Compliance Analyst Resume Sample
Regan Thompson
24782 Brakus Skyway,
Philadelphia,
PA
+1 (555) 588 2141
Work Experience
Compliance Analyst
08/2015
-
PRESENT
Los Angeles, CA
- Manage multiple ongoing client inquiries across days simultaneously
- Monitor client issues requiring assistance from other groups within company
- Accurately complete all data and configuration related tasks
- Become knowledgeable in file layouts and logic required for standard and complex 605/606 processing and analysis
- Learn and follow relevant support procedures
- Reviews select communications and advertising materials, including new and modified products for compliance with applicable laws and regulations
- Reviews updated marketing materials ensuring adequate backup and accuracy of materials
- Maintains internal client relationships by demonstrating highest level of customer service and partnering with affiliated companies to gather information necessary to help evaluate client marketing materials
- Escalates issues of concern immediately to Compliance Specialist
Compliance Analyst
06/2012
-
02/2015
Phoenix, AZ
- Monitors and performs research, analysis, and interpretation of published and proposed regulations
- Compliance or audit experience with a financial institution or consulting firm
- Compliance & securities experience
- Proficient in MS Excel, Outlook, & Word
- Reviewing and researching personal trading activity for potential exceptions to mutual fund holding periods, restricted list prohibitions, short swing profit restrictions, and preclearance requirements
- Assisting compliance associates and employees throughout the Company with policy and procedural questions and issues
- Coordinating with members of Law and Compliance on critical issues involving the policy and personal trading violations
Education
University of Phoenix - Rockville Learning Center
2008 - 2012
Bachelor's Degree in Business
Professional Skills
- Strong communication skills, including report writing, presentation skills, listening skills and influencing skills
- Strong research skills, advanced skills in the use of MS Word, Excel, Outlook, and experience with the Internet and on-line research systems.Search Jobs US
- Strong organizational skills, with proven project management skills in a dynamic environment with tight deadlines
- Strong analytical skills, ability to work under pressure, Strong customer service skills
- Strong relationship building and collaboration skills with proven experience working with multiple business partners and stakeholders
- Excellent written and verbal communication skills including telephone etiquette and interpersonal skills
- Demonstrated ability to effectively communicate information and recommendations to executive management. Demonstrated leadership skills
How to write Compliance Analyst Resume
Compliance Analyst role is responsible for analytical, organizational, interpersonal, microsoft, excel, business, computer, research, presentation, compliance.
To write great resume for compliance analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Analyst Resume
The section contact information is important in your compliance 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
- Telephone number
Work Experience in Your Compliance Analyst Resume
The section work experience is an essential part of your compliance 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 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 position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Analyst resume experience can include:
- Excellent verbal, written and interpersonal communication skills, sound judgement and time management skills, focus on customer service
- Strong project management skills including collaboration, consultative facilitation, risk analysis, prioritization and project planning
- Strong planning, organizational and prioritizing skills at strategic and tactical level
- Strong and proven problem solving and reporting skills
- Proven PC skills, good working knowledge of excel/access/VBA would be advantageous
- Excellent organization, prioritization skills, attention to detail, and disciplined to work independently
Education on a Compliance Analyst Resume
Make sure to make education a priority on your compliance 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 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 Resume
When listing skills on your compliance 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 skills:
- Proven oral and written communication skills with a strong detail and analytical skills
- Prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential
- At least one year experience in each of the following: CDD/AML, analytical experience, and detection experience. CDD/AML skills are absolutely most important
- Demonstrated strong analytic skills, resourcefulness, problem-solving abilities and attention to detail
- Effective time management skills, with the ability to manage multiple priorities and assignments
- Good attention to detail and excellent analytical skills
List of Typical Experience For a Compliance Analyst Resume
1
Experience For Compliance Analyst Resume
- Proven investigation skills, including interviewing skills
- Strong written and verbal communication skills. Facilitation skills. Ability to prepare and/or present materials, with leader support
