Compliance Assistant Resume Sample
Mortimer Konopelski
9591 Sanford Inlet,
Boston,
MA
+1 (555) 863 2752
Work Experience
Compliance Assistant Manager
09/2016
-
PRESENT
Chicago, IL
- Submits documents to international, federal, and state/local governments as required for product approval and registration
- Performs monthly reporting and tracking to update department and cross functional departments
- Maintains eligibility for brands/products to ensure speed to market
- Responsible for electronic filing of licenses, permits and registrations
- Updates SharePoint and other electronic forms of communication and documentation
- Maintains database for formula products
- Responsible for understanding and complying with applicable alcohol beverage requirements and regulations
Compliance Assistant Director
12/2013
-
04/2016
Houston, TX
- Monitoring and trending of micro results and ensuring compliance to specifications
- To undertake quality reviews of customer documentation, making recommendations for improvement
- To contribute to the development of departmental procedures and compliance controls through regular reviews and updates including approval of relevant procedures, to ensure standards are in accordance with regulations and associated legislation
- To identify, communicate and advise on changes in FCA and other associated regulatory and legislative requirements, so that the business meets regulatory and associated industry standards
- Where directed review requirements of the FCA handbook, news articles and relevant Consultation Papers and Policy Statements preparing a relevant summary report or bringing them to the attention of the Head of Compliance as necessary
- Remain current on all pertinent laws and regulations related to mortgage lending within the mortgage division. Establish or update guidelines for procedures and policies that comply with new and revised regulations
- Review mortgage related forms and procedures for compliance with mortgage regulations. Provide guidance and direction to management and other appropriate personnel on all matters pertaining to mortgage lending regarding regulatory compliance. Researches and responds to compliance-related questions from bank personnel
Compliance Assistant
01/2009
-
06/2013
Detroit, MI
- Manage 3rd party lab testing including both incoming raw and environmental monitoring program
- This would encompass submitting raw ingredient samples to 3rd party laboratory via electronic portal, monitor results, release lots when results approved
- Managing internal nutrition information for protein powder sample packs
- Serve as the liaison between production labeling room and compliance manager for immediate labeling updates, providing missing/new labels for label room, review all printed labels and provide sign off for label approval
- Manage transferring of all finished good labels into internal storage server
- Content review for Nutrition Compliance including
- Brief to design building
- Reviewing of externally produced labels
Education
Belmont University
2004 - 2009
Bachelor's Degree in Fabric Science
Professional Skills
- Good communicator both verbally and in writing, exhibiting good questioning and listening skills, including excellent report writing skills
- Good inter-personal, collaborative skills, rapport-building and communication skills and be a strong team player
- Possessing excellent communication skills, strong fundamentals and drive to succeed
- Experience of monitoring, risk management and/or internal audit skills
- Strong reporting and written skills
- Detail oriented with ability to organize data and documents; strong analytical skills
- Strong analytical skills and ability to organize data and documents with close attention to detail
How to write Compliance Assistant Resume
Compliance Assistant role is responsible for microsoft, analytical, excel, organizational, reporting, compliance, research, training, security, recruiting.
