Compliance Specialist Resume Sample
Lionel Romaguera
4318 Mayer Garden,
Philadelphia,
PA
+1 (555) 125 6180
Work Experience
Compliance Specialist
05/2017
-
PRESENT
Boston, MA
- Organizing and facilitating meeting schedules and logistics
- Administrative or operational experience and 1+ years industry experience
- PCG U.S. Group
- Reviews and approves communications and advertising materials, including new and modified products for compliance with applicable laws and regulations; corresponds with FINRA regarding submitted materials or general inquiries as needed
- Assists clients with advertising questions related to compliance regulatory requirements; evaluates materials against regulations; determines relevance of materials; investigates questionable items with FINRA as needed
- Maintains client relationships by demonstrating highest level of customer service and partnering with client to provide advice on general compliance-related advertising questions, mutual fund disclosure requirements, etc
- Escalates issues of concern immediately to Compliance Officer
- Monitors and performs research, analysis, and interpretation of published and proposed regulations
Compliance Specialist
05/2010
-
11/2016
New York, NY
- Experience implementing and advising on compliance programmes
- Experience of compliance monitoring, audit or inspection programmes
- Update relevant policies to ensure they reflect regulatory requirements for FLU/CF
- Contribute to compliance risk assessments
- Contribute to monitoring and testing coverage plans and related metrics
- Assist in the execution of governance and management routines
- Identify compliance training needs and inspect FLU/CF and third party participation for FLU/CF
- Inspect that commitments made regarding actions in response to Matters Requiring Attention (“MRAs”) and other actions are completed for FLU/CF
Education
Herzing University - Birmingham Campus
2004 - 2009
Bachelor's Degree in Business
Professional Skills
- Strong organisational skills, multi-tasking and project planning skills with the ability to pro-actively prioritise and consistently execute at a high standard
- Excellent organizational skills including effectively manage competing priorities, and accurately complete highly detailed work
- Strong verbal and written communication skills, including interpersonal skills
- Demonstrates strong analytical and decision making skills, including ability to gather, organize and report on information from various sources
- Proven, strong technical writing skills
- Demonstrated strong organizational and planning skills
- Demonstrated strong analysis and problem solving skills
How to write Compliance Specialist Resume
Compliance Specialist role is responsible for interpersonal, analytical, organizational, microsoft, excel, computer, customer, technical, organization, compliance.
To write great resume for compliance specialist job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Specialist Resume
The section contact information is important in your compliance specialist 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 Specialist Resume
The section work experience is an essential part of your compliance specialist 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 specialist 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 specialist position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Specialist resume experience can include:
- Strong Excel skills and ability to effectively parse through and summarize data
- Strong organizational, interpersonal and analytical skills and the ability to function effectively in a fast-paced environment
- Experience: Strong research skills; computer experience in a windows operating system and also with word processing and spreadsheet applications
- Excellent verbal and written communication skills; organizational, analytical and decision making skills
- Strong organizational skills with strong attention to detail/accuracy and able to set priorities
- Exercise good judgment and effectively organize, prioritize, and perform multiple job functions and conflicting priorities
Education on a Compliance Specialist Resume
Make sure to make education a priority on your compliance specialist resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance specialist 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 Specialist Resume
When listing skills on your compliance specialist 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 specialist skills:
- Excellent written and oral communication skills, ability to effectively adapt communication style to varying audiences
- Excellent written communication skills for heavy documentation; verbal communication skills for training and development
- Excellent communication skills (both oral and written) and organizational skills
- Strong interpersonal skills with the ability to establish and maintain effective working relationships with individuals at all levels
- Strong attention to detail, excellent problem solving skills, and superior client service focus
- Strong organization, prioritization, and self-motivation skills
List of Typical Experience For a Compliance Specialist Resume
1
Experience For Compliance Specialist Resume
- Strong technical knowledge and PC Skills including intermediate excel skills
- Strong organizational skills and the ability to prioritize multiple project requirements to meet the varying needs of the business
- Possess excellent oral and written communication skills; ability to deliver effective presentations
- Demonstrated relationship management skills/experience including the ability to inform, influence and consult peers and partners
- Having excellent collaborative teamwork skills
- Experience utilizing basic analytical skills desirable (e.g., behavioral/social sciences, education, business, math, engineering or criminology)
- Three years of experience effectively leading and successfully managing work teams and projects
- Excellent verbal, writing, presentation, communication, and coaching skills
- Demonstrate a strong work ethic and utilize strong judgment in making decisions
2
Experience For Compliance Specialist Resume
- Multi-tasks and juggles competing priorities effectively
- Excellent organizational, communication, time management and problem solving skills