- Excellent interpersonal skills with the ability to communicate effectively with all levels
- Strong writing and presentation skills, and the ability to communicate effectively
- Excellent presentation, oral and written communication skills including letter composition and computer skills (Word, Excel and PowerPoint)
- Strong Relationship, Communication and Influencing skills, Good Business Acumen
2
Experience For Compliance Analyst Resume
- Excellent organizational skills with the ability to meet deadlines in a fast paced environment with changing priorities
- Excellent verbal and written communications skills in English. Solid report writing on internal control findings is required for this role
- Very good organizational skills with the ability to prioritize and multi-task
- Compliance in the financial services industry or other work experience in the financial industry which demonstrates research/analytical skills
- Solid critical thinking, ability to act as a gatekeeper, knowledge of and ability to apply problem-solving and decision-making skills
- Strong problem solving and critical thinking skills while managing multiple tasks simultaneously
- Strong computer skills including proficiency in Microsoft Office products and process mapping software (Visio or similar)
3
Experience For Compliance Analyst Resume
- Experienced in charting and graphing skills
- Experience of relevant payroll tax compliance experience, including experience with multi-state taxation
- Highly organized with strong analytical and computer skills
- Excellent research, internet search, and analytical skills
- Diligent and energetic individual with excellent communication skills
- Strong analytical, writing and verbal communication skills
4
Experience For Compliance Analyst Resume
- Excellent communication skills/personable
- Strong all round analytical, verbal and numerical skills
- Good basic computer and data entry skills
- Demonstrated ability to effectively communicate and influence stakeholders across the business
- Strong research and communication skills, including the ability to take complex information and present in a clear and concise manner
- Excellent verbal and written communications skills with ability to interact positively with a wide variety of individuals including senior leadership
- Demonstrate accuracy and close attention to details to analyze information effectively
- Demonstrated time management skills and the ability to manage multiple initiatives simultaneously
- Excellent planning and organisational skills with an ability to meet tight deadlines
5
Experience For Compliance Analyst Resume
- Display strong analytical and problem-solving skills
- Possess strong research, investigative and analytical skills
- Complete the Good Guy validation efforts to ensure that all Good Guys meet the newly created rules and finish the cleanup
- Strong written and verbal communication skills, with the ability to simplify complicated messages relating to compliance issues
- Excellent skills using MS software, especially Excel and BRS(BlackRock Solutions) recommended
6
Experience For Compliance Analyst Resume
- Strong systems application and software skills, including Lotus Notes, Microsoft Word, Excel
- Excellent technology skills using MS software (Excel, Word, PowerPoint)
- Strong organizational, communication, and diplomacy skills
- Strong interpersonal skills and the ability to influence various constituencies
- Strong problem solving and analytical skills including the ability to conceptualize and break down complex issues into actionable tasks
- Strong collaboration skills across all levels of employees
- Excellent data management/Excel skills
7
Experience For Compliance Analyst Resume
- Excellent people and communication skills, able to comfortably make presentations to all levels of management
- Excellent analytical skills, including the interpretation of federal and state laws and regulations,
- Excellent organizational skills, and ability to meet multiple deadlines,
- Demonstrated presentation development and presentation skills to large groups
- Multi-task well, possess good time management and organisational skills
- Strong analytical and process oriented skills
- Strong writing and analytical skills required
- Professional, Technical Skills & Experience
- Generally strong communication skills
8
Experience For Compliance Analyst Resume
- Excellent English written and verbal communication skills, another European language is an advantage
- Strong presentation skills
- Understanding of continuous improvement and ability to effectively incorporate into daily work
- Testing and analytical skills
- Skills in researching, analyzing, interpreting, and applying federal, state, and local laws, rules and regulations
- Effectively and independently perform on-going monitoring and testing of mortgage activities to ensure compliance with applicable laws and regulations
- Work in a trading desk environment as well as part of a team and effectively communicate with the trading desk
9
Experience For Compliance Analyst Resume
- Communication, Organizational, Analytical, Planning and Decision-making skills required
- Work effectively with business unit staff of all levels, actively listening to others and providing feedback
- Strong skill set for locating and researching applicable laws and statutes