To write great resume for compliance assistant job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Assistant Resume
The section contact information is important in your compliance assistant 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 Assistant Resume
The section work experience is an essential part of your compliance assistant 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 assistant 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 assistant position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Assistant resume experience can include:
- Strong IT skills specifically Excel and Outlook
- Good English and Dutch written and verbal communication skills
- Strong Finance and Accounting experience with exposure working with internal and external auditors
- Valid Illinois driver's license and an excellent driving record, ability to read a map
- Excellent working conditions:good work-life balance. Salary package above market level
- Excellent working conditions: good work-life balance
Education on a Compliance Assistant Resume
Make sure to make education a priority on your compliance assistant resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance assistant 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 Assistant Resume
When listing skills on your compliance assistant 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 assistant skills:
- Strong interpersonal skills with the ability to work effectively with staff, partners, and the public and external agencies
- Effectively evaluate review results, weighing the relevancy, accuracy, and perspective of conclusions against the accumulated evidence
- Proactive, able to work on own initiative, with good organisation and time management skills and happy to work as part of a team
- Good written and verbal communication skills in English is essential
- Good organisation skills, with ability to work to tight deadlines and manage multiple tasks
- Strong oral and written communication skills are necessary as well as the ability to work independently
List of Typical Experience For a Compliance Assistant Resume
1
Experience For Finance & Tax Compliance Assistant Resume
- Proficient in Microsoft Office applications especially Excel skills
- Work effectively under pressure and ability to develop basic working knowledge of systems and spreadsheets
- Working experience with a corporate service provider
- At least 6 months experience working in a Division I NCAA compliance office
- Previous compliance experience, either within Investment Management, Banking, Brokerage or Regulator
2
Experience For Compliance Assistant Manager Resume
- 6+ months of raw materials and compliance experience
- Supplier Management experience is desirable
- Experience in logistics activities
- Experience in Supply Chain and import activities
- A strong administration background
- Experience in development of methodologies, tools, and service line delivery
- Experience with a Lloyd’s Market insurance firm / basic knowledge of the insurance industry
3
Experience For Compliance Assistant Director Resume
- Interest in and preferably some experience in compliance matters
- Experience with a Lloyd’s Market insurance firm / basic knowledge of the insurance industry is essential
- Experience with Compliance monitoring software (i.e. JumpForward/ACS/ARMS)
- More than 3 years working experience with a multinational company
- Meeting room bookings and associated hospitality requirements
- Recording our test work
- Updating our corporate database with the test results
- Assist with scanning, filing, proofreading and creating documents, as assigned
4
Experience For Compliance Assistant / Hmda Specialist Resume
- Perform various support functions such as data entry, scanning, copying and filing
- Methodical and diligent with outstanding planning and record-keeping abilities
- To support the team in drafting, updating and maintaining all compliance and associated policies and procedures for the GBS business as required
- Oversight of the Errors & Omissions process, including maintaining the E&O log and ensuring that the business follows the agreed approach
- Resolve any matches and/or false positives, including investigating and documenting
- Assist with gathering information on mortgage loans as needed for HMDA and Fair Lending Reviews
5
Experience For TMF Compliance Assistant Resume
- Assist with reviewing marketing materials and advertisements for regulatory compliance
- Provides assistance in managing regulatory agency examinations and implementing any recommended corrective actions
- Proficient with MS Excel and a basic understanding of double-entry book-keeping
- Responsible for handling of documents and maintaining a high level of confidentiality
- Escalation of outstanding employee attestations and training
- Assist with the on-going monitoring of the firm’s Compliance Program
- Assist with marketing review of firm marketing initiatives
- Conduct KYC-AML review and screening for client/entity onboarding
6
Experience For Italian Crossborder Compliance Assistant Resume
- An understanding of project accounting
- Provide support in creating working instructions and other documentation
- Provide input for decision-making to identify the root cause of problems identified within the loan review audit
- Assist with approving Bank of England Mortgage’s Third Party Vendor management program