- Demonstrated solid experience with PCB layout and shielding design for EMC mitigation
- Fast learner and good teaching skills
- Strong team work and relationship building skills
- Strong GMP Technical Writing skills
- Strong analytical skills, with the ability to plan and execute work to demanding timescales
3
Experience For Compliance Specialist Resume
- Experience in communicating effectively with partners
- Good interpersonal skills which promote cross-functional collaboration
- Develop validation documentation and executive validation activities for successful implementation of the Master Validation Plan
- Good organizational skills, both personally and within a project management role
- Strong written and verbal communication skills; team-Player
- Strong organizational skills with the ability to focus on multiple customer requests
- Communicate effectively with state and federal regulators when faced with strong wills and differences of opinion in the midst of inspections
- Excellent interpersonal, verbal, and written communication skills to interace with all levels of the organizations as well as with clients
- Demonstrated commitment to continuously up-dates necessary skills and knowledge as required for this role
4
Experience For Compliance Specialist Resume
- Good communication skills to present professional image to contacts
- Strong analytical, problem solving, and follow-up skills
- Demonstrated leadership and ability to communicate effectively, orally and in writing
- Excellent analytical, organizational, interpersonal, written, and verbal communication skills
- Strong project management, process and analytical skills
5
Experience For Compliance Specialist Resume
- Excellent interpersonal, written and verbal communication skills and proficiency are essential
- Strong technical knowledge and PC Skills
- Keeping the evidences of controls performance or following up control owners to provide evidences and documents up to
- Initiating the development of leadership skills by providing training and guidance to others
- Monitoring and testing development skills
6
Experience For Compliance Specialist Resume
- Proficient computer skills, including working knowledge of Microsoft Office applications and SharePoint
- Demonstrated experience working in Microsoft Office, database management, and scanning into electronic file storage systems
- Five years of regulatory agency experience in a design and manufacturing environment, including experience with ETL, UL, CSA, TUV, FCC, CE, etc
- Independent thinking and decision making skills
- Prior experience conducting risk assessments and compliance testing
- Strong written communication including background authoring documents in support of regulatory inspections (SOPs, validation documents, etc)
7
Experience For Compliance Specialist Resume
- Demonstrates strong working knowledge of banking industry
- Demonstrated effectiveness in operating in complex organizational environments
- Effectively review Engineering standards, and provide feedback from a compliance perspective
- Intermediate analytical skills, including the ability to interpret and determine the impact of complex laws, regulations and other documents
- Basic problem-solving and negotiation skills
8
Experience For Compliance Specialist Resume
- Basic knowledge of audit, control and monitoring processes, and the ability to effectively implement and maintain them
- Demonstrated experience in providing high quality customer service
- Strong prioritization and planning to ensure successful execution of strategy and plans
- Strong ethics to escalate issues in the face of competing corporate priorities
- Proven experience obtaining “Green” approvals is desirable, i.e. RoHS, REACH, WEEE, etc
- Analytical and problem solving skills with the ability to exercise sound and balanced judgment
9
Experience For Compliance Specialist Resume
- Strong analytical, critical thinking, interpersonal, written and oral communication skilles required
- Manufacturing environment or prior internship experience
- Strong commitment to maintaining the integrity and effectiveness of the Office of Compliance
- Relevant experience in compliance role, including experience with HIPAA
- Software skills, including use of Microsoft Office software (SharePoint), data analytics tools, and web-based applications
- Have a strong background in customer service, including experience with phones, and ability to remain calm under pressure
- Prior experience working for a direct sales company is required
- Advanced analysis, problem solving, and business relationships skills
10
Experience For Compliance Specialist Resume
- Demonstrated experience in 508 Compliance Testing
- Demonstrated ability to problem-solve, prioritize work, meet deadlines, and provide independent strategic direction and or decision making
- Intermediate to advanced computer skills with working knowledge of the MS Office Suite
- Research skills to perform legal research using electronic sources
- Ensure risk frameworks are appropriately designed and operating effectively across Group Operations
List of Typical Skills For a Compliance Specialist Resume
1
Skills For Compliance Specialist Resume
- Demonstrated time management skills. Demonstrated report writing skills. Demonstrated multi-tasking skills
- Advanced computer skills, including MS Office Suite, excellent report writing, analytical, and project management skills with a good attention to detail
- Strong technical writing and presentation skills, excellent verbal communication skills
- Very good communications, writing and collaboration skills – Ability to effectively communicate and collaborate with teams around the world
- Demonstrated attention to detail with strong prioritization and personal organizational skills to ensure deadlines are met
- Demonstrated ability to work effectively in a team environment as well as individually, with particular emphasis on partnership skills
2
Skills For Compliance Specialist Resume
- Strong analytical thinking and problem solving capabilities and excellent numerical skills
- Strong demonstrated written, verbal and interpersonal communication skills, including the ability to articulate complex subjects in a succinct manner
