• Excellent guest service skills; ability to...
• Upervisory or strong team leadership exper...
• Proven and progressive audit, compliance, ...
Mortgage Compliance Resume Sample
Work Experience
• Responsible for assisting with the ongoing development and implementation of the LOB Compliance Risk team’s strategic plan to accomplish its Annual Compliance Risk objectives
• Extensive knowledge of the assigned compliance area along with the associated operations, including the related rules and ...
Professional Skills
• Experience working in a production environ...
• Pulling and Pushing: Opening and closing f...
• Performing transactional testing of requir...
Team Lead, Compliance Team Resume Sample
Work Experience
• Communicate with lines of defense regarding information related to internal audits, KRIs and control tests
• Participate in the resolution of identified risks
• Research regulations to advise on application by the business unit
• Draft and revise polici...
Professional Skills
• Excellent IT skills including Word and Excel
• Strong verbal and written communication sk...
• Experience of process mapping and developi...
Audit Compliance Resume Sample
Work Experience
• Working knowledge of Canadian Federal and Provincial Privacy legislation, the Telecommunications Act, the CRTC UTRs, CASL, and any other emergent or existing regulations that impact the CCC’s policies or processes
• Scotiabank’s Privacy Code
• Working knowledge of the policie...
Professional Skills
• Considerable skill in effective verbal and...
• Strong written and verbal communication sk...
• SAS software implementation experience or ...