Senior Compliance Associate Resume Sample
Ruth Witting
291 Gislason Land,
Chicago,
IL
+1 (555) 616 8569
Work Experience
Senior Compliance Associate
02/2016
-
PRESENT
Houston, TX
- Performs deviation trending and proposes mitigation strategies and recommendations regarding actions to ensure quality improvement
- Escalates critical or major issues to the affected departmental senior management for further investigation, as required
- Responsible for ongoing maintenance of the long-term care hybrid products and any related new product initiatives to include management of form drafting, revision and filings to state departments of insurance
- Collaborates with stakeholders to provide responses on objections and guidance on state requirements
- Manages implementation of regulatory mandates related to long-term care hybrid products
- Performs regulatory research, participates in industry meetings, monitors new and amended regulations and evaluates potential impact of proposed legislation to hybrid and long-term care products
- Solid compliance, operational and risk understanding broker dealer & investment advisory business, specifically around marketing materials and outgoing communications
Senior Compliance Associate, Early Phase
04/2013
-
09/2015
New York, NY
- Strong knowledge of FINRA rules, the Investment Advisor Act, federal securities regulations and securities industry practices
- Experience with Hedge Fund and Private Equity offering practices and materials
- Good team player; able to work well with both internal and external constituencies
- Responsible to create and maintain transaction monitoring coverage assessment
- Responsible to support ESS and RM&A in review of alerts and SARs as part of the ongoing above the line and below the line tuning efforts as well as efforts related to retiring ineffective scenarios. Review the scenario intent and underlying design and provide recommendations for enhancements
- Assist in strategizing the transaction monitoring initiatives for improving the effectiveness and efficiency of the program. Provide support to create and maintain executive level reports and dashboards
- Assist in drafting and maintaining the framework/methodology for developing new scenarios and retiring existing scenarios
- Work with FCRAA manager and subject matter experts in the analysis of internal referrals, legal inquiries, alerts, cases and SARs to identify trends and patterns and make recommendations to improve overall coverage and efficiency
Education
Kaplan University - Cedar Rapids Campus
2008 - 2013
Bachelor's Degree in Business
Professional Skills
- Excellent written and oral communication skills, including presentation and public speaking skills
- Time management skills in order to prioritize and work on multiple projects simultaneously and manage competing priorities
- Prior experience performing monitoring, validation, testing and risk assessments is required
- Strong written and verbal communications skills and team building focus
- Demonstrated interpersonal skills managing relationships at all levels
- Strong presentation skills including written reports, Excel spreadsheets, and PowerPoint decks
- Strong partnering skills and ability to think creatively
How to write Senior Compliance Associate Resume
Senior Compliance Associate role is responsible for intermediate, italian, spanish, french, interpersonal, microsoft, analytical, analysis, auditing, trading.
To write great resume for senior compliance associate job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Senior Compliance Associate Resume
The section contact information is important in your senior 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 Senior Compliance Associate Resume
The section work experience is an essential part of your senior 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 senior 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 senior compliance associate position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Senior Compliance Associate resume experience can include:
- Strong interpersonal and relationship building skills; ability to effectively collaborate and negotiate with personnel at all levels
- Strong, proactive communication and negotiation skills to facilitate team-oriented results
- Excellent time management skills with great attention to detail
- Strong analytical skills -leverages data to identify issues and data trends for impact and root cause analysis
- Outstanding research, analytical and practical problem-solving skills
- Solid experience in QA in the pharmaceutical and Animal Health Vaccines industry having direct responsibilities performing audits, managing complaints, etc
Education on a Senior Compliance Associate Resume
Make sure to make education a priority on your senior 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 senior 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 Senior Compliance Associate Resume
When listing skills on your senior 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 senior compliance associate skills:
- Excellent organizational skills, ability to multitask, exceptional follow up skills, and ability to track and meet deadlines
- Strong attention to detail, excellent organizational and multi-tasking skills
- Excellent time management and organizational skills, with attention to detail and demonstrated ability to meet deadlines
- Strong research, analytical, reasoning and problem solving skills
- Strong leadership skills with the ability to provide clear direction to team members to achieve objectives
- Strong computer skills (proficiency with MS Office programs required)
List of Typical Experience For a Senior Compliance Associate Resume
1
Experience For Senior Compliance Associate, Early Phase Resume
- Solutions oriented and critical thinker with good logical problem solving skills
