Compliance Associate Resume Sample
Adelle O'Keefe
8019 Shannon Passage,
Los Angeles,
CA
+1 (555) 890 6057
Work Experience
Compliance Associate
10/2017
-
PRESENT
Los Angeles, CA
- Great opportunity for an individual to build relationships across BlackRock’s businesses and Compliance teams both within UK and more globally
- Interaction with senior individuals across the firm
- Opportunity to bring fresh perspectives and innovation to drive evolution of processes
- Assist in the Federal and State aggregate spend reporting process, including data review and remediation
- Assess and monitor the compliance of promotion and/or non-promotional business activities within the U.S., including conducting transactional reviews and audits
- Support the development of cross-functional processes to ensure that clinical record deliverables are aligned with TMF standards
- Maintain effective cross-functional relationships to maximize contribution to quality activities
Compliance Associate Director
05/2012
-
09/2017
Houston, TX
- Facilitate TMF quality assessments including planning and preparation, execution, reporting of results, and assisting study teams with remediation and corrective actions
- Coordinate portions of cross-functional inspection readiness activities for programs as assigned
- Assist with Acquisition Assessment of TMF for products acquired through mergers and integrations
- Assist in the firm’s Employee Personal Trading and Household Account program
- Support the corporation’s global payroll tax compliance, in adherence with federal, state, and local laws
- The Compliance Associate regularly collaborates with colleagues including trading desk personnel and staff in the middle and back office, and the Capital Markets Compliance and Enterprise-wide Compliance Group
- Interacts regularly with Risk or Business colleagues specifically in Internal Audit and other operational/administrative areas
- Interacts with external parties such as regulators
Quality Compliance Associate
05/2008
-
04/2012
Philadelphia, PA
- Sound knowledge in financial products (such as FX, Fixed income, Swaps and OTC derivatives) and day-to-day sales and trading practices in capital markets trading environment
- Sound working knowledge of regulatory requirements
- Strong interpersonal skills and the ability to communicate and influence clearly and concisely, both in writing and verbally, in English and in Chinese
- Well developed analytical skills sufficient to convey factual and conceptual information on compliance issues requiring detailed explanation and interpretation
- Willingness to continuously upgrade skills
- Work with interruptions, switch gears quickly and balance competing priorities
- Hands-on knowledge of Microsoft Office applications, Bloomberg and surveillance tools
- Good knowledge of KYC compliance
Education
Everest University - Pompano Beach Campus
2003 - 2008
Bachelor's Degree in Business
Professional Skills
- Comprehend and apply other applicable laws and regulations, including those governing the firm’s ERISA clients and operations in non-U.S. jurisdictions
- Proven teamwork experience, demonstrating outstanding interpersonal skills and strong communication skills
- Strong analytical skills, extremely detail oriented along with strong interpersonal skills
- Strong written/verbal communication skills and investigative/analytical/problem resolution skills required
- Excellent analytical skills Additional language skills, preferably Mandarin
- Excellent keyboard skills, with experience using Microsoft Office
- Strong communication, and problem solving skills with strong attention to detail
How to write Compliance Associate Resume
Compliance Associate role is responsible for organizational, analytical, microsoft, interpersonal, deadlines, compliance, excel, reporting, planning, articulate.
