Compliance Examiner Resume Sample
Louisa Senger
4481 Adele Mountain,
Detroit,
MI
+1 (555) 114 2223
Work Experience
FFS Senior Regional Compliance Examiner
08/2017
-
PRESENT
Boston, MA
- Reviews trading activity, systems and supervisory policies and procedures to determine compliance with federal, FINRA and other SRO’s rules and regulations
- Interfaces with member firm personnel, peers, management and others and provides excellent internal/external assistance in specialized area of regulatory responsibility
- Conducts examinations which include, but is not limited to: scheduling the exams; making travel arrangements; conduct preliminary exam research; coordinate with internal colleagues from various departments to gather data; perform branch office examinations; communicate results of branch office examination via written correspondence; follow up of relevant issues and or concerns as deemed necessary
- Evaluate existing compliance systems with respect to current regulatory requirements
- Assist Managers and Registered Representatives with understanding and implementing compliance systems and practices
- Meet and correspond with field OSJ Managers, Branch Managers and Registered Representatives to investigate compliance with Company policies and procedures, as well as FINRA/SEC rules and regulations
- Provides a timely response to general questions from OSJ Managers, Branch Managers, Registered Representatives and internal colleagues
- Reviews/analyzes documents and information, conducts research, and perform special projects as assigned
- 60% travel. Coordinate own travel arrangements and logistics as needed. Manage travel expenses and complete travel reimbursement reports
Compliance Examiner
02/2014
-
06/2017
Chicago, IL
- Good understanding of FINRA regulations and the Investment Advisers Act of 1940
- Exceptional organizational skills and oral/written communication skills
- Proficient in MS Office, imaging, web-based, and back-office applications
- Work with others in a multi-location business environment
- Attention to quality, urgency, and accountability
- Maintenance of Areas of Focus and Audit Program objectives through active involvement in CORE’s Centers of Excellence, frequent communication with business unit partners, monitoring emerging risks and regulatory/Freddie Mac Single Family Seller/Servicer Guide changes; includes interaction with management from Legal, Compliance, Single-Family, and Enterprise Risk Management
- Meets with financial institution management to obtain information to assess the counterparty’s overall organization, processes, and control environment
Compliance Examiner Professional
10/2008
-
11/2013
Chicago, IL
- Obtaining a loan or a line of credit from any insured state nonmember bank or its subsidiaries. Any extensions of credit held by the Examiner, the Examiner's spouse, or any dependent children are direct or indirect extensions of credit to the Examiner
- Performs and/or leads on-site examinations and quality assurance reviews of these examinations
- Position requires high amount of travel within continental United States
- Schedule, plan, and prepare pre-audit material for branch office audits
- Review and research branch office activities including, but not limited to, clients files, mutual fund and 529 transaction details, and correspondence to identify red flag issues and determine compliance with firm and regulatory rules and procedures
- Conduct field audits encompassing a review of sales practices, recordkeeping, and compliance procedure adherence
- Interview financial advisors, managers, and administrative assistants regarding office procedures and advisor activities
- Respond to routine inquiries from RVPs and managers concerning compliance issues
- Remain familiar with current FINRA and state regulatory issues as well as the company’s own written supervisory procedures
Education
Palm Beach Atlantic University
2003 - 2007
Bachelor's Degree in Finance
Professional Skills
- Exceptional organizational skills including, but not limited to, follow-up skills and the ability to multi-task and meet deadlines
- Demonstrated investigative skills, including the ability to follow an instinct while retaining an overall objective viewpoint
- Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks
- Project management, technological and prioritization skills
- Strong verbal and written communication skills and technical capabilities are essential to the position
- Some inductive reasoning and analytical skills required, particularly when working in a remote location
- Attention to detail, organization. Good verbal and written communication skills required
How to write Compliance Examiner Resume
Compliance Examiner role is responsible for analytical, credit, securities, training, mac, refining, litigation, compensation, trading, analysis.