- Prior experience working with AML transaction monitoring and customer due diligence applications
- Prior experience working with AML transaction monitoring software and case management applications
- Intermediate written and oral communication skills in one of the following languages: Spanish, French, Italian
- Intermediate written and oral communication skills in one of the following languages: German, Italian, Spanish
2
Experience For Senior Compliance Associate Technology Support Sec R Resume
- Prior experience in an audit function, with an emphasis on financial services
- Experience in designing and implementing custom reporting systems using automation tools
- Previous experience in Auditing and analyzing data for error trends
- Strong understanding of compliance in investment advisory and broker-dealer businesses
- Industry work related experience, specifically in the areas of suitability, compliance, legal, operations or sales and marketing
- Management of returned goods including evaluation to restock and destruction requests, as applicable
- Strong understanding of government regulations and BI requirements in order to ensure compliance
- Experience evaluating control environment of third-party money managers and/or service providers
- Support, as needed, Corporate Function Compliance group members with execution of monitoring and validation activities
3
Experience For Senior Compliance Associate Resume
- At least two years of relevant experience related to employee securities trading activities
- Adept at multi-tasking in a high-pace environment, as well as assess and change priorities
- In Financial Services Compliance, internal or external audit, internal control or other testing experience
- Experience in financial service industry or big four consulting
- Experience with insurance operations and regulations impacting the insurance industry
- Excellent logical thinking to interpret regulatory rules and regulations
- Good team player; able to work well with team members and provide and support where
4
Experience For Senior Compliance Associate, Early Phase Resume
- Ensuring business implementation of filing remediation, changes emanating from exams, audits and regulations
- Assist in preparing, updating, and maintaining the transaction monitoring policy and procedures and other related documents
- Assist in writing/revising local healthcare compliance procedures and training and capturing in the appropriate electronic systems e.g. EDM Quality & LMS
- Help to develop a framework for initiating, reviewing, managing, and terminating, as needed, investment management agreements with external investment managers
- Assist in establishing the appropriate risk controls, supervision and oversight for the evolving complaint handling environment at TIAA
- Identify appropriate systems access related to transaction monitoring initiatives and conduct sample alert testing
- Management of product destruction with contractor supplying destruction list and managing destruction certificates
- Oversee the compliance monitoring and testing program for the Brighthouse Accounts
5
Experience For Senior Compliance Associate Technology Support Sec R Resume
- Technically savvy including a deep understanding of the MS Office Suite of software, more specifically Microsoft Excel
- Manage daily monitoring of employee trades, including pre & post trade clearance, statement review, and account maintenance
- Maintain books and records relating to the Securities Trade Monitoring Unit
- Manage daily monitoring of employee trades, including pre-trade clearance, statement review, and account maintenance
- Administrate FRIM’s Code of Ethics by utilizing the Protegent Personal Trading Assistant (PTA) application
- Responsible to create and maintain monitoring requirement documents to develop new models based on FFEIC guidance and subject matter expert inputs
- Assist in designing and conducting the investigative training sessions for new monitoring scenarios and organized monthly touchpoint meetings to discuss the effectiveness
- Participate in bi-weekly AML Model Working Group meetings
6
Experience For Senior Compliance Associate Resume
- Act as a transaction monitoring subject matter expert to support business partners across the institution
- Assist with other requests as required ensuring team objectives are achieved
- Knowledge of the Investment Advisor Act and working knowledge of FINRA, federal
- Assist with the enhancement of the compliance due diligence program of the Altair Funds’ sub-advisers, underlying fund managers and service providers
- Provide support during the development and implementation of healthcare compliance programs
7
Experience For Senior Compliance Associate, Early Phase Resume
- Work with manager and other functional areas to collect documentation and support monitoring & audit activities
- Participate in healthcare compliance monitoring, disclosure & investigation activities as directed by manager
- Management of Product Quality Complaints (PQC) locally and with manufacturing sites, evaluation PQC investigations and corrective actions and KPIs
- Product and packaging components release to the market
- Collect information from business partners and prepare written reports including; Risk Assessments, Management Information Packages, and business line audits
8
Experience For Senior Compliance Associate Technology Support Sec R Resume
- Data gathering and report generation
- Develop and maintain policies and procedures to ensure compliance with applicable investing rules and regulations
- Design a new account setup and onboarding process for new portfolios or subaccounts for the Brighthouse Accounts
- Interface with Brighthouse Legal to remain current with new insurance laws and regulations affecting the Brighthouse Accounts