- Strong and proven problem resolution skills
- Strong time management skills (schedules, timelines, and task prioritisation) and ability to work with minimal supervision or guidance
- Demonstrated effective written and oral communication skills that result in clear, concise and positive communications
- Good Database, Excel and system skills/experience
3
Skills For Compliance Specialist Resume
- Advanced Microsoft Word and Excel skills; intermediate Access skills
- Good written, oral, and interpersonal communications skills with proven ability to champion causes with positive impact and change
- Demonstrated organizational skills with strong attention to detail required
- Strong organizational and analytical skills including prioritization and time management
- Demonstrates strong inter-personal skills
- MS Excel experience. Strong Excel skills are required
- Skills to quickly and effectively navigate multiple computer screens and systems
- Excellent computer skills, with experience using Microsoft Office (Word, Excel, PowerPoint) applications
- Excellent verbal and written communication skills, with the ability to use them in informing, presenting negotiating and problem solving
4
Skills For Compliance Specialist Resume
- Experience in using problem-solving decision-making skills
- Solid planning and organizational skills – Ability to support complex projects and schedules as necessary within global finance and accounting setting
- Demonstrate and evidence understanding of, interest in and strong commitment to Compliance and essential underlying values
- Possess sound judgment, flexibility and nimbleness in changing courses; effective and efficient problem solving skills
- Excellent analytical skills for reviewing data reports to identify concerns and analyzing processes to identify gaps in controls
- Skilled at effectively communicating and collaborating with various contributors to get needed information and solve complex problems
- Strong written and oral communication, organizational, problem solving, and decision-making skills
- Basic understanding of GMPs and good technical writing skills
5
Skills For Compliance Specialist Resume
- Strong analytical, decision-making, and problem-solving skills to properly assess due dillagance reports
- Strong organizational and project management skills (including project planning)
- Demonstrates ability to interact effectively with a variety of contacts including senior management
- Strong reporting skills inclusive of the creation of dashboards, issue analysis, and executive summaries
- Have intermediate computer skills including experience with MS Office, Excel, MS Outlook, and Adobe
- Demonstrated ability to communicate clearly and effectively both orally and in writing
6
Skills For Compliance Specialist Resume
- Excellent written and verbal communication skills, including ability to present findings and recommendations as required
- Highly organized, detailed-oriented and self-motivated individual with strong leadership, collaboration, and influencing skills
- Strong oral and written communication skills including Excellence in Microsoft office
- Works well independently and with a team, strong leadership and business partnering skills
- Strong technology skills and proficiency with Microsoft Office, including Word, Outlook, PowerPoint and Excel
- Good analytical, reporting and advanced excel skills
- Experience working effectively with several clients or project teams simultaneously in a fast-paced environment
- Strong analytical and organizational skills, including the ability to assess data, identify inefficiencies, and suggest system improvements
7
Skills For Compliance Specialist Resume
- Good problem solving skills and the able to adapt to new regulatory requirements
- Prioritize work activities along with managing time effectively under limited supervision
- Strong multi-tasking skills and adherence to deadlines
- Strong customer relations and customer-facing skills
- Good grammar and spelling skills with attention to detail required
- Good verbal and written communication skills, including ability to interact with individuals at all levels in the organization
- Excellent problem-solving skills; self- starter able to work independently
- Strong critical thinking skills, with the ability to solve complex problems in innovative ways
8
Skills For Compliance Specialist Resume
- Strong project management, organizational, software/technical, human relations and communication skills
- Strong written and verbal communication skills with the ability to present information clearly and accurately
- Strong communication skills both verbal and written with multiple levels of leadership
- Excellent written, verbal and interpersonal communication skills. Ability to communicate clearly and concisely with all levels of staff
- Excellent communication skills on higher management level
9
Skills For Compliance Specialist Resume
- Excellent organizational, written, and interpersonal communication skills
- Manage multiple projects and prioritize effectively both independently and as part of a team to meet tight deadlines
- Strong technical knowledge, analytical and problem solving skills
- Excellent interpersonal, written/oral communication skills, and the ability to build and maintain positive relationships with employees
- Time management skills - ability to multi-task and prioritize to meet deadlines
- Strong MS Excel skills and knowledge of MS Word and Outlook
- Excellent English skills – both oral and written
- Computer proficiency and demonstrated presentation skills required
- Excellent verbal communication, written communication, and organizational skills
10
Skills For Compliance Specialist Resume
- Strong oral and written communication skills, and the ability to communicate with all levels
- Demonstrated strong emotional intelligence and ability to remain composed and effective under pressure
- Excellent written and oral communication skills with the ability to express ideas in one on one or group settings
- Strong analytical skills; ability to organize data and documents with close attention to detail.
- Strong interpersonal, verbal and written communication skills with ability to interface with all levels of the organization.