- Performs periodic compliance testing to ensure legal and regulatory compliance in various areas of the mortgage division
- Adheres to all legal and regulatory requirements including the Bank Secrecy Act (BSA)
- Prepare supporting schedules that form basis for the European VAT returns
- Be flexible in a changing environment and work to strict deadlines
7
Experience For Tax Compliance Assistant Resume
- Maintain Filing Folders with currently filed and/or approved filings
- Maintain and update department charts including approved contract lists by client
- Maintain and distribute Filing Status Reports on various active filings
- Responsible for inputting NCAA compliance data
- Assist with verifying certification of eligibility
- Administratively support the Legal & Compliance Counsel and Department by assisting with multiple projects
- Serve as a backup for the administration of consumer complaints and the tracking system for insurance intelligence
- Respond to regularly occurring requests for information
8
Experience For Logistics Compliance Assistant Resume
- Coordination of Global Compliance training
- Undertake compliance monitoring on Code of Ethics related matters and produce associated Management Information
- Assist with maintenance of the Compliance intranet site regarding Policy updates
- Comfortable handling confidential information
- Perform compliance testing and prepare documents to record findings
- Help with cybersecurity oversight, including vendor due diligence process
- At least two years in a compliance support role, preferably in financial planning or investment related field
- Monitor coaches’ recruiting logs through JumpForward, expense reports and travel reports
9
Experience For Tax Credit Compliance Assistant Resume
- Monitor the progress of on-going matters. Identify problems and take action (in consultation with the Compliance Officer)
- Send periodical reminders to Client Account Managers on outstanding issues
- Assist the CMA Compliance Officer in ensuring compliance functions, policies, procedures are in place to meet Lloyd’s requirements
- Knowledge and /or familiar with Accounting Books of Account
- Some understanding of pensions, wealth management and employee benefit markets
- Support the investigation of regulatory complaints in accordance with DISP and maintaining the complaints register
10
Experience For Client Accounting Compliance Assistant Director of the Americas Resume
- Assist in the client due diligence process and the reporting of suspicious transactions
- Approve all client facing material promotions to ensure compliance with FCA rules and guidance
- Frequently perform desk-based computer tasks, seated work and use light/ fine grasping
- Perform internal review/assessment including mobilization reviews and on-demand reviews
- Keen interest in learning about tax and its interaction across Arup finance systems and projects
- Solves routine problems of limited scope and complexity following established policies and procedures, as well as regulations
- Proficiency in Microsoft Office, including Visio (2010 or newer) and SharePoint
List of Typical Skills For a Compliance Assistant Resume
1
Skills For Finance & Tax Compliance Assistant Resume
- Excellent working conditions: good work-life balance, opportunity to learn and develop
- Communicate effectively verbally and in writing with all levels and functions
- Prioritize multiple tasks well and have good time management whilst being well organized
- Able to effectively communicate with people internally and externally at all levels
- Interpersonal & communication skills to work with a variety of cultures
- Communicate effectively, both written and orally, with a broad spectrum of people
- Build strong relationships with strategic partners across the unit to ensure effective coordination of significant investigations
2
Skills For Compliance Assistant Manager Resume
- Five years' experience of Compliance, preferably in the investment and life protection sectors with ideally two years' experience of investment products
- Great organisational skills with superb attention to detail
- A desire to learn in order to develop their skills/career
- Two years experience in program management and/or compliance administrative support OR equivalent education/experience
- Proven ability to manage a multitude of priorities in a fast-paced environment
- Proficient computer skills in all Microsoft applications, Excel and Mortgage Loan Applications/Software) Encompass 360 desired
- Understanding and practical experience of tax accounting including VAT and withholding tax
- Experience disseminating information regarding policies through training, written and verbal communication, and reports
- Experience reading and interpreting documents such as safety rules, operating and maintenance instructions and procedure manuals
3
Skills For Compliance Assistant Director Resume
- Demonstrate personal commitment, acting with integrity displaying an open and trustworthy attitude
- Be effective in communicating review results, both verbally and in writing, so they are persuasive, placed in
- Experience managing high level administrative tasks in support of complex projects including
- Experience of dealing and supporting customers
- Previous experience working within an Insurance agency, company, and/or firm
4
Skills For Compliance Assistant / Hmda Specialist Resume