To write great resume for compliance associate job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Associate Resume
The section contact information is important in your compliance associate 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 Associate Resume
The section work experience is an essential part of your compliance associate 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 associate 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 associate position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Associate resume experience can include:
- Excellent computer skills required including a broad knowledge of all Microsoft Office software, including Excel and Access
- Excellent interpersonal, influencing and communication skills combined with passion to succeed
- Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
- Effective coping skills and an outward positive attitude toward work and change
- Effective written and oral communication skills including fluency in German and English. French or Italian is benefit
- Good English communication oral and written skills
Education on a Compliance Associate Resume
Make sure to make education a priority on your compliance associate resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance associate 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 Associate Resume
When listing skills on your compliance associate 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 associate skills:
- Effective communication skills, including very strong written communication skills
- Excellent oral and written communication skills, with the ability to interface effectively and professionally at all levels
- Effective project planning and project management skills with ability to meet deadlines and prioritize multiple tasks
- Excellent communication skills (effective in oral, written and presentation settings)
- Strong analytical, critical thinking, problem solving and computer skills, including Outlook, PowerPoint, Word and Excel
- Excellent verbal/written communication (including grammar and spelling), organizational, problem solving, and basic math skills
List of Typical Experience For a Compliance Associate Resume
1
Experience For Compliance Associate Director Resume
- Impeccable proofreading skills
- Advanced Microsoft Outlook/Word/Excel skills
- Working knowledge and strong familiarity with the Adviser’s Act
- Demonstrates Creative Thinking and Problem Solving
- Assess training needs, develop training programs, and evaluate programs’ effectiveness to meet compliance requirements
2
Experience For Research Compliance Associate Resume
- Experience working with Newspaper Circulation or Newspaper Auditing
- Experience managing the filing of Form PF, Form CPO-PQR, and Form ADV
- Solid understanding of P&C Underwriting and/or Insurance Compliance
- Skilled in real time editing of documents and materials within Adobe Acrobat
- Relevant experience, working within a quality or compliance related role
- Daily phone and e-mail contact with internal and external contacts requiring effective communication through verbal interactions and appropriate documentation
- Experience of delivering small projects
- Experience working in a high pressure, production based environment with repetitive tasks
3
Experience For Quality Compliance Associate Resume
- Experience in banking and financial markets is highly desirable
- Well organized and able to execute responsibilities. Ability to prioritize multiple tasks and bring tasks to completion within established timeframes
- Strong organizational, analytical and problem solving capabilities
- Previous experience in the financial industry is required
- Medical Industry Experience an advantage
4
Experience For Hrsd Business Travel Tax Compliance Associate Resume
- Effective and timely communication with Manager, team members, SHC corporate & local offices, clients, and field talent as necessary
- Preferably 1-2 years of compliance related experience with a registered investment advisor or regulator
- Flexible and ability to prioritize tasks
- Maintain a solid understanding of partner terms & conditions
- Conducts suitability evaluations to determine if products are suitable for clients prior to establishing a New York Life Annuity policy
- Experience in performing clerical/administrative tasks
- Experience with reviewing purchase and sale agreements for multiple states
5
Experience For Trade Compliance Associate Resume
- Strong knowledge of Microsoft Excel (including v-lookup and pivot tables), PowerPoint and Word
- Excellent working conditions and social benefits
- Demonstrated knowledge of consumer related lending and deposit regulations
- Experience working in a Quality related field or Medical Device environment
- Experience with SAP reporting
- Demonstrate out of the box thinking when confronted with new ideas or change
- Demonstrated ability to influence peers and teams with no direct reporting lines
- Working experience in a Quality Compliance function in Healthcare, Pharmaceutical, or Medical Device related industry
6
Experience For Bacc Compliance Associate Resume
- Computer operations experience and a thorough understanding of hardware system/operations required
- Demonstrates high level of accuracy to mitigate risk, liability and exposure
- Super user of the P3 Core Tool (operate the tool, deliver P3 Core Tool trainings)
- High level of attention to detail and accuracy to ensure excellent service