List of Typical Responsibilities For a Compliance Specialist Resume
1
Responsibilities For Compliance Specialist Resume
- Strong business partnering skills working across the organization and as part of a team
- Strong problem solving, decision-making skills
- Demonstrates analytical skills through problem-solving
- Strong written and verbal communication skills, ability to communicate professionally with individuals at multiple levels across the organization
- Motivation, diligence and excellent writing skills
- Strong analytic, problem solving and process improvement skills required
- Strong organizational and communication skills - ability to work in teams, multi-task, provide status updates and proactively follow up
2
Responsibilities For Compliance Specialist Resume
- Strong analytical skills. Reliable and timely decision maker (decisions based on relevant information, alternatives, risk)
- Secure good editorial skills in French
- Strong customer-oriented skills
- Strong organizational and leadership skills. Ability to manage and execute on multiple, critical projects simultaneously
- Strong attention to detail, and analytical skills required; and
- Strong organizational and follow-up skills with attention to detail
3
Responsibilities For Compliance Specialist Resume
- Excellent communication skills (read, write, speak English fluently)
- Excellent verbal, written and technical presentation skills
- Strong basic MS Office and database management skills required
- Strong communication skills and the ability to convey information to a diverse campus community
- Good communication skills (written/oral)
- Strong interpersonal and communication skills with the ability to proactively partner with the business
- Strong verbal and written communication skills and ability to understand and communicate business needs
- Prioritize and work effectively under stress
- 1 Excellent oral and written communications skills
4
Responsibilities For Compliance Specialist Resume
- In a business environment with strong Excel skills, attention to detail and ability to pick up and maintain knowledge of systems and processes
- Experience developing and facilitating concise and effective Executive level reports/ presentations
- Effective experience executing compliance policies, programs, and procedures for a large, complex organization
- Experience in Global Banking with focus on compliance/risk or 5 years experience in financial services compliance/risk
- Skill in setting daily priorities
- Demonstrated experience in handling confidential and sensitive information
5
Responsibilities For Compliance Specialist Resume
- Effectively communicate and follow through with clients and publishers to ensure compliance and bring issues to resolution
- Project management skills and detailed planning capabilities
- Problem solving and analytical skills and conceptual strength
- Experience in banking or other relevant experience
- Strong experience with advanced reporting tools (ex. Business Objects)
- Demonstrated ability to conceptualize, manage, prioritize and complete complex concurrent projects based on deadlines set by state authorities
- Demonstrates good understanding of KYC, CIP, OFAC and NACHA requirements, policies, procedures and practices for various client types
- Operate internal CCTV system to collate evidence
- Experience in role(s) where critical thinking required, as was the need to exercise good judgment in unfamiliar situations
6
Responsibilities For Compliance Specialist Resume
- Proficient computer/software skills - Microsoft Word, Excel, PowerPoint, Outlook
- Prior experience and/or training working in a GMP production environment
- Experience demonstrating skill using relational databases (such as SQL Server, Oracle, Access)
- Prior experience interpreting various rules and regulations is desired
- Superior proofreading skills desired
7
Responsibilities For Compliance Specialist Resume
- Applied knowledge of effective root cause investigation and verification of effectiveness techniques
- Demonstrate strong knowledge in general compliance requirements
- Proven experience and knowledge
- Solid knowledge of GMPs/Good Laboratory Practices (GLPs)
- PC software skills - Word, Excel
- High social and communication skills
8
Responsibilities For Compliance Specialist Resume
- Able to work effectively in an integrated product team environment
- Experience in audit/finance is strongly considered
- Demonstrate strong creative ability, and challenges conventional ideas and processes to seek more valuable and improved methods
- Identify issues and clearly/effectively communicate them to management and staff
- Experience in development and execution of Validations and Equipment Qualifications
- Experience in Control Room or equivalent financial services industry experience
- Proven ability to translate concepts into effective processes
- Interact effectively at all levels, with sensitivity to cultural diversity
9
Responsibilities For Compliance Specialist Resume
- Proficient in computer skills, i.e. Microsoft Office, Internet, etc
- Intermediate stakeholder management skills
- A self-starter who is self-motivated and can identify, prioritize and accomplish multiple tasks with safety a priority
- Identifying and evaluating the effectiveness of existing controls designed to address those risks
- Working knowledge and experience in applying and interpreting employment law, specifically the FMLA, ADA(AA), and/or State Workers Compensation regulations
10
Responsibilities For Compliance Specialist Resume
- Following up on previous commitments and ensuring these are closed and documented evidence in support of closure is readily available
- Ensuring the completion of identified priorities in relation to compliance activities Ensure timely compliance and reporting the non-compliance
- Representing Enterprise Business Compliance in project meetings and providing guidance on prioritization and support needs
- Working with Operations to ensure that effective procedures are in place for red flag reviews, screening, and other due diligence related activities
- Lending (origination and/or servicing) compliance experience
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