- Typically around 3-5 years of experience working in Finance
- Experience of working in a small company or team
- Experience working in a general compliance role
- Experience working in an NCAA Division 1 or 2 Athletics Compliance office for at least one (1) full semester/term
- Experience in screening tools an advantage
5
Skills For TMF Compliance Assistant Resume
- Experience of assessing financial promotions against regulatory requirements
- Demonstrated ability with databases, word processing and spreadsheet software
- Experience in managing high volumes of data
- Establish and maintain effective working relationship with co-workers, and residents of the community
- Compliance experience
- More than 1 year High Volume corporate finance experience
- Good knowledge of the UK regulation
- Experience of FCA systems
- Professional approach with a strong desire to learn
6
Skills For Italian Crossborder Compliance Assistant Resume
- Demonstrate a keen attention to detail in investigation, analysis, and writing
- Generally four years of experience in a professional office environment is required
- Previous experience as an NCAA student-athlete
- Experience with NCAA’s LSDBi and RSRO systems
- Experience in the Lloyd’s market an advantage
- Experience with CAi and LSDBi
7
Skills For Tax Compliance Assistant Resume
- Operate the compliance helpdesk and support the team to provide responses to all queries within agreed service standards
- Solid knowledge of Microsoft Office software (essential) and fund management systems (preferable)
- Good knowledge of FCA handbook
- Experience in a compliance function, ideally in a Wealth Management and Employee Benefit business
- Preferably experience within consumer credit market
- Take initiative, prioritize workload, follow up and work independently
8
Skills For Logistics Compliance Assistant Resume
- Tax credit experience required
- Inspect and document exterior modification projects throughout the residential community for conformity with prior written approvals
- Prioritise competing demands and service multiple stakeholders
- At least two years of athletics compliance-related work experience in intercollegiate athletics
- Administrative support experience preferably from another asset manager / investment bank
- Compliance Code of Ethics experience useful
9
Skills For Tax Credit Compliance Assistant Resume
- Experience with Windows, Word and Excel
- Independently manage and prioritize multiple projects
- Updating and circulating board-approved compliance policies and delivering compliance training programs as required
- Partnering the Training Manager to provide induction and refresher training on a variety of compliance topics and to update on changes in accounting standards
- Understanding of management accounting systems and ability to analyse data
- Understanding of Statutory accounts processes and the data underlying these
10
Skills For Client Accounting Compliance Assistant Director of the Americas Resume
- Distributing reports on a recurring basis
- Auditing and monitoring of company processes, procedures, and licenses
- Lifting boxes of up to 30/35 pounds
- Updating our process documentation
- Tracking compliance and requirements
- Reviewing complementary admissions lists
- Monitoring student-athlete practice time
- Assisting with student-athlete paperwork and the rules education program
List of Typical Responsibilities For a Compliance Assistant Resume
1
Responsibilities For Finance & Tax Compliance Assistant Resume
- Sarbanes Oxley experience required; Understanding of internal control concepts (COSO, COBIT)
- Comfortable working indoors in a controlled climate with proper lighting as well as in an outdoor setting with variable climate and lighting
- In- charge in maintaining Company’s Books of Account including printing and hard bound copy ( binding) for BIR compliance
- Proficient in accounting, auditing principles and practices, including US GAAP and statutory accounting
- Capable of working afternoon and evening hours including weekends and holidays as necessary. Flexible shifts as necessary
2
Responsibilities For Compliance Assistant Manager Resume
- Assist in maintaining support and fostering relationships internally and with federal, state and local regulatory bodies
- Maintains and monitors NCAA squad lists, team practice schedules, coaches’ telephone calls; monitors recruiting
- Lead the go live readiness review among all the new projects during transition
- Help coordinate Grant in Aid letters for new/returning student-athletes
- Ensure compliance with Fairfield’s Affordable Housing Policies & Procedures Manual
3
Responsibilities For Compliance Assistant Director Resume
- Manage the reporting related to Pension Funds (completion of annual reports in an automated system)
- Assist in managing compliance program projects and initiatives
- Complete licensure applications for new licenses as applicable and renewing all active licenses
- Assist in monitoring laws, rules, regulations, and Board of Pharmacy requirements
- Assist in obtaining new regulatory licenses and permits as business needs continually evolve
- Participate in ICT’s projects and initiatives to support our business partners
- Preparation of federal and state tax returns
- Arrange payments of VAT liability
- Ensure best practices are identified and adopted to ensure accurate compliance with regulations
4
Responsibilities For Compliance Assistant / Hmda Specialist Resume