- Able to prioritise workload through self-management and ownership of work and often be required to multi-task across portfolios
7
Experience For Human Resources Compliance Associate Resume
- At least one year of general industry experience
- Quality Assurance experience
- Initiating training and drafting training materials
- Checking daily trading activity using proprietary compliance software against client account guidelines
- Working knowledge of the Federal securities rules and regulations, including the Investment Company Act, Investment Advisers Act and FINRA rules, is desirable
- Understanding client and regulatory investment guidelines and translating them into BlackRock’s Aladdin compliance system
- Supporting processes linked to the firm’s Whistleblowing Policy
- Keeping SAIC’s Ethics site and social media space updated by ensuring information is up-to-date and relevant
8
Experience For Blank Compliance Associate Resume
- Monitoring the Ethics Office’s Outlook inbox and working with Subject Matter Experts to develop timely answers to any questions
- Preparing independent compliance responses to complaints and dealing with relevant agencies
- Establishing a thorough understanding of client investment policy statements and the policies of Cambridge Associates and CA Capital Management
- Working knowledge of Medical Technology Association of Australia’s Code of Practice
- Analyzing the effect of new business initiatives and investment products on the compliance program
9
Experience For Sourcing Compliance Associate Director Resume
- Providing ECMS case data and trend information to SAIC’s external monitors and SAIC’s internal and external auditors as directed
- Training ECMS users on how to manage cases in SAIC’s database
- Preparing responses to regulatory requests from BaFin, other regulators or law enforcement agencies
- Providing focused day-to-day compliance advice to senior management, business teams and support functions
- Working in compliance department of a large/medium sized broking house
- Investigating factual and regulatory rule background behind client trading and financial activity
- Assisting with Anti-Money Laundering Program
10
Experience For QC Compliance Associate Resume
- Updating policies and procedures and verifying implementation
- Representing compliance interests in business projects and working groups
- Interacting with various departments within the organization to meet deadlines
- Building report and databases on the Supplier quality and compliance performances
- Monitoring and management of the quality, certification and compliance documentations
List of Typical Skills For a Compliance Associate Resume
1
Skills For Compliance Associate Director Resume
- A self-starter with excellent judgment, exceptional communication skills, strong customer service and professionalism
- Strong analytical and problem solving skills, strong attention to detail
- Good planning, interpersonal and communication skills to work with internal parties
- Strong compliance skills and knowledge
- Excellent communication skills, both written and verbal and able to work with little supervision
- Strong organizational skills, attention to detail, and strategic leadership competencies
- Excellent communication, follow-up and organizational skills
- Strong interpersonal skills with the ability to build relationships within and outside the company
2
Skills For Research Compliance Associate Resume
- Good organizational and time management skills to handle multiple tasks
- Strong PC skills with the advance knowledge in Microsoft Excel
- Demonstrated leadership and relationship skills within a GE business
- Team player with a positive attitude and strong interpersonal skills required
- Strong organizational skills required; ability to work independently and meet critical deadlines
- Demonstrate ethical problem-solving skills
- Demonstrates a high level of time management, organizational skills, and attention to detail with integrity and ownership of work
- Have excellent communication skills and be highly focused on details
- Self-manage workloads and deadlines, and operate effectively in a fast-paced environment
3
Skills For Quality Compliance Associate Resume
- Excellent reading comprehension and analytical skills
- Strong relationship building and communications skills
- Effective planning, organisational and time management skills
- Strong communication and business writing skills required
- Proficiency is using Microsoft Office applications and good Excel skills required
- Self-starter and team player with strong interpersonal skills
4
Skills For Hrsd Business Travel Tax Compliance Associate Resume
- Strong organizational, analytical skills, and attention to detail
- Detail-oriented team player with excellent written and oral communication skills
- Strong organizational skills and an ability to manage a high volume of workflow and multi-task
- Outstanding MS Office applications skills
- Strong leadership competencies, with experience leading project teams
- Communicate effectively and interact both verbally and in writing
- Able to effectively communicate with all types of staff, including technical, professional, and upper management
5
Skills For Trade Compliance Associate Resume
- Creative thinker, excellent listener, and effective and responsive communicator (both verbally and in writing)
- Deal effectively with employees at all levels and external business contacts, while conveying a positive, service-oriented attitude
- Highly collaborative and team focused with the ability to work effectively with associates across various levels of the organization