- Coordinate with business partners to ensure timeliness of filing handoffs
- Establish key performance indicators and develop reporting to identify exceptions and communicate performance
9
Experience For Senior Compliance Associate Resume
- Documentation, compilation and confirmation of associate attestations, training and other required paperwork
- Delivery of bespoke compliance training
- Participate in all aspects of the day-to-day operations of the Securities Trade Monitoring Unit
- Provide oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent PTA platform
- Analyze data to generate ongoing reviews and reports
10
Experience For Senior Compliance Associate, Early Phase Resume
- Support the resolution of issues or concerns related to registration and licensing matters
- Focus on continuous improvement related to the various securities registration and corporate filing processes
- Deliver value and insights by providing recommendations/improvements around processes and/or controls to business partners
- Aggregate information related to the HR and Corporate Secretary compliance programs for compliance reporting and dashboards
- Commit to continuing education to remain current with regulations, best practices, and industry trends
- Perform the quarterly FINRA Rule 4530 statistical filing
List of Typical Skills For a Senior Compliance Associate Resume
1
Skills For Senior Compliance Associate, Early Phase Resume
- Controls-focused and able to effectively manage compliance risk within a complicated and quickly changing business environment
- Strong ability to develop effective working relationships with clients and staff
- Intermediate written and oral communication skills in one of the following languages: German, French, Italian
- Intermediate written and oral communication skills in one of the following languages: Spanish, German, French
- Intermediate written and oral communication skills in one of the following languages: German, Italian, French
- Proven compliance monitoring systems with practical industry experience
- Relevant experience in related/relevant industry experience
- Critical and strategic thinker with the ability to effectively execute against action plans and initiatives
- Intermediate written and oral communication skills in Italian
2
Skills For Senior Compliance Associate Technology Support Sec R Resume
- Intermediate written and oral communication skills in Spanish
- Medium written and oral communication skills in Spanish
- Basic/Intermediate written and oral communication skills in Italian
- Medium written and oral communication skills in German, Turkish or other language (EU)
- Intermediate written and oral communication skills in one of the following languages: German, Spanish, French
- Intermediate written and oral communication skills in one of the following languages: French, Spanish, Italian
3
Skills For Senior Compliance Associate Resume
- Validating test procedures against controls, issue identification, root cause analysis and impact assessment
- Experience practicing law regarding registered investment companies
- Previous experience developing and documenting Compliance policies and procedures
- Experience in a similar compliance role or trading environment
- Experience working in a Compliance role
- Experience working in an Investment role
4
Skills For Senior Compliance Associate, Early Phase Resume
- Experience with Private Fund Testing
- Relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm
- Previous experience working within Registered Investment Adviser or Broker-Dealer
- Asset management industry experience, including mutual fund business
5
Skills For Senior Compliance Associate Technology Support Sec R Resume
- Solid understanding of US and international securities laws Investment Company Act of 1940 and the Commodity Exchange Act
- Forms filing experience
- Have previous experience of working in a Compliance function
- At least four years of Control Room experience related to employee securities trading activities
- Strong PowerPoint, Excel, and knowledge of SharePoint
- JD and SEC experience
6
Skills For Senior Compliance Associate Resume
- Knowledge of SEC Exam practices, experience with SEC exams and mock exams
- Previous experience with Inv Advisor Act 1940,
- Compliance and/or risk management experience
- Experience within a financial industry regulator, law firm and/or compliance department of a regulated financial services firm
- Assist in the development of tools and business processes to improve efficiency, effectiveness
- One or more years of experience in AML model optimization or a similar area
7
Skills For Senior Compliance Associate, Early Phase Resume
- And/or Broker Dealer experience
- Demonstrate tact and professionalism and the ability to interact at all levels of management
- Microsoft Office Suite application experience
- The ability to triage and prioritize is critical in the day-to-day production environment due to the growing nature of the PGIM Real Estate Finance business
- Leading and/or supporting other Compliance-related risk reporting initiatives
- Working knowledge of Order Management and Trading Compliance Modules (such as Markit thinkFolio, Bloomberg AIM, Fidessa Sentinel or Charles River)
- Understanding of regulatory landscape including some familiarity with the Volcker Rule and OTC derivative regulation
- Building and maintaining collaborative relationships with business stakeholders in order to influence decisions, particularly the UK Business Risk Office
- Monitoring/Analysis for case aging & population
8
Skills For Senior Compliance Associate Technology Support Sec R Resume
- Documenting results following compliance framework to arrive to conclusions
- Providing Compliance guidance to the business
- Performing key controls to improve the quality of the Compliance data held in PRIME