- Experience with IT Verification and Validation, Quality Assurance and/or and Testing Metrics Reporting
- Experience in Compliance with deep knowledge of Compliance requirements and activities combined with a solid business understanding across the bank
- Maintain a high level of compliance awareness and knowledge to effectively support credit card operation and servicing functions
10
Experience For Compliance Analyst Resume
- Effectively utilize personal computers, general office equipment and Windows based programs such as Word and Excel
- Advanced MS Excel skills (pivot tables, complex formulas)
- Exhibit leadership capabilities and the ability to listen to and communicate with staff and field effectively
- Advanced Microsoft Office and Microsoft Windows skills
- Effectively manage, monitor, track and report on all testing engagement activities
- Understand loan origination and closing process, including compliance requirements, with sufficient detail to be able to effectively audit loan files
- Develop project plans, effectively execute them and deliver results
- Proficient/experience in MS Outlook, Office, Excel, PowerPoint, WordProficient/experience in SAP, Workday, Salesforce.com
List of Typical Skills For a Compliance Analyst Resume
1
Skills For Compliance Analyst Resume
- Strong ability to communicate effectively both verbally and in writing and possess excellent interpersonal skills
- Good writing skills and proper grammar knowledge needed to effectively communicate compliance exceptions to lending personnel
- Strong interpersonal skills and ability to work effectively at most levels of the company
- Experience in audit/compliance or similar experience in applying analytical skills to assess adherence to established policies or guidelines
- Strong analytical skills with a proven ability to collect interpret and analyze data to identity and assess potential or existing compliance issues
- Excellent interpersonal skills, with a proven track record of establishing credibility with key customers (internal and external)
- Strong communication, interpersonal and organizational skills; ability to multi-task and prioritize
- Have superior communication skills and can effectively communicate with individuals at most levels of the company as well as with people of different cultures
- Demonstrated experience with audit skills, controls, security and related industry regulatory issues
2
Skills For Compliance Analyst Resume
- Good organizational, prioritization and problem solving skills
- Strong analytical, and problem-solving skills with the ability to multi-task while meeting tight deadlines
- Strong reporting writing and presentation skills
- Experienced managing a high volume of emails; able to prioritize emails and adjust to changing priorities
- Effective planning, organization, and decision-making skills
- Strong analytical abilities, drafting and verbal communication skills, and numeracy
- Strong written and oral communication skills, including ability to conduct interviews as well as draft clear and concise reports and written communications
3
Skills For Compliance Analyst Resume
- Skilled in project management and delivery including proven ability to initiate and manage multiple projects and priorities
- Excellent independent judgment and decision-making skills, with the ability to know when to ask questions and seek guidance and approval
- Strong IT skills – including Microsoft packages
- Strong PC skills, including Microsoft Excel, Word, and PowerPoint
- Strong written and verbal communication skills for the reporting of results
- Strong communications skills, ability to work under pressure and cross-cultural sensitivity are required to quickly adapt to changing tasks and workload
- Review evidence and verify that controls are designed and operating effectively and comply with security requirements to PCI DSS, HIPAA, and client contracts
- Strong interpersonal, team and customer service skills to be able to interact and build relationships with all levels of staff including senior management
- Excellent computer skills with superior knowledge of MS Office, including Word, Excel, Access and Power Point)
4
Skills For Compliance Analyst Resume
- Strong English language skills, and any additional languages
- Excellent computer skills (Especially MS Word, Excel, and PowerPoint)
- Total years and type of prior related experience: 2-5 years related compliance experience
- Effective partnering, communications and facilitation skills
- Effective problem solving skills – identifies problems and propose solutions
5
Skills For Compliance Analyst Resume
- Detail oriented with solid follow-up skills
- Excellent interpersonal skills with the ability to engage and influence at all levels
- Excellent communication (both written and oral) and organizational skills
- An independent worker who enjoys a fast-paced environment with strong organizational skills
- Demonstrates high level of organizational skills and attention to detail
- Proven ability to influence effectively at all levels of the organization
- Possess strong research , investigative and analytical skills
- Strong computer skills, specifically MS Office (PowerPoint, Excel and Word). Able to learn quickly other computer applications and packages
- Excellent reading, writing, and communication skills