- Prior compliance experience in Asset Management Industry
- Superior organizational skills; careful and thorough, with particular attention to detail
- Oral and written communication skills
- Prior experience within a Hedge Fund, Private Equity, or Buy-side firm
6
Skills For Bacc Compliance Associate Resume
- Self-motivated, independent with strong analytical abilities and good judgment
- Relevant experience in dangerous goods, import-export, or logistics operations with an emphasis on compliance
- Compliance-related experience or other professional experience (attorney or advisory role to a business) required
- Manage database of validation projects, schedule and coordinate cross-functional equipment validation activities
- Prior broker-dealer experience
- Prior Compliance experience in financial services is required
- Teamwork effectively, especially in a matrix team environment
- Prior auditing or performance evaluation experience beneficial
7
Skills For Human Resources Compliance Associate Resume
- Perform, risk-based compliance monitoring and validation to reasonably ensure the design and effectiveness of business area processes, controls and systems
- Strong experience working with Microsoft Office suite
- Ensure live links work effectively and drive to appropriate application pages
- Effectively communicate with mid-level management within our organization
- Organizational skills to meet tight deadlines
- Demonstrate ability to find solutions to unique issues and use judgment to ensure both the company values and client experience are optimal
- Experience with federal, commercial item procurement and contracting experience
- Superior oral and written communication/presentation skills
8
Skills For Blank Compliance Associate Resume
- Self starter with skills to work autonomously on projects and work beyond traditional role
- At least two years’ experience in compliance and/or regulatory affairs, SEC, CFTC and NFA reporting experience is required
- Prior experience managing a Regulation W program
- Prior experience in conducting compliance risk assessments as it relates to the Volker Rule and the Transaction with Affiliate Enterprise - wide Ploicy
- Experience in working with Transfer Agents or in Alternative investments (including real estate funds, hedge funds or private equity)
9
Skills For Sourcing Compliance Associate Director Resume
- Comfortable with balancing multiple, competing priorities and changes in scope / direction
- Prepare price list updates, supporting price analyses, data validation, and formatting
- Experience in compliance, SAR Writing, or a related position (including regulatory or law enforcement)
- Demonstrated ability working with others in connection with challenging issues
- Experience in AML/KYC onboarding at other financial institutions
- A strong working knowledge of insurance and annuity products
- Relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm
- Strong working knowledge of the IA Act of 1940 and the ICA of 1940
10
Skills For QC Compliance Associate Resume
- Previous experience working within a Investment Advisor, Broker-Dealer and /or related firm
- Experience in a compliance related function, preferably in a healthcare or regulatory setting
- Experience coordinating travel arrangements
- Experience working in a pharmaceutical, laboratory and/or GMP regulated environment
- Strong working knowledge of the Investment Advisers Act and the requirements of a Compliance and Risk program under the Advisers Act
- Flexibility to react to changing prioritie
- Experience providing compliance or legal coverage to a commercial real estate business at an investment bank
- Experience at a law firm practicing in commercial real estate finance
- Experience in MS Word and PDF formatting, accessibility, and 508 compliance in highly dynamic environments
List of Typical Responsibilities For a Compliance Associate Resume
1
Responsibilities For Compliance Associate Director Resume
- Provide for continuous process improvement by working with A&O’s Continuous Improvement Program and T-C Way to evaluate processes and drive towards greater efficiency and accuracy in outcomes
- Team player with strong interpersonal and coordination skills and able to engage and work effectively with colleagues across regions and functional units
- Strong organizational skills with the ability to multi-task, drive and prioritize own work
- Excellent interpersonal, verbal, and written communication and presentation skills
- A strong problem-solver with initiative to work creatively and independently with competing deadlines and priorities
- Compliance-related experience or other professional experience (attorney or advisory role to a business)
- Demonstrated knowledge of working with compliance programs and monitoring/enforcing such programs
- Experience drafting and negotiating commercial software and technology based licensing agreements
2
Responsibilities For Research Compliance Associate Resume
- Demonstrated progress to developing knowledge of the Investment Company Act of 1940, UCITS regulations, and AIFMD during the first six months of employment
- Experience negotiating and structuring deals under GSA, SEWP and open market contracts
- Experience in a similar compliance role or trading environment
- Generate Validation documents, execute temperature mapping, QC documents/data and write reports/traceability matrix
- Ensures all signed releases are on file for all applicants and employees prior to a consumer report being processed