- Working knowledge of FINRA rules, federal securities regulations and securities industry practices
- Ensuring that appropriate records are maintained to support healthcare compliance activities e.g. Training, Monitoring, Disclosure, Audit follow-up, etc
- Developing and tracking compliance assurance metrics
- Completing Compliance Assessments
9
Skills For Senior Compliance Associate Resume
- Staying up to date on the evolution of local country Code and Amgen Policies and Procedures
- Responsible for reviewing lawsuits, Attorney Demand Letters, and/or Regulatory complaints, summarizing account notes, and responding to allegations against EGS
- Work in a challenging environment while exhibiting poise under severe conditions
- Coordinate with software vendors and the Firm’s IT department on an ongoing basis regarding updates to the software, enhancements, issues, etc
- Actively advise the business on current and upcoming issues related to registration and insurance licensing
- Manage issues as they arise, responding promptly and escalating as necessary
- Interact with the teams to assist clearing outstanding control breaks not actioned in a timely manner
- Background in Compliance and/or Banking
10
Skills For Senior Compliance Associate, Early Phase Resume
- Provide daily support to the cross-sectors’ compliance programs and responding business stakeholders on healthcare professional (HCP) related questions
- Develop and maintain working instruction and checklist for business stakeholders
- Maintain third party due diligence database and providing assistance in the DD review process
- Knowledge of Financial Instruments, including Stocks and Fixed Income Securities
- Knowledge of SEC and FINRA regulations and filing requirements
- Knowledge of fixed income, foreign exchange and/or derivative sales and trading practices gained at a bank, investment dealer, regulator or marketplace
List of Typical Responsibilities For a Senior Compliance Associate Resume
1
Responsibilities For Senior Compliance Associate, Early Phase Resume
- Strong organizational, analytical and problem solving capabilities (used when preparing technical reports including audit reports & executive summaries)
- Experience in financial services Compliance, Risk, or Audit
- At least four years of compliance and/or audit experience focusing on compliance-related activities
- Supporting staff to accomplish healthcare compliance initiatives and goals and be an advocate for compliance within the business
- Management of weekly reporting to ensure products needing compliance are progressing
- Responsible for tracking and monitoring compliance for products
- Report violations of rules, regulations, policies, and procedures by evaluating or recommending the initiation of investigative and corrective procedures
- Preparation of announcement memorandums for review and issuance, including verifying all key internal stakeholders are identified on the distribution
- Issue Final Reports and track the progress and resolution of open issues identified during monitoring review
2
Responsibilities For Senior Compliance Associate Technology Support Sec R Resume
- Assist in procedure implementation process to avoid circumstances from reoccurring and correct errors made
- Process and answer consumer questions regarding disputed accounts
- Provide management with a daily tracking of accounts processed and update Access database(s) when appropriate
- Responsible for leading weekly compliance filings
- Provide advice and guidance to employees and Compliance teams related to the Moody’s Securities Trading Program
- Assist the R&L Manager in transaction reviews and reporting
- Work with Staff Groups to ensure their compliance requirements are identified and to record compliance requirements in our Risk Reporting Tool
3
Responsibilities For Senior Compliance Associate Resume
- Provide ongoing support around their compliance management activities
- Develop appropriate Compliance Reporting
- Hold or be interested in pursuing ICA Certificate or Diploma in Compliance
- Work with Amazon’s Global Trade Compliance team to execute strategy, seek automation opportunities and leverage technologies
- Perform periodic risk assessments of the alternatives business to identify gaps and strengthen controls
- Prepare periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program and present results to Compliance Officers and senior management
4
Responsibilities For Senior Compliance Associate, Early Phase Resume
- Serves a liaison to MetLife’s Internal Audit Department and other internal control partners
- Knowledge of MetLife’s strategy, operations, products, and services in multiple distribution channels
- Understand, interpret and communicate complex subject matters
- Gathering documentation and assisting with healthcare compliance monitoring & investigation activities to help identify potential areas of improvement opportunity and risk. Providing feedback, tracking and participating in improvement actions
- Assisting in the development, implementation and administration of local healthcare compliance programs, policies, standard operating procedures, tools, systems, job aids and trainings
- Develop, revise and update compliance metrics & management reports
- Administrative support for local healthcare compliance team (if necessary)
5
Responsibilities For Senior Compliance Associate Technology Support Sec R Resume
- Management of product testing: Liaise with contract laboratories for routine testing and management of annual confirmatory testing program for products from non MRA countries
- Responsible for temperature management in coordination with 3PL and follow up with corporate when temperature deviations occur until product is released or rejected
- Management of Suppliers and Service providers, including management and performance of audits, review and writing of quality agreements, management of supplier qualifications