6
Skills For Compliance Analyst Resume
- Able to work in an international environment with excellent communication skills
- Good communication skills, both oral and writing, with the ability to work on multiple tasks simultaneously
- Have excellent problem-solving skills and can gather information, organize, analyze it and as necessary, help develop appropriate options and actions
- Excellent Organizational, Leadership, Decision-Making & Communication Skills
- Articulate with excellent verbal, written and IT communication skills; competent in report writing to a professional standard
- Strong organizational skills with the ability to manage multiple tasks and projects
- Excellent PC skills, particularly with Microsoft Office applications
- Strong in organizational and project management skills
- Demonstrated research and problem solving skills.+
7
Skills For Compliance Analyst Resume
- Excellent oral and written communication skills with the ability to apply
- Good business and documentation writing skills
- Being a ‘self-starter’ with Project management or similar organizational skills
- Working experience of maintaining compliance with Sarbanes-Oxley regulation and/or Good Laboratory Practices principles
- Auditing / testing experience including experience developing and communicating test plans as the Lead Auditor / Tester
- Prior experience working with training vendor's Learning Management System
8
Skills For Compliance Analyst Resume
- Effectively makes decisions by gathering data/input, weighing risks, pros/cons and choosing the best solution based on company values
- Solid understanding of and experience in working with large volumes of data
- KYC and CDD/EDD experience, including good understanding of various corporate structures
- Knowledge of mortgage lending, regulatory compliance research acumen with systems user acceptance testing skills
- Prior experience in performing statistical or operational analysis and reporting
- Previous experience in compliance or banking experience, such as auditing, loan review, database management, or legal
- Related work experience related industry experience dealing with compliance monitoring
- Effectively communicating and working closely with LPL Business partners
9
Skills For Compliance Analyst Resume
- Research skills, reporting research results, informing others
- Advanced computer skills, working in various system applications and MS Office Suite
- Possesses analytic, technical, and problem solving skills and abilities
- Reviews data from various sources and compares results to regulatory guidance, using data analysis skills and tools as described above
- Experience in financial services with a good understanding of the market place Languages an advantage
10
Skills For Compliance Analyst Resume
- Effectively communicate ideas, issues and solutions to diverse audience in writing and orally
- Demonstrate strong collaboration and teamwork with account wide team and proactively share and reapply all learning’s, successes and best practices
- Up to two years relevant business support and/or general analysis experience that demonstrates a basic understanding of AML and/or sanctions regulations
- Compliance experience within the banking or financial services industry (strong preference)
- Team oriented – ability to apply analytical and decision-making skills in a collaborative environment
- Basic data handling Skills
List of Typical Responsibilities For a Compliance Analyst Resume
1
Responsibilities For Compliance Analyst Resume
- Track all outstanding documentation where temporary exceptions have been granted or transaction monitoring Request for Information (RFI) and follow-up with the business and Management as needed
- Understanding high-complex processes, making judgment calls which require strong interpretation skills
- Demonstrate leadership skills by mentoring & training junior staff
- Demonstrates an aptitude and willingness to work effectively with detail, and be comfortable auditing and monitoring
- Excellent written and oral communications skills with ability to generate professional communications and training material
- Strong organizational skills including the ability to manage multiple tasks and projects simultaneously and meet deadlines
- Strong organization, communication, and time management skills
2
Responsibilities For Compliance Analyst Resume
- Auditing / testing experience including experience documenting test results and workpapers and communicating test results
- Project management, influencing, coaching and consulting skills
- Experience with a gaming company’s licensing or compliance or internal audit department or equivalent experience
- Review remediated findings (requirements, solution and control design, testing and deployment)submitted by business owners prior to third line validation
- Gathers evidence of compliance and completes evidentiary review forms prior to closing out CAP related activities
- Great interpersonal and time management skills
- Effectively communicates regulatory issues to Operations in order to ensure process compliance and adherence
3
Responsibilities For Compliance Analyst Resume
- Strong experience working with Microsoft Office suite,
- Able to effectively build and leverage relationships at all levels within the organization