To write great resume for compliance examiner job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Examiner Resume
The section contact information is important in your compliance examiner 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 Examiner Resume
The section work experience is an essential part of your compliance examiner 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 examiner 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 examiner position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Examiner resume experience can include:
- Highly organized with strong and proven analytical skills including application of quantitative and qualitative analysis
- Manage multiple projects, appropriately prioritize deliverables and adhere to deadlines while producing high quality
- Certification in risk management and/or (CIA, CFE, CFSA, CISA) or strong interest in pursuing one of these certifications
- Demonstrated ability to perform investigative, analytical and interviewing responsibilities
- PC proficiency, including experience with Word, Excel, and Access
- Typically has 8+ years of relevant experience in mortgage operations
Education on a Compliance Examiner Resume
Make sure to make education a priority on your compliance examiner resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance examiner 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 Examiner Resume
When listing skills on your compliance examiner 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 examiner skills:
- Analytical skills to identify root causes of deficiencies and to summarize and apply complex regulatory requirements to current processes
- Acquiring and maintaining the core skills and knowledge of relevant rules and regulations
- Reviewing IARs personal securities accounts for evidence of misconduct and Code of Ethics violations
- Experienced in writing policies, procedures and training
- Demonstrated leadership competency, including the ability to build relationships and collaborate with other groups in the corporate office as well as the field
- Any equivalent combination of education, experience, and/or training approved by Human Resources
List of Typical Experience For a Compliance Examiner Resume
1
Experience For FFS Senior Regional Compliance Examiner Resume
- Receives risk assessments and analyzes the effectiveness of the plan, identifying areas for improvement
- Prioritizes issues in risk assessments, based on level of exposure
- Handling internal and external requests regarding to how to follow compliance policy and procedures
- Providing comprehensive written and verbal reports to management, including but not limited to, surveillance, investigations, and sales offices inspections
- Ensuring all required internal and regulatory reporting is conducted in a timely, accurate, and compliant manner
- Conducting special reviews and investigations of alleged violations of company policy and/or securities rules
- Receives quarterly reports on status of risk monitoring and analyzes reported results, identifying trends and developing corrective actions where appropriate
2
Experience For Senior pcg Compliance Examiner Resume
- Responsible for completing all tasks assigned by their deadline while staying within budget
- Participates in, or acts as Examiner in Charge (EIC) for compliance control exams, including review schedule
- Travel to field offices regularly (approximately 50-70% travel)
- Perform control and monitoring functions, including the review of investment guidelines and restrictions. Assist in the identification of potential compliance violations and recommend enhancements
- Assist with the review, update and filing of required regulatory filings (e.g., Section 13, Foreign Ownership, Form ADV, Form PF, CPO-PQR, CTA-PR, etc.)
- Review investment adviser, mutual fund and other marketing materials and communications (including electronic communications) for compliance with applicable rules and to ensure best practices
- Analyze and prepare responses to compliance inquiries from prospects, clients, and regulators; respond to recurring and ad hoc client due diligence questionnaires and reporting requests
- Assist with administration and monitoring of activities under the Code of Ethics
3
Experience For Securities Compliance Examiner Resume
- Manage and/or participate in special projects, as assigned
- Conducts the annual Broker Dealer and Investment Advisor supervisory control audit based on risk classification
- Conducts Office of Supervisory Jurisdiction and Registered Branch Office market conduct examinations
- Strict adherence to corporate travel policy is required
- Performs other projects and tasks as assigned
4
Experience For Compliance Examiner Professional Resume
- Plan and execute compliance reviews for Private Wealth Management area to evaluate William Blair’s compliance with applicable laws and regulatory requirements
- Identify control weaknesses and violations of established policies and procedures
- Document findings and develop compliance reports which detail issues and include solutions to achieve compliance. Assist in the presentation of findings and recommendations to management
- Assist business stakeholders with the timely and effective resolution of any compliance findings
- Reviewing and maintaining IAR Code of Ethics certifications involving personal securities accounts and political contributions
- Performing daily surveillance of securities transactions received from sales offices
- Reviewing trade reports from various sources for suitability and/or regulatory concerns
- Answer questions from sales management, internal stakeholders, and home office personnel regarding complaints and investigations
5
Experience For Hsmv Compliance Examiner Resume
- Monitor incoming oral, written and email complaints to determine whether they meet complaint status or require further review and investigation
- Assist the Chief Compliance Officer in the development of required regulatory filings
- Serve as a resource to business area management and staff to clarify industry regulations