- Ensure GMP/GDP & regulatory compliance of products/services which are outsourced to external parties. Act as a backup to QA Manager and key quality contact for assigned suppliers/external partners
- Hands on position to manage day to day activities, and also perform more complex activities: CAPAs, Audits, Supplier validation, etc
- B. Sc in pharmaceutical, or chemistry, or related discipline with focus in GMP regulated environment specialized in QA (> 5years)
6
Responsibilities For Senior Compliance Associate Resume
- Thorough knowledge of GMP/quality regulations and compliance regulations with practical experience and expertise in QC/QA in the pharmaceutical and Animal Health vaccines industry
- Travel for business (5%)
- Blue Sky and state registrations
- Maintenance of the Compliance Calendar and Regulatory Tracker
- Prepare 3rd party, internal audit and regulatory responses and track any deliverables
- Assist the Chief Compliance Officer on periodic updates to the Company’s Compliance Procedures Manuals, Form ADV and other Company Policies and external filings
- Appropriately respond to all complaints and inquiries within the various data paths and Access databases established to segment higher priority resolution business
- Appropriately respond to high priority inquiries including consumers that reside in priority states requiring a time sensitive response (i.e. Texas and Colorado) with the timeliness recognized to meet or exceed the legally imposed timeliness
7
Responsibilities For Senior Compliance Associate, Early Phase Resume
- When requested, review complaint correspondence and accurately enter complainant information into database
- When requested, communicate with consumers, sending appropriate and approved correspondences in response to various requests in an attempt to resolve disputed accounts
- Assist with the preparation and maintenance of collection and telemarketing licenses/registrations
- When requested, prepare and send response letters to consumers and/or review and revise response letters
- Understand EGS policies and client processes in order to review account notes to determine if any misconduct was performed by EGS representative
- Identify errors and provide details of daily account notes to EGS legal counsel
- Review, evaluate, and identify compliance issues and concerns, and develop solutions to avoid or resolve situations. Assist with development of compliance policies and procedures to prevent illegal, unethical or improper conduct
8
Responsibilities For Senior Compliance Associate Technology Support Sec R Resume
- Investigate, address, and respond to any alleged illegal, unethical, or improper conduct performed by EGS or one of its subsidiaries’ employees
- Research and respond to outside Attorney questions
- Accurately record detailed notes on consumer’s account(s) in various computer system(s) for each account worked
- Review demographic information and state required language on correspondence generated by the department for accuracy
- Address compliance concerns to ensure that consumer, government agency, and regulatory agency concerns and complaints are reviewed, researched, and responded to in adherence to company, client and regulatory requirements policies
- Process and handle complaint letters, regulatory complaints, lawsuits and Attorney Demand Letters through working directly with clients and company offices to resolve issues in order to restore or maintain consumer and client satisfaction
9
Responsibilities For Senior Compliance Associate Resume
- Collaborate with legal counsel to contend with queries relating to Consumer Affairs issues, regulatory complaints, Attorney Demand Letters, and lawsuits filed against EGS or one of its subsidiaries
- Coordinate interviews between outside legal counsel, managers, and collectors in response to lawsuits filed against EGS or one of its subsidiaries
- Manage submissions of information required by, and respond to, regulatory subpoena requests
- Monitor and report progress, status, and/or results of Consumer Affair issues to Sr. Management
- Address and provide resolution to escalated complaints and complex Consumer Affair issues
- Responsible for reviewing lawsuits, Attorney Demand Letters, and/or Regulatory complaints, summarizing account notes, and responding to allegations against EGS or one of its subsidiaries
- Understand company/client policies and procedures in order to review account notes to determine if any misconduct was performed by a representative
- Identify errors and provide details of daily account notes to legal counsel
10
Responsibilities For Senior Compliance Associate, Early Phase Resume
- Prepare forms detailing account notes and provide summaries and back up documentation to outside Attorneys defending against pending lawsuits, Attorney Demand Letters, and/or Regulatory complaints
- Provide guidance to all levels of Consumer Affairs Representatives
- Design and implement a robust, risk-based Compliance monitoting and testing framework to identify potential compliance and/or control risks and opportunities for compliance control enhancements
- Establish a third-party investment manager oversight and attestation process in partnership with Risk, Finance, Investments, and Legal
- Establish a process for derivative transaction oversight under each entity’s Investment Guidelines and Derivatives Use Plans
- Oversee junior compliance personnel who are responsible for reviewing, monitoring, and/or testing the compliance controls, exception reports, and investment guideline rules coded in the guideline monitoring system
- Oversee compilation of data and provide quarterly reporting relating to the Regulatory Risk Management program
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