- AML Compliance experience, preferably with policy/governance, project management and/or risk management experience
- Managing data including validating data, exploring new data sources for quality, and transforming data into impactful information and intelligence
- Programming experience, especially C, VB Scripting, MS SQL, MS Access, Oracle
4
Responsibilities For Compliance Analyst Resume
- Supporting Good Guy clean up efforts
- Developing a solid understanding of data used for surveillance purposes
- Developing a strong relationship with Line of Business Compliance team members and other key stakeholders in the Corrective Action remediation process
- Thinking “out of the box” and summarizing complex issues into management level statements. Therefore, consulting experience is beneficial
- Perform adhoc monitoring and testing as necessary, including validation testing
- Demonstrates willingness to be a contributing and engaged member of team by sharing knowledge, working towards common goals and maintaining a positive attitude
- Completes effective data entry and tracking of all required reports for program reporting and tracking requirements
- Project coordination experience; gathering requirements, developing tactical plans, driving
- Compliance experience, with emphasis on Consumer Regulations including a working knowledge of applicable law and regulation requirements
5
Responsibilities For Compliance Analyst Resume
- Experienced in project management, process mapping and process re-engineering
- Able to manage competing priorities as it relates to testing and business needs
- Support the development of a monitoring and auditing program for prioritized risk programs
- Excellent understanding of compliance regimes, including ability to interpret AXP compliance requirements under laws and regulations
- Previous experience working with legal terminology and / or performing legal research
- · Comfortable with balancing multiple, competing priorities and changes in scope / direction
6
Responsibilities For Compliance Analyst Resume
- Strong understanding of financial markets and investment management processes, including the drivers behind market movements
- 1 – 2 years of experience related to compliance, audit, risk or regulatory management, and be familiar with tracking issues and compiling management reports
- Demonstrate success of navigating in a global organization, including the ability to influence others
- Surveillance or trading experience covering a variety of financial products (beneficial)
- Strong working knowledge of Compliance surveillance systems including MyComplianceOffice, Actimize, Bloomberg
- Experience compiling and reviewing data to develop error - free reports
7
Responsibilities For Compliance Analyst Resume
- Experience building and maintaining SharePoint sites
- Previous AML/Compliance experience and understanding of Compliance typologies used in money laundering
- Develop and maintain a good knowledge and understanding of all laws and industry standards affecting Equifax’s operations in Australia and New Zealand
- Two (2) years of financial institution experience (e.g., Lending, Branch Banking, Corporate Operations, Financial Crimes or Fraud)
- Experience working with law enforcement or government agencies – knowledgeable in regulatory issues relating to security
- Experience in planning and managing strategic security programs’
- Experience with database management and MS Office and be comfortable with managing and entering data
8
Responsibilities For Compliance Analyst Resume
- Experienced working for a foreign banking organization
- Experience working with a medical device or manufacturing company
- ) of work experience in compliance, banking or finance related role
- Previous experience in auditing role is an asset
- Strong knowledge of reimbursement regulations, coding guidelines and compliance policies
- Demonstrate initiative, imagination, resourcefulness, creativity, and independent thinking
- Establish and maintain excellent working relationships with peers, internal colleagues, and clients
9
Responsibilities For Compliance Analyst Resume
- Validate results of monitoring programs and make recommendations to improve or upgrade processes as needed
- Experience with the healthcare and/or compliance industry in either a provider or academic setting
- Work with the CCG team to develop metrics and reporting tools to measure the effectiveness and efficiency of processes or systems
- Three or more years experience working in a healthcare industry or clinical environment
- Excellent understanding of contract calculations
10
Responsibilities For Compliance Analyst Resume
- The ability to work well with people from many different disciplines with varying degrees of business and technical experience
- Maintain effective collaborative working relationships with internal staff
- Indirect auto lending experience helpful
- Investment Compliance or mandate monitoring experience (2+ years) from either a custody or funds management background
- Previous gaming regulatory agency experience
- Experience writing SQL queries
- +HTML, CSS experience creating web pages
- Solid understanding of insurance operations and of the related legislative, regulatory, and in-house compliance policy requirements associated with them
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