- Serve as a subject matter expert for customer complaint reporting and investigations and provide guidance for regulatory state and federal issues to key stakeholders, as well as sales management
- Research customer complaints and file information with regulators in conjunction with the Legal department by entering complaint data in FINRA’s 4530 system. Inform the CCO of trends, issues, problems and activities discovered in the course of complaint resolution and investigations
- Review transaction suitability and, when applicable, determine the amounts of claim for damages
- Monitor representative activities through the review of electronic communications, Smart Office and BOSS notes, as well as by contacting clients, field personnel, regulators and management
6
Experience For Compliance Examiner Branch Office Inspections Resume
- Maintain a detailed record of complaints and responses. Capture, record and communicate gaps and issues discovered via the review and response to complaints and investigations
- Manage regulatory inquiries to ensure responses are timely and reporting requirements and inquiry deadlines are met. Ensure that regulatory inquiries are thorough and accurate
- Regular review and audit firm policies and procedures for potential compliance concerns
- Traveling to sales offices and conducting annual and special compliance inspections by reviewing the books and records, interviewing personnel, and observing day-to-day operations in the office
- Handling customer complaint responses and investigations
- Enforcing the Electronic Communications policy by conducting ongoing and targeted reviews of email correspondence and other postings to/from employees of the firm
- Reviews a wide variety of organizational policies and procedures to ensure compliance with federal regulations and internal standards
7
Experience For Compliance Examiner Senior Resume
- Analyzes existing policies; identifies gaps and recommends new and/or revised policies and procedures, approval processes, and monitoring methods for departmental use
- Reviews detailed departmental processes and policies, then determines deficiencies
- Verifies compliance plans against established policies and procedures and applicable regulations
- Develops recommendations for corrective actions based on review findings, and works with department management to refine recommendations; develops presentations for department management on results of review; ensures that corrective actions have been implemented
- Recommends education plans for department staff to ensure future compliance. If necessary, develops educational plans, materials and resources used to educate employees on compliance program objectives
- Receives confidential questions/concerns from team members concerning compliance situations; investigates questions/concerns to determine specifics and provides recommendations for resolution or refers concerns to appropriate individual(s) for follow-up
8
Experience For Senior Compliance Examiner CG Resume
- Review trade reports from various sources for suitability and/or regulatory concerns
- Active FINRA Series 6 and/or Series 7, Series 65 and/or 66 or the ability to obtain within the first 18 months of employment
- Conduct on-site branch audits, compliance orientation, follow-up, and regulatory exam visits
- Perform on-going oversight of branch office conformity with Stifel policies, procedures, and regulatory rules, and supervisory systems. Reports deficiencies and escalates as needed
- Provides input to guidelines for procedures and policies that comply with new and revised regulations, and direct their implementation. Implements, explains, and enforces compliance and/or regulatory procedures and policies
- Orientates and trains new branch managers and branch operational personnel regarding branch supervision, computer systems, retention of documentation, firm policies, and develop relationships
9
Experience For Compliance Examiner Mid Career Cg Resume
- Review and summarize registered representative complaint histories and determine further recommendations
- Write disciplinary letters and special supervision
- Develop written supervisory and operational procedures to address firm policies and procedures as well as SEC, FINRA, and MSRB regulatory rules
- Research, respond, and directly interact with SEC, FINRA, and MSRB regulatory inquires and exams
List of Typical Skills For a Compliance Examiner Resume
1
Skills For FFS Senior Regional Compliance Examiner Resume
- Communicate effectively with team members as well as members of the business units
- Previous experience Audit (Financial and Operational) and Financial Analysis
- Excellent knowledge of TIC products and services
- Six or more years of pertinent Financial Services compliance experience - or -
- Equivalent combination of college education and pertinent compliance experience
- Time Management – The ability to prioritize and manage one’s own time
- Demonstrated ability to formulate practical solutions to technical issues
2
Skills For Senior pcg Compliance Examiner Resume
- Strong interest in the investment management and mutual fund industry
- Brokerage industry experience
- Willing to travel: Approximately 50%. (1 week in the field, 2 weeks in the office)
- Understanding of the field organization and the products the firm sells. Ability to discern if an advisor understands features of the products they sell
- Understanding of investment products and securities operations for assigned business area(s)
- During the pre-work audit process and on-site exam, the examiner analyzes reports and documents for conformity to Firm and industry policy
3
Skills For Securities Compliance Examiner Resume
- Responsible for protecting the client and protecting the firm
- Knowledge of risks pertinent to industry and firm, and ability to strategically focus branch office/OSJ exams depending on relevant risks
- Interact professionally with senior management, exhibiting diplomacy and tact
- Work independently, exhibiting sound judgment and discretion
- Advanced knowledge and understanding of consumer regulations
- Communicate complex compliance issues, policies and procedures, in a credible and convincing manner