- Liaise with wider business on any VAT-related compliance matters
- Assist Financial Accountant and Financial Controller with any ad hoc compliance requirements
- Knowledge of Infor Sun Systems and Vision Q&A would be an advantage
- Proactive and able to show initiative to constantly improve processes
- Researching and issuing interpretations of NCAA and Southern Conference rules and regulations for all seventeen sport coaches, as well as all student-athletes, Department of Athletics’ administrators and staff, institutional administrators and staff, and boosters
- Assisting with the monitoring and approval efforts of the Compliance Office as it pertains to most aspects of Bylaw 17, including but not limited to, declaration of all teams’ playing and practice season submissions, vacation period and final exam notifications/reminders, participation logs, practice logs, and competition schedules
5
Responsibilities For TMF Compliance Assistant Resume
- Monitor regulators’ web page and distribute required information to the team
- Travel (up to 25% )
- Manage multiple and varied projects simultaneously
- Participates in other projects and performs ad-hoc requests as required
- Evaluate process areas for application of internal controls, inclusion of regulatory and contractual controls
- Document results; in cases where control is deficient, provide recommendations for improvement and define business benefit
- Conduct time-sensitive, meticulous initial investigations, analyzing each instance of potential money laundering activity and/or suspicious financial activity across multiple jurisdictions and countries, utilizing a wide variety of research and analytical tools
- Support Compliance Function in establishing and performing regular monitoring tasks
6
Responsibilities For Italian Crossborder Compliance Assistant Resume
- Produce well-written reports detailing and analyzing potentially suspicious activity for review by a secondary reviewer
- Support Compliance Function in establishing compliance standards based on internal policies and guidelines / implementing procedures
- Assist with streamlining casework and with additional projects to aid the Investigations team
- Support Compliance Function in establishing processes and SOPs for relevant policies
- Put together informational packets including brochures, fact sheets, developmental checklists, and materials that are useful to children and families
7
Responsibilities For Tax Compliance Assistant Resume
- Utilize library software systems to retrieve and enter data
- Act as a resource person for parents and staff. Maintain, assist, and give instructions as how to access books, materials, or equipment. Check in/out books and materials. Keep a detailed account of the library’s inventory
- Administer a developmental screener every 6 months to each child on his/her caseload. Analyze results and provide verbal and written reports including recommendations as required. Share information with individual families and team members
- Provide developmental services to toddlers and families in the child’s home or other approved sites
- Provide support to parents, developing and maintaining a positive relationship with family members. Address family needs by providing education, information, and resources. Tailor the family service plan to meet the individual needs of each family including culture and language
- Maintain positive effective working relationships with Early Intervention staff and related agencies. Accept other job-related assignments as assigned by the Early Intervention Program Manager
- Knowledge and experience of understanding medical terms and language is desired
8
Responsibilities For Logistics Compliance Assistant Resume
- Act in the best interest of the SUU Early Intervention Program and Southern Utah University at all times
- Mail, photocopy, scan or fax as required by department personnel
- Maintain Forms Folders with currently approved forms
- Maintain CLIP Templates with up to date fill-in forms
- Update SRMS system with approved contracts and amended CLIPs
- Prepare CLIPs necessary for clients programs
9
Responsibilities For Tax Credit Compliance Assistant Resume
- Prepare and distribute Certificates for Providers
- Verify client licenses and work with Account Managers to keep up to date
- Assist with Monitor NCAA rules and regulations
- Work with Compliance Officer to collect required information for various reports requested by NCAA, CCAA and Chancellor¿s Office
- Draft general correspondence, memos, charts, tables, graphs, reports, etc.; review documents for spelling, grammar and format making appropriate changes; responsible for accuracy and clarity; and
- Understand applicable regulatory rules, guidance and policies
- Help monitor compliances systems in Front Rush (compliance software)
- Help maintain and organize appropriate paperwork related to compliance
10
Responsibilities For Client Accounting Compliance Assistant Director of the Americas Resume
- Help coordinate rules education and other compliance events for the department
- Monitor and review files for accuracy and timely collection of paperwork required for recertifications.
- Assist the compliance officers
- Be the administrative support to pension fund managers
- Monitor the community for compliance with the Community Guidelines
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