- Review marketing materials prior to external distribution in order to determine compliance with policy, procedure and regulatory requirements
- Owns and cares about the experience they deliver to candidates, hiring managers, recruiters and providers
- Experience of working with HR Recruitment Systems
3
Responsibilities For Quality Compliance Associate Resume
- Problem solving and process improvement experience, and the ability to analyze information quickly and form a decision
- Experience/knowledge of financial instruments (including OTC derivatives), contracts and investment funds is desirable
- Experience/understanding of indices and their uses an advantage
- Buyside compliance experience
- Possess a strong work ethic and be able to remain objective at all times
- Exercise good business judgment and recognize when it is appropriate to escalate an issue
- 1 – 3 years’ experience in the financial services, legal, or related industry
- Experience working in cross-functional teams within a global company
- Knowledge of or experience in regulatory compliance
4
Responsibilities For Hrsd Business Travel Tax Compliance Associate Resume
- Experience in the pharmaceutical / biopharmaceutical industry, medical, or life sciences highly desired
- Direct experience in GCP compliant quality systems and data management
- 7+ of related work experience required
- 7+ of related work experience
- Experience with a healthcare provider and insurance operations
5
Responsibilities For Trade Compliance Associate Resume
- Demonstrate exemplary customer service to all external and internal customers
- Experience in the financial industry, with significant exposure to compliance
- Comparable experience at a registered Investment Adviser, hedge fund, or private equity fund
- Previous experience with Collateralized Loan Obligation (CLO) / Loan / Credit
- Derivative Compliance experience
- Previous experience with Foreign Exchange and OTC Derivative
- Buy Side Compliance experience
- Buyside Compliance experience
- Previous experience with the Inv Advisor Act 1940
6
Responsibilities For Bacc Compliance Associate Resume
- Previous Compliance experience
- Investment Adviser and/or Private Fund Compliance experience
- Experience with Code of Ethics administration and Regulatory filings (Form PF, Form ADV, Form CPO-PQR, etc.)
- Compliance experience in the Financial Services industry
- Demonstrated interest in compliance
- Compliance experience in a Financial Services environment
- Buy-side compliance experience
- Experience with the Charles River (CRD) compliance module
7
Responsibilities For Human Resources Compliance Associate Resume
- Experience with SEC exams and mock exams
- Relevant work experience in the Financial Services industry
- Relevant work experience in the financial services industry at an Investment Advisor, Broker-Dealer and /or related firm
- Manage priorities and handle multiple projects simultaneously
- Investment management or compliance experience
- Experience with 1940 Act- Mutual Funds and Inv Advisor Act 1940
- Related work experience within the Finance and/or Securities Compliance industry
- Strong compliance / legal knowledge
- Experience in the financial services industry
8
Responsibilities For Blank Compliance Associate Resume
- Creating, reviewing and following up on surveillance reports of financial and trading activity
- Analysing and reporting on Anti-Money Laundering and Counter-Terrorism Financing suspicious transaction alerts
- Training – Provide training to New Business, Pre-Sale and Service teams on the proper forms to use for certain transactions in each jurisdiction
- Ongoing Review - Perform ongoing assessments of AMN’s Forms Library and Print Policy Systems and recommend improvements as appropriate
- Supporting new oversight initiatives to standardize PCOE rules and new regulatory requirements such as MIFID II, SMCR and GDPR
- Reviewing alerts around regulatory/non regulatory internally directed Enterprise-wide searches of our accountholders and their transactions
- Ensuring all transaction-based compliance issues are properly investigated, documented, and incorporated into monthly reports
- Assisting in the vendor due diligence oversight process
- Understanding of the Fixed Income and/or Equity markets
9
Responsibilities For Sourcing Compliance Associate Director Resume
- Working knowledge of complex investment strategies and financial products, especially fixed income and derivatives
- Typing of at least 30 words per minute
- Reviewing documents for adherence to compliance rules and regulations
- Updating procedure and policy documents
- Understanding of wrap business and mutual funds
- Licensing and Registration background
- Working knowledge of Bloomberg and Compliance-related Technology Solutions
10
Responsibilities For QC Compliance Associate Resume
- Assisting with data retrieval from internal systems for auditing and monitoring
- Daily monitoring and investigation of PAD trade alerts and liaison with employees, management and HR concerning documenting and reviewing breaches of policy
- Arranges and manages compliance training, including maintaining training materials
- Act as the help desk for immixGroup’s Point-of-Sale (POS) reporting database, including managing portal upkeep and reporting partner contact information
- Perform compliance testing, reviews and reporting for LC Advisors, and for Lending Club’s Investor Group
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