- Proactive, self-motivated and well organized
- Proficient with MS ExcelSearch Jobs US
4
Skills For Compliance Examiner Professional Resume
- Broker/ Dealer Compliance and General Securities background
- FINRA Series 7 & 24 required
- Participating in examinations and providing technical assistance and support in the National Examination Program of the Office of Compliance Inspections and Examinations, with an emphasis on examinations of investment advisers, investment companies, broker dealers, and transfer agents
- Developing recommendations and reports, presenting and defending findings, and as required, collaborating with the legal staff and providing technical support for investigations and litigation of civil matters, administrative proceedings, and criminal prosecutions where there is an emphasis on securities compliance issues
- Initiating and conducting consultations with the staff of the Compliance Inspections and Examinations program and other divisions and offices on issues which present difficult questions of policy which require review and consultation before being presented for final action
5
Skills For Hsmv Compliance Examiner Resume
- Providing technical support to senior examiners developing responses to requests; preparing or reviewing reports involving financial, accounting and policy questions; drafting memoranda, related documents, agreements, and correspondence
- During the pre-work audit process and on-site exam, the examiner analyzes reports and documents for conformity to Firm and industry policies/rules
- Prepares summary reports indicating findings and corrective action, to protect the solvency of the branch and Firm
- Advises branch supervisory personnel on matters such as firm policies and procedures, regulatory rules; and internal discipline
- Ensure the Firm’s compliance with FINRA Rule 342.25 Annual Branch Office Inspection
- Conducts on-site branch audits, compliance orientation, follow-up, and regulatory exam visits for Stifel and Century Securities locations. Focus on branches identified with additional risk and branches selected for unannounced examinations
- Performs on-going oversight of branch office conformity with Stifel policies, procedures, and regulatory rules, and supervisory systems. Reports deficiencies, recommends corrective action, and escalates as needed
- Provides input to guidelines for procedures and policies that comply with new and revised regulations, and directs their implementation. Implements, explains, and enforces compliance and/or regulatory procedures and policies
- Establishes and maintains open lines of communication with branch managers and acts as a contact point for assigned branches to assist with applicable Firm policies and/or procedures
6
Skills For Compliance Examiner Branch Office Inspections Resume
- Prepare summary reports indicating findings/deficiencies regarding compliance laws/regulatory rules/firm policies and recommend resolutions
- Provide training and education to branch personnel on policies, procedures, sales practice issues and relevant regulatory rules
- Assists Compliance Examiners and Trade Support with oversight of trade corrections
- Orientates and trains new branch managers and branch operational personnel regarding branch supervision, computer systems, retention of documentation, and firm policies and procedures
- Trains PCG Examiners and Jr. Examiners in the examination process
- Reviews implemented Heightened Supervision documentation for compliance and escalation of deficiencies. Recommends corrective action, further continuation of the Heightened Supervision, and escalates when needed
- Writes disciplinary letters and Heightened Supervision documents
7
Skills For Compliance Examiner Senior Resume
- Develops written supervisory and operational procedures to address firm policies and procedures as well as SEC, FINRA, and MSRB regulatory rules
- Researches, responds to, and directly interacts with SEC, FINRA, MSRB, or other regulatory bodies’ regulatory exams. Acts as a liaison between the Firm and regulatory bodies during onsite regulatory exams
- Performs or assists with special projects, as needed
- Conduct on site branch audits and compliance orientation visits with the ability to travel overnight 35% to 40%
- Perform the branch examination pre-work. Utilize various reports to determine exam focus areas
8
Skills For Senior Compliance Examiner CG Resume
- Complete Broker complaint review and compose disciplinary letters
- Assist with new branch openings to establish procedures and develop relationships with branch personnel
- Coordinate and facilitate regulatory branch exams
- Overnight travel required 15% - 25% or 8-10 weeks per year to branch locations as needed
- B.S. in Business, Finance, or related field
9
Skills For Compliance Examiner Mid Career Cg Resume
- Knowledge of FINRA, SEC and other regulatory rules/requirements. Knowledge of firm policies and procedures pertaining to sales organization. Understanding of hybrid supervisory system
- Excellent communication skills, both written and verbal. Proven ability to communicate with employees at all levels of the firm. Ability to tactfully craft difficult messages
- Proven ability to take initiative and follow through to conclusion
- Proficient in use of email, MS Office, internet search engines, and other software/applications required
- Research and handle unique or exception processes required
- Customer ServiceSearch Jobs US
- Regulatory compliance experience with a registered broker-dealer, registered investment advisor, national securities exchange or self-regulatory organization required
10
Skills For Senior Compliance Examiner, CG Resume
- Knowledge of federal, state and industry regulations applicable to broker-dealers and investment advisors
- Travel an average of one week per month
- Handle travel responsibilities and expenditures in a dependable way
- Familiarity with product lines and forms of field compensation
- Active FINRA Series 6 and/or Series 7, or the ability to obtain within the first 12 months